ANSI/ASIS INV.1-2015 pdf free download

ANSI/ASIS INV.1-2015 pdf free download.Investigations.
This Standard provides guidance for individuals and organizations conducting investigations. The Standard uses a systems approach for developing an investigation program consistent with the business management principles related to the Plan-Do-Check-Act (PDCA) Model. The Standard provides insight and guidance for generally accepted practices including the processes and considerations one should contemplate when undertaking an investigation. As guidance, it does not contain requirements, nor is it intended for third-party certification. If implemented, the framework offered should provide users a high degree of assurance that the investigations conducted will be: a) Effective; b) Ethical; c) Lawful; d) Useful in meeting the intended objective(s); e) Minimally disruptive to the organization and its operations; f) Able to provide feedback on procedure/policy deviations; and g) Value added, providing the highest return on investment without compromising the investigation. The guidance in this Standard provides a framework for establishing an investigation program and conducting individual investigations within the overall program. It uses the PDCA Model approach to facilitate integration of an investigation program into any risk and resilience based management system. It describes establishing and managing an investigation program as well as conducting individual investigations. The competence of investigators is the foundation for conducting reliable investigations. This Standard provides competence criteria for investigators conducting investigations.
For the purposes of this Standard: An investigation is a fact-finding process of logically, methodically, and lawfully gathering and documenting information for the specific purpose of objectively developing a reasonable conclusion based on the facts learned through this process. An investigation is conducted to reveal information and facts that can be used to support conclusions about an allegation, assertion, claim, or process. By focusing on uncovering facts and essential information needed to reach conclusions and solve problems, a properly conducted investigation can provide additional benefits, such as: a) Increased awareness of policies and procedures of the organization; b) A means to analyze and identify process and system failures; c) Providing actionable information to resolve problems and mitigate consequences; d) Providing an informed response to litigation and regulatory actions; e) Identifying and understanding the root causes of an incident to prevent a recurrence; and f) A basis for improvement of the organization’s operations and activities. This definition applies to public and private organizations. It covers the broad range of investigations, from preemployment screening, to administrative and internal inquiries, to criminal matters, to allegations of improprieties. The value of investigative capabilities may be measured in terms of recovery, restitution, risk reduction, and process improvements. Investigations may differ in terms of legal authorities, resource allocations, and use of outcomes based on jurisdictional laws, policies, and procedures. This Standard examines investigative functions which may be conducted with internal and external resources, or a combination of both.
The PDCA model is a clear, systematic, and documented approach to: a) Set measurable policies, objectives, and targets; b) Methodically implement the program; c) Monitor, measure, and evaluate progress; d) Identify, prevent, or remedy problems as they occur; e) Assess competence requirements and train persons working on the organization’s behalf; and f) Provide top management with a feedback loop to assess progress and make appropriate changes to the investigation program. Furthermore, it contributes to information management within the organization, thereby improving operational efficiency. In conjunction with the PDCA model, this Standard uses a process approach for the investigation program. An investigation program is a compilation of a system of interrelated processes. The identification, linkages, and interactions of the processes comprising the investigation, and their management, can be referred to as a “process approach”. When designing an investigation program, it is necessary to identify and manage many activities in order to function effectively. Any managed activity using resources to enable the transformation of inputs to outputs can be considered a process.