Allegations and investigations | Norman Marks on Governance, Risk Management, and Audit

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It is difficult today to avoid news about allegations and subsequent investigations.

First it was a slew of high profile allegations about sexual misconduct. Now it’s about abuse of power – and the sex-related allegations continue.

In my time, I have conducted many investigations, had my team perform others, and been a target in an allegation that was investigated by outside counsel hired by the audit committee. So I think I have some relevant experience!

What we should all note from the news is that a failure to perform an appropriate investigation is a serious source of risk to any organization.

This is what I believe:

  1. It is critical for any individual within the organization to be able to report suspected inappropriate behavior without fear of retaliation.

The apparent effort by members of the US government to identify a whistleblower and then paint him or her as a political operative is unforgiveable and probably illegal (these federal employees are protected by law).

Unfortunately, many people do not come forward because there is a credible fear – justified by real life examples – of retaliation.

I advised (through her attorney) one lady who reported suspected wrongdoing by her manager to her company’s ombudsman, as required by company policy. However, her manager had started a disciplinary…

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