Internal Investigations

As the country faces a wave of COVID-19 closure orders, individuals are being encouraged to report violations.  Hypothetically, these reports could originate from just about anyone – employees, employees’ family members, customers, neighbors, the general public.  Given the wide range of potential complainants, these reports may not always be based on first-hand observations.

When investigating

When an employee reports a concern regarding fraudulent or illegal behavior, an employer’s immediate response is likely to open an investigation, stop any wrongdoing, and take appropriate corrective action. In the race to manage a challenging situation, it is easy to overlook the possibility that an investigation not conducted properly might actually create additional liability,

Too often, internal investigators mistakenly conclude that their reports are for the exclusive review of decision-makers.  Sometimes, this may be true.  However, more often than not, there are two audiences of which an investigator should be mindful – a primary audience and a secondary audience.

The primary audience is the immediate recipient(s) of the report. 

The importance of a prompt and thorough internal investigation is more evident than ever, and an effective investigation plan can protect the company’s interests when reviewing internal complaints.  Consider the following when developing an investigation plan.

Take Necessary Immediate Action: When receiving a complaint, outline the issues involved to determine if there are any

A threshold issue in any internal investigation is the selection of an investigator.  A number of considerations will guide a company’s decision.

Internal or External Investigator

There are several factors to consider in selecting an investigator, and practical considerations frequently indicate that the investigation be conducted by an internal investigator.  However, employers often opt to

In today’s post #MeToo era, most companies, big or small, will likely need to conduct an internal investigation on an employee’s claims. Knowing how to conduct a successful internal investigation will help a company protect itself. Not only do internal investigations help avoid litigation, they may also improve employee morale, increase productivity, and oftentimes, end

Part 1 of this two-part series explored the five steps to consider before and at the start of any internal investigation.

The next five steps focus on conducting and concluding the investigation and will help guide a company during the actual investigation, after establishing its framework.

  1. Gather Information. The investigator should: (a) assess the

The ability to effectively conduct internal investigations is essential to any business.

From fiscal year 2014 to fiscal year 2018, the number of whistleblower retaliation complaints filed with OSHA has increased by 29 percent. Between 2007 and 2017, retaliation claims filed with the EEOC nearly doubled. In fiscal years 2017 and 2018, the Justice

2018 was a transformative year for corporate governance. Record whistleblower awards, an increasing number internal investigations partly arising out of the #MeToo movement, an expansion of the role of companies’ boards, and corporate social responsibility all shaped 2018. This is our retrospective review of these trends.

 Record Whistleblower Tips and Awards and Possible Changes

Companies

During his campaign, President Donald Trump raised uncertainty with statements that he disapproved of the Foreign Corrupt Practices Act. Since then, however, the Department of Justice has emphasized its continued enforcement efforts for FCPA violations.

On April 18, 2017, at the Anti-Corruption, Export Controls & Sanctions Compliance Summit, DOJ’s Acting Principal Assistant Attorney General Trevor