Internal Investigations

• Author: Laura M. Franze
• Pages: 403-432

13-403

Chapter 13

INTERNAL INVESTIGATIONS

By Laura M. Franze

13:1. REASONS FOR INTERNAL INVESTIGATIONS

A. Discrimination Claims

B. Harassment Claims

C. Corporate Fraud Claims

D. Violations of Company Policy

E. Workplace Violence

F. Theft/Embezzlement

G. Violation of Statutory Obligations

H. Drugs

I. Pre-Employment Investigations

1. Criminal Background

2. Credit History

3. Employee Testing

a. Personality and Job Skills Testing

b. Medical Testing

c. Drug Testing

13:2. SPECIAL TORT LIABILITY ISSUES IN CONDUCTING INVESTIGATIONS

A. Public Disclosure of Private Facts

B. Placing Applicant/Employee in False Light

C. Intrusion Into Applicant/Employee’s Seclusion

D. Negligent Investigation

E. Intentional Infliction of Emotional Distress

F. Defamation

G. Wrongful Discharge

H. Other Torts Resulting From Internal Investigations

Texas employmenT law 13-404

13:3. EFFECTIVE INVESTIGATIONS

A. Determine Issues at Stake

B. Review Internal Policies and Procedures

C. Interview Complainant

1. Practical Considerations

2. Suggested Interview Questions

D. Determine Whether Formal Investigation Is Warranted

1. If No Formal Investigation Is Warranted

2. If Formal Investigation Is Warranted

E. Determine Who Should Investigate

1. Human Resources

2. In-House Counsel

3. Outside Counsel

F. Interview Accused and Third Parties

1. Practical Considerations

2. Interview Accused

a. The Basics

b. Sample Questions

c. Weingarten Rights

d. Protecting the Accused

3. Interview Third Parties

a. Determine Who to Interview

b. Practical Considerations

c. Dealing With Uncooperative Witnesses

d. Sample Questions

G. Resolve Credibility Issues

H. Documentation of Investigation

1. Employee-Generated Documentation

2. Employer-Generated Documentation

3. Maintain Confidentiality

4. Create Final Investigation File

13:4. SEXUAL HARASSMENT INVESTIGATIONS

A. Faragher and Ellerth

B. Harassment by Co-Workers