Simply having an ethics hotline isn’t enough to protect your employees and company from unethical activity. You’ll want to coordinate a detailed strategy for fielding reports and initiating investigations. Use this step-by-step approach to processing your company’s ethics hotline reports. And use the metrics you collect to develop improved ethics policies and preventative efforts.

Acknowledge Receipt of Every Report Submitted

A notification acknowledging receipt of the report is always the first response. It communicates to the whistleblower that they have been heard. It also sends the message that the information they submit is taken seriously. Use this communication to share with the reporter that details are being correctly logged for reference and that an investigation is underway. Consider adding a unique identifier, like a case number, for reference.

Initial Assessment of the Unethical Behavior Named in the Report

Conduct an initial assessment using a templated policy to determine the type of report and its severity. This preliminary evaluation directs the next investigative steps, including who you intend to assign as the lead investigation contact. Based on the assessment, prioritization can be given to the report, determining the course of action and response timeline.

Conduct a Thorough and Impartial Investigation

Your investigation starts with collecting information and evidence. Assemble pertinent material and data, conduct interviews with related parties, and review any involved documents. Confidentiality is also a must throughout the investigative process. Commit to keeping the identities of everyone involved anonymous. Stress accurate record-keeping with dates, responses, and evidence that supports or disproves any claims.

Analyze Your Official Ethics Investigation Findings

Once your ethics hotline reporting team and lead investigators conclude their efforts, it’s time to analyze the official findings. Look to make sure you have all the required information. Take an objective and impartial approach to come to final conclusions. And outline recommendations for the next steps, which may include report dismissal, disciplinary actions, or corrections to policies and procedures.

Report and Communicate Your Ethics Hotline Report Findings

Draft a concise report with your official findings. Make these recommendations available to any key stakeholders or management teams. The report’s findings should also be shared with the original reporter or whistleblower. Be mindful, though, to keep any identifying information confidential.

Implement Corrective or Disciplinary Actions

You can take corrective action to prevent this unethical activity or behavior from repeating. You’re not only fixing the originally reported problem. You’re also looking for the opportunity to prevent similar issues from arising in the future. Make the necessary changes and follow up with close observation to ensure continued compliance with any new changes.

Always Review and Improve Your Processes

Ethics hotline report data can always be reviewed and analyzed over time. It’s how you learn to spot trends or issues that may arise throughout the year. Every report is also a chance to learn valuable lessons, educate your employees, or revise how you conduct business.

Ethical Advocate Can Help with Hotline Reporting and Data

If you need better support for your ethics hotline, Ethical Advocate can help. From developing reporting processes to reviewing data, we can help you leverage every available opportunity to improve your company’s ethics. Schedule a consultation with our ethics hotline team today!