An internal investigation is an important mechanism an organization can use to address an allegation of wrongdoing, determine legal liability, identify individuals or parties with culpability, comply with regulatory requirements, develop corrective measures and enhance operational efficiencies. Buckner is pleased to continue its blog series highlighting best practices, strategies and techniques that can be used by organizational leaders and counsel during an internal investigation. Today’s post will feature the minimum elements of a report that documents the findings of most internal investigations (a report could include additional elements if an investigation warrants):
- The allegation or incident under investigation (with all applicable dates).
- The individuals involved in the allegation or incident.
- Key factual findings (and witness statement summaries and credibility determinations, if needed).
- Applicable laws, policies, regulations or guidelines.
- Specific investigative findings or conclusions.
- Issues that could not be resolved by the investigation.
- Corrective actions taken by the organization.
Source: Michael L. Buckner, Athletics Investigation Handbook; “How to Conduct a Workplace Investigation”, SHRM.org, available at: http://www.shrm.org/publications/hrmagazine/editorialcontent/2014/1214/pages/1214-workplace-investigations.aspx.
Contact attorney Michael L. Buckner (+1-954-941-1844; firstname.lastname@example.org) for additional information on conducting internal investigations and intelligence-gathering.