Internal Investigations

An internal investigation is a fact-finding inquiry into a complaint of sexual harassment or other form of unlawful harassment, discrimination, retaliation, misuse of company property, illegal conduct, employee theft or fraud, or any other type of workplace misconduct. Often, the law requires that a prompt and thorough investigation take place. Other times, it�fs just a matter of good and necessary business practices.

Investigations must be performed by someone who is skilled at soliciting the appropriate information, questioning the right individuals, identifying key issues, and knowing legal obligations such as documentation, confidentiality and retaliation. The investigator must delicately handle the process in a non-threatening but appropriate manner, while simultaneously respecting the rights of all involved. Using an outside impartial professional ensures that the matter is dealt with quickly, effectively and in accordance with the law.

So why does my organization need to use an investigator and not Human Resources?

In rulings released in 1998 and 1999, the United States Supreme Court gave employers a chance to escape legal liability in certain circumstances if they can show that they took immediate steps to �gcorrect promptly�h any sexually harassing behavior in the workplace. Same principles hold true in other types of harassment and discrimination cases. In many instances, an employer�fs liability will now turn on how it handles a complaint.

Oftentimes, a Human Resource professional is not the right person for the job. HR may be unavailable to put the investigation as the number one priority work assignment, due to other pending projects or scheduling conflicts. HR may lack the experience and skill to handle the issue. HR may recognize that the risks are too high to handle in-house. HR may find itself in the chain of command of either the complaining party or accused, or otherwise be perceived as having a bias.

By hiring an outside professional, your company ensures that:

• The complaining party knows that are taking the allegation seriously.
• The accused is confident that you are not pre-judging what may have happened and are respecting his or her rights -- as well as those of the alleged victim.
• Confidentiality and integrity are maintained during the investigative process.
• Conclusions are reached that are completely independent and unbiased.
• Your internal policies and procedures, as well as federal and state guidelines, are followed.
• The investigation, from start to finish, will be conducted following best employment practices, so as to minimize legal liability.
• You have demonstrated your organization�fs attempt to �gcorrect promptly�h reported misconduct.
  

Employment Practices Group provides these services when conducting internal investigations for your company:

• Ensures that you respond appropriately to the complaining party at the inception of the charge.
• Conducts an investigation that is prompt, thorough, and consistent with the United States Supreme Court�fs mandate.
• Makes certain that no witnesses are overlooked during the investigation process.
• Researches the appropriate background information about the incident, the persons involved and their working relationships, and business environment.
• Records sufficient and appropriate information during the witness interviews, after eliciting this information from all witnesses in an objective and sensitive manner.
• Prepares a contemporaneous written record as the investigation proceeds, ensuring that all the elements that contribute to a valid written record are included.
• Reaches factual and not legal conclusions as to whether inappropriate behavior occurred that may have violated internal policies.
• Offers recommendations on discipline or other remedial measures, where appropriate.
• Testifies as a witness at trial and at depositions that its retention and work-product were an integral part of the organization�fs expeditious and decisive action to curb any harassment or other misconduct that may have occurred in the workplace.

For more information on internal investigations, review the following articles:

• Pitfalls Abound in Internal Harasment Investigations
• Minimizing an Employer's Liability to Alleged Sexual Harassers
• Sexual Harassment Investigations and Good-Faith Firings of Alleged Harassers ? What is the Jury's Role?