How to Conduct Internal Investigations Effectively
Today every enterprise and organization regularly hears complaints of misconduct, harassment, or financial irregularities. Since these are matters of serious concern the approach of the organization should be a carefully thought out one that is befitting of the situation.
Though internal investigations have become an undeniable fact of corporate life, the issues that trigger an investigation vary for different organizations. Hence, it is not at all possible to provide step-by-step procedures for conducting a fair internal investigation. However, there are some basic guidelines, adherence to which can assist in carrying out effective corporate investigations. These rules can help you steer clear of common problems and difficulties, including the subsequent litigation brought about by slip-ups during an investigation.
The following are the basic steps in a corporate internal investigation. Though it is not all-inclusive, it gives an overview of the process.
· Reporting a Complaint
The internal investigation process starts long before a complaint has been made. Every enterprise and organization should lay the groundwork for conducting a successful investigation by putting in place a clear set of rules and strategies. All employees within the organization should be made aware of the rules that clearly explain the steps to be taken for reporting criminal misconduct, harassment, discrimination, fraud, or financial irregularity.
· Responding to the Complaint
When a complaint is made to the concerned authority the response should be positive and encouraging. The complainant should be assured of a prompt investigation. Even if the complainant requests the matter to be kept confidential, the difficulties in promising complete confidentiality in a matter that needs to be investigated should be made clear.
· Choosing an Appropriate Investigator
The enterprise should be very careful when selecting an investigator for the case. It is always recommended to take the help of an outside attorney or legal counsel to lead the investigation as it gives more credence to the investigation.
· Determining the Scope of the Investigation
The first step of the investigator is to determine the scope of the investigation, i.e. whether it is to be a fact finding investigation or not. During this phase, the investigator should identify the people involved, location, or source of potential legal disclosure and so on.
· Data Acquisition
The next step is getting a hold of relevant documents and files which are likely to be destroyed or altered once word of the investigation gets out. Since most companies have a document retention and destruction policy, steps should be taken to identify critical data to save it from being destroyed. And if both former and current employees are in possession of records related to the investigation, they should be identified and given a copy of the freeze order. Besides, all other records that might be useful during the investigation must be gathered. These include company rules and policies, prior complaints, communication to employees, and so on.
· Review Relevant Records
The collected records are then reviewed to identify the critical documents and files.
· Conduct Interviews
During this phase, the complainant, the accused and witnesses are interviewed to get the facts right. Sometimes multiple interviews need to be conducted when new facts or theories come to light.
· Develop Report
A report containing the internal investigation findings needs to be developed. It can be either oral or written. A well-written report that states the facts and laws is always recommended as it is useful in case of subsequent litigation.
· Disciplinary Action
If the findings of the corporate investigation are conclusive then disciplinary action in the form of warning, suspension, counseling, and even termination from employment should be taken. And if the findings are inconclusive, preventive measures such as training, reminders and monitoring should be taken.
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