Section: 4.14
Issued: 12.31.2005
Updated: 03.20.2023
Purpose
The purpose of this policy is to provide information on AHRC NYC’s investigative process into events of potential non-compliance.
Policy Overview
AHRC NYC will respond to reports or reasonable indications of suspected noncompliance by commencing a prompt investigation of the allegations to determine whether a violation has, in fact, occurred.
Scope
This policy applies to all investigations conducted to evaluate possible violations of laws or regulations or of the Compliance policies and procedures within AHRC NYC.
Procedure
The Investigation
The vice president of Corporate Compliance oversees internal investigations of compliance issues and has the authority to engage counsel or other consultants, as needed. The vice president of Corporate Compliance will consider whether an investigation should be conducted under privilege.
Depending upon the type of possible infraction, the vice president of Corporate Compliance will determine which employees possess the requisite skill sets to examine the particular issue(s) and will assemble a team of investigators as needed. The vice president of Corporate Compliance will decide whether AHRC NYC has sufficient internal resources to conduct the investigation, or whether external resources are also needed.
If appropriate, the vice president of Corporate Compliance will recommend the cessation of internal activities that may be the cause of the possible non-compliance.
Before conducting an investigation of the particular facts surrounding the issue, the vice president of Corporate Compliance will obtain a full understanding of the relevant laws, regulations and government issuances relative to the issue.
The vice president of Corporate Compliance will work with the investigation team to develop a strategy for reviewing and examining the facts surrounding the possible violation, which may include, but not be limited to, an audit of billing practices and interviews. Interviews should include the “Who, What, When, Where, and Why” of the circumstances. All interview notes and notes from the documents reviewed must be kept as part of the investigation file.
Post-Investigation
Upon receipt of the results from the investigation, depending on the scope and severity of any identified violations, the vice president of Corporate Compliance may consult with counsel, the chief executive officer and/or the Compliance Committee in order to determine:
- The results of the investigation and the adequacy of recommendations for corrective actions
- The completeness, objectivity and adequacy of the results and findings, and/or
- Further actions to be taken as necessary and appropriate.
Documentation
At the conclusion of the investigation, the vice president of Corporate Compliance will organize the information in a manner that enables AHRC NYC to determine whether an infraction did, in fact, occur. The vice president of Corporate Compliance will track the investigation, including responsible parties and due dates in a central case file. The log book will include a notion of “complete” when the matter has been investigated and/or fully resolved.
Reporting
The vice president of Corporate Compliance will be responsible for reporting all investigations to the chief executive officer and the Board of Directors, as appropriate.