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 review the importance of reviewing applicable laws, policies and procedures.
An investigator should review all applicable and relevant laws (national and local), policies, procedures and regulations when planning an internal investigation. The comprehensive knowledge will aid an investigator with understanding the issues and what needs to be proven. Further, Susan Bickley, “Employee Investigations: Best Practices”, suggests investigators understand the following:
- Do not assume you know the applicable laws, policies, procedures and regulations
- Collect and follow all relevant laws, policies, procedures and regulations
- Know the difference between “policy” and “practice”
- Collect other related rules and policies (eg., work rules, harassment, computer use, general employee conduct policies).
Source: Michael L. Buckner, Athletics Investigation Handbook; Susan Bickley, “Employee Investigations: Best Practices” (July 31, 2013), available at: http://tmhra.org/wp-content/uploads/2013/08/Bickley_Investigation_Best_Practices.pdf.
Contact attorney Michael L. Buckner (+1-954-941-1844; email@example.com) for additional information on conducting internal investigations and intelligence-gathering.