Matter investigation and closure

Step by step

1. Open matter Ethics Manager

   The Ethics Manager connects the report to a numbered matter and gives it an owner.

   • Assigns accountability
   • Updates Matters, Protected reports, Team members

2. Clear conflict Ethics Manager

   The manager reviews the conflict finding before allowing engagement. A conflict or unanswered question changes the next action.

   • Records engagement decision
   • Updates Conflict reviews, Matters
   ApprovalA person approves before the work moves on.

3. Investigate matter Investigator

   The Investigator records interviews, filings and communications as dated events. Evidence attachments and controlled documents remain linked to the same matter.

   • Builds the case chronology
   • Updates Matter events, Record attachments, Legal documents, Matters

4. Track due work Investigator

   The Investigator assigns deadlines and records actual completion and external receipts when work is accepted.

   • Shows due and actual work
   • Updates Matter deadlines, Matter events

5. Prepare review Investigator

   The Investigator brings the matter into review with the relevant report revision, evidence and open exceptions visible.

   • Brings source and findings together
   • Updates Matters, Protected reports, Review decisions

6. Close matter Ethics Manager

   The Ethics Manager checks the independent decision, deadlines and receipts before recording closure and its date.

   • Records the reviewed outcome
   • Updates Matters, Matter deadlines, Operation receipts
   ApprovalA person approves before the work moves on.

Ethics Manager

, Investigator, Independent Reviewer, Records Custodian.