
Angela A. Turiano
Partner
212-784-6915 aturiano@sh-law.comFirm Insights
Author: Angela A. Turiano
Date: May 10, 2024
Partner
212-784-6915 aturiano@sh-law.comInternal investigations play a pivotal role in maintaining a productive workplace and reducing a business’s potential liability. However, to reap these benefits, it is equally important to know how to write a factual, solid, representative report of an internal investigation that will withstand scrutiny and provide appropriate information for future reference in a litigation or government investigation.
Once a potential issue is discovered whether via an internal complaint or through firm surveillance, companies must conduct a fair and comprehensive investigation. Regardless of if you are dealing with workplace harassment or potential regulatory violations, the goal of an internal investigation is to determine if the reported/suspected conduct occurred; what the circumstances were; who was involved; whether a law or company policy was violated; and, in some circumstances, whether self-reporting to the appropriate regulatory or state agency is necessary. Below are several tips for success:
Writing an Effective Investigation Report
Because an investigation that is not documented properly is akin to one that never happened, it is essential to know how to draft a formal investigative report. A well-written report can be a tremendous asset by demonstrating your organization’s timely and thorough response, as well as the integrity of the investigation. Below are some of the key elements of an effective report:
Of course, the investigation report must appropriately detail the basis for any conclusion, including citing any relevant legal standard or firm policy language and explaining how the information collected supports your conclusion. Also, if appropriate, provide for any “next steps.”
Again, when drafting the report, it is essential to be impartial and professional. The report should be comprehensive, in that it documents all aspects of the investigation and addresses all of the issues raised. However, at the same time, an effective report must be clear, succinct, and straightforward to read.
An effective internal investigation process protects the financial interests of your business, as well as its reputation. It can not only reveal misconduct and regulatory violations, but also identify ways to improve how your business operates. Because most managers, human resource professionals, and compliance officers are not trained investigators, it is often advisable to work with experienced counsel when conducting an internal investigation and preparing the resulting report.
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