Leadership Solutions

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Solution Innovation Case Study:
Emerging Issue: Investigative Program Ownership/Responsibility Confusion

The following case study is a demonstration of a Security Executive Council (SEC) project for a Tier 1 Leader company that experienced "investigative confusion." This included multiple departments with ownership of various aspects of investigations, lack of inter-departmental communication and reporting, and inefficiencies that could result in company brand damage or monetary losses. This case study examines the results in meeting the businesses need to consolidate investigative processes at a large multinational publicly traded organization.

The Problem:

  • 63+ types of investigations in publically traded companies identified
  • 13+ departments in this company documented as conducting, participating or directing investigative efforts
  • 4+ independent databases used for investigative results
Resulting issues
  • High potential for incomplete investigative/risk reports to regulatory bodies
  • Lack of training, experience, and process and guidance documentation in majority of departments involved
  • Lack of single corporate oversight body for all investigations
  • Multiple departments claiming primary responsibility for the same investigations
  • Multiple types of investigations with no department claiming primary responsibility
  • Lack of inter-departmental coordination/communication
  • Lack of central report repository and corporate-wide reports
  • High probability of liability and regulatory risk due to this structure

Requirements:

  • Assessment to identify issues that are present in organization
  • Define organizational responsibility
  • Assist in bringing issues to attention of senior management

Delivered:

  • Assessment and reporting mechanism to identify, communicate, and resolve this problem
  • Surveyed organization to identify types of investigations conducted; identify accountability and/or responsibility claimed
  • Research report that highlighted inefficiencies; duplicate efforts
  • Current state of investigations matrix
  • Senior management level presentation of findings/recommendations
  • Unified Risk Oversightâ„¢ guidance

Outcome and Benefits of Service:

  • Reduced risk exposure/liability due to legal, privacy and regulatory non-compliance
  • Senior level awareness
  • Identify experience, training and process efficiencies
  • Reduce duplication and costs
  • Improved investigative results, less employee/subject dissatisfaction and reputational damage


Note: The Security Executive Council's Solution Innovation case study represent a snapshot in time to demonstrate a solution to a specific-organization's issue. End-user diligence, trial and measurement are strongly recommended for any contemplated risk mitigation activity.