This week I embark on a five-part podcast series sponsored by Hanzo. In this series we consider how to leverage artificial intelligence (AI) in compliance investigations. In this series I am joined by several members of the Hanzo team as we explore the current best practices around investigations and how your compliance function can take investigations to a level of cost efficiency and operational proficiency.

Our explorations includes considering the current Department of Justice (DOJ) guidance on investigations, the use of AI in the Hanzo Investigator, how Hanzo technology can help a company overcome common investigative challenges and Hanzo’s specific approach to finding and managing data across the entire lifecycle of an investigation. We begin today with Part 1 where I am joined by Sean Freidlin, Hanzo’s Senior Product Marketing Manager, Compliance, to consider the current state of investigations.

We considered to recently released items. The first is the Evaluation of Corporate Compliance Programs, (the “2019 Guidance) and the NAVEX Global 2019 Ethics & Compliance Hotline Benchmark Report (Navex Report); focusing on how those two documents provide a guideline for the future of investigations for compliance professionals. The 2019 Guidance provides clear-cut criteria regarding effective compliance investigations. They include:

  • Having the ability to assess the seriousness of allegations, properly scope each report, and determine whether it merits further investigation and data collection;
  • Keeping these investigations “independent, objective, appropriately conducted, and properly documented”;
  • Being mindful of the time it takes to respond to allegations and conduct an investigation and using metrics to measure performance;
  • Collecting, tracking, analyzing, and using the information from the organization’s reporting mechanisms;
  • Receiving funding and budget for reporting and investigation-related mechanisms; and
  • Leveraging this wealth of data to identify any patterns of misconduct and compliance weakness.

Freidlin related that compliance teams are failing to promptly substantiate a majority of the reports they investigate, due in part to their inability to quickly and easily find the evidence they need, especially in relation to harassment and misconduct cases. He stated, “This doesn’t just demonstrate a fundamental lack of effectiveness from the DOJ’s perspective, but a long-term organizational risk that goes well beyond any individual allegation of misconduct.” The reason is not simply legal but also operation. If there are substantive allegations that are indeed violations, they could continue thereby exacerbating the problem(s) but also lengthening the time of legal liability.

Citing to the Navex Report he noted  “Allowing a workplace relations matter to fester for 39 days or more could lead to more problems and loss of morale and productivity.” Further by using  Hanzo Investigations for Compliance “you to leverage artificial intelligence and machine learning to quickly and easily find and preserve valuable, legally defensible evidence from websites and social media channels so you have a more comprehensive set of data to reach an informed, conclusive decision.” By moving to an AI basted technology and taking a more modern approach to investigation, your investigative protocol can become more robust. The Hanzo technology has been tested, trusted, and validated by global law firms, insurance agencies, eDiscovery professionals, regulatory bodies, and government officials. It will allow you to improve substantiation rates, shorten case closure time, and preserve key evidence, which has long been a key regulatory requirement.

Join us in our next episode where we consider the Hanzo Dynamic Investigator in more detail and how it will assist you moving forward. For more information visit