How to plan for a compliance investigation on a Friday afternoon?

11/21/22 • 20 min

Untangled - Simplifying Corporate Compliance

It's Friday afternoon and you receive an e-mail grenade through the whistleblowing hotline, what do you? In this episode of Untangled we provide practical advice to plan for a compliance investigation, whenever you receive the report.
What should be included in an investigation plan and who should be involved?
How do you gain organisational support and trust in the process?
Should you set time limits for investigations?
Find out in this episode.
This Episode host:

Alex Davison – Uses a human approach to build a culture of ethics and compliance within his business teams and is on the hunt for the ‘universality’ of compliance disciplines. Alex has over 16 years of experience working in compliance roles throughout the Pharmaceutical value chain in R&D, Manufacturing and the Commercial business. His LinkedIn profile: https://www.linkedin.com/in/alex-davison-54529134/

and Contributors:

Stephanie Wingrove – passionate about creating compliance programmes that centre on ethical values, empowerment and accountability. Stephanie has over twenty years of experience in the pharmaceutical industry, in R&D, QA and Compliance & Ethics. Her LinkedIn profile: https://www.linkedin.com/in/stephanie-wingrove-222a448/
Andriy Kirmach – enjoys building compliance programmes from the ground up as well as structuring and restructuring compliance frameworks, teams and business processes. Andriy brings 7 years of legal consulting expertise and further 8 years of in-house compliance experience with a multinational pharmaceutical company. His LinkedIn profile: https://www.linkedin.com/in/andriy-kirmach-06b7652/
James (Jim) Swift – curious by nature, Jim enjoys solving problems and identifying opportunities for improvement to compliance programs and organisational culture. Jim has over 15 years' experience leading investigations and, more recently, compliance monitoring, analytics and risk management programs. His LinkedIn profile: https://www.linkedin.com/in/james-swift-95632150/

Alex Davison – Uses a human approach to build a culture of ethics and compliance within his business teams and is on the hunt for the ‘universality’ of compliance disciplines. Alex has over 16 years of experience working in compliance roles throughout the Pharmaceutical value chain in R&D, Manufacturing and the Commercial business. His LinkedIn profile: https://www.linkedin.com/in/alex-davison-54529134/

and Contributors:

Stephanie Wingrove – passionate about creating compliance programmes that centre on ethical values, empowerment and accountability. Stephanie has over twenty years of experience in the pharmaceutical industry, in R&D, QA and Compliance & Ethics. Her LinkedIn profile: https://www.linkedin.com/in/stephanie-wingrove-222a448/
Andriy Kirmach – enjoys building compliance programmes from the ground up as well as structuring and restructuring compliance frameworks, teams and business processes. Andriy brings 7 years of legal consulting expertise and further 8 years of in-house compliance experience with a multinational pharmaceutical company. His LinkedIn profile: https://www.linkedin.com/in/andriy-kirmach-06b7652/
James (Jim) Swift – curious by nature, Jim enjoys solving problems and identifying opportunities for improvement to compliance programs and organisational culture. Jim has over 15 years' experience leading investigations and, more recently, compliance monitoring, analytics and risk management programs. His LinkedIn profile: https://www.linkedin.com/in/james-swift-95632150/

Previous Episode

"Speak Up Culture": can we move past dated "hotlines" and tacky posters?

Welcome back to Untangled, the podcast that takes the complex world of compliance and simplifies it.
The topic for today chat is "speak up culture" - probably the most forgotten element that has largely been about checking a regulatory box for years. When ‘speak up’ programs were first implemented, the most popular method of capturing incident reports from employees was a literal telephone hotline, and many companies still utilize that (one may argue archaic) terminology and philosophy.
So the question I would pose to my contributors today - what's your best tip to helping build a true "speak up" culture?
This Episode host:

Andriy Kirmach – enjoys building compliance programmes from the ground up as well as structuring and restructuring compliance frameworks, teams and business processes. Andriy brings 7 years of legal consulting expertise and further 8 years of in-house compliance experience with a multinational pharmaceutical company. His LinkedIn profile: https://www.linkedin.com/in/andriy-kirmach-06b7652/

and Contributors:

Stephanie Wingrove – passionate about creating compliance programmes that centre on ethical values, empowerment and accountability. Stephanie has over twenty years of experience in the pharmaceutical industry, in R&D, QA and Compliance & Ethics. Her LinkedIn profile: https://www.linkedin.com/in/stephanie-wingrove-222a448/
Alex Davison – Uses a human approach to build a culture of ethics and compliance within his business teams and is on the hunt for the ‘universality’ of compliance disciplines. Alex has over 15 years of experience working in compliance roles throughout the Pharmaceutical value chain in R&D, Manufacturing and the Commercial business. His LinkedIn profile: https://www.linkedin.com/in/alex-davison-54529134/
James (Jim) Swift – curious by nature, Jim enjoys solving problems and identifying opportunities for improvement to compliance programs and organisational culture. Jim has over 15 years' experience leading investigations and, more recently, compliance monitoring, analytics and risk management programs. His LinkedIn profile: https://www.linkedin.com/in/james-swift-95632150/

Next Episode

Third Party Compliance Risk - How to Shift The Blame?

Our latest episode of Untangled is on Third Party Due Diligence. Is it all about finding the partner of your dreams (and not being fooled by their nice Tinder profiles) or is it just about getting perfect paperwork and a bit of a "wink wink"? Listen to this episode to form an opinion and hear some practical tips for your programme.
This Episode host:

Alex Davison – Uses a human approach to build a culture of ethics and compliance within his business teams and is on the hunt for the ‘universality’ of compliance disciplines. Alex has over 16 years of experience working in compliance roles throughout the Pharmaceutical value chain in R&D, Manufacturing and the Commercial business. His LinkedIn profile: https://www.linkedin.com/in/alex-davison-54529134/

and Contributors:

Stephanie Wingrove – passionate about creating compliance programmes that centre on ethical values, empowerment and accountability. Stephanie has over twenty years of experience in the pharmaceutical industry, in R&D, QA and Compliance & Ethics. Her LinkedIn profile: https://www.linkedin.com/in/stephanie-wingrove-222a448/
Andriy Kirmach – enjoys building compliance programmes from the ground up as well as structuring and restructuring compliance frameworks, teams and business processes. Andriy brings 7 years of legal consulting expertise and further 8 years of in-house compliance experience with a multinational pharmaceutical company. His LinkedIn profile: https://www.linkedin.com/in/andriy-kirmach-06b7652/
James (Jim) Swift – curious by nature, Jim enjoys solving problems and identifying opportunities for improvement to compliance programs and organisational culture. Jim has over 15 years' experience leading investigations and, more recently, compliance monitoring, analytics and risk management programs. His LinkedIn profile: https://www.linkedin.com/in/james-swift-95632150/