Internal Investigations

News & Analysis as of

One Anti-Corruption Compliance Panel: Multiple Perspectives

On July 23rd, 2015 at the Hotel Kitano in New York City, The Network (www.tnwinc.com) hosted an Anti-Corruption Compliance Panel discussion titled “Why Anti-Bribery Programs Fail and How Compliance Must Evolve.” Cindy Curtin...more

10 Tips for Workplace Investigation Interviews

Given the employer’s duty to “take all reasonable steps” to prevent discrimination, harassment, and other unlawful practices (Govt C §12940(h)(5), (k); 29 CFR §1604.11(d)), employment lawyers can expect to conduct—or assist...more

How to Respond to a CFPB Civil Investigative Demand

The Consumer Financial Protection Bureau (“CFPB”) was created to enforce the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”) and various consumer finance laws (e.g., Equal Credit Opportunity...more

Cooperation, the SEC and FOIA

A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation...more

Leveraging a Global Compliance Network

Multinational companies cannot employ and maintain a sufficient number of dedicated compliance staff to ensure the effectiveness of an ethics and compliance program. That is a reality and we all know that is true....more

E-Discovery: If you can’t take the data to the tools, take the tools to the data

Today we welcome Jo Sherman, CEO, EDT Inc. to share some of her thoughts on the challenge of international investigations and data collection/analysis. Given the challenges of discovery and data collection across borders in...more

NLRB Says Employers Cannot Ask Employees Not to Discuss Internal Investigation

When conducting an internal investigation involving possible disciplinary violations, employers often ask participants in the investigation to maintain its confidentiality pending completion. Last month, the National Labor...more

Need To Investigate Employee Misconduct While the Employee is on FMLA Leave? Follow This Employer's Lead

Even once in awhile an employer has handled an FMLA situation so effectively, you just want to shout out, “You Go Girl!” . . . or let out a fist pump (like you just sank a 70-foot birdie) . . . or initiate a wild chest bump...more

Disciplinary Investigations of Employees – Three Names to Know

Whenever an employer is considering disciplining an employee for misconduct, three names from 1967, 1975 and 1985 continue to be associated with employer investigations and interrogations, in much the same way that Mr....more

Privileged No More: Court Finds Attorney-Client Privilege Does Not Survive After “Death” of a Corporation

The attorney-client privilege is one of the most powerful arrows in the quiver of corporate counsel because of the sheer volume of different situations in which it can be used. The privilege comes in handy for corporate...more

Workplace Investigations

If you are an employer or HR professional and have not had to conduct a workplace discrimination investigation, consider yourself lucky, or possibly naïve. At some point every employer will be confronted with the employee...more

NLRB Gives Employers a Hangover: Longstanding Anheuser-Busch decision overruled

More than 35 years after its decision in Anheuser-Busch, Inc., 237 NLRB 982 (1978), the NLRB has reversed course and held that employers may no longer summarily reject union requests for witness statements obtained in...more

Board Overrules Longstanding Protections Against Disclosure of Witness Statements

Since 1978, the National Labor Relations Board (NLRB) has treated witness statements as exempt from an employer’s general duty to furnish information to unions under Section 8(a)(5) of the National Labor Relations Act (NLRA)....more

Texas Supreme Court Applies Absolute Privilege to Statements in FCPA Investigations

You may remember the 2013 Texas Court of Appeals case involving Shell Oil Company and Robert Writt. We covered it here, and it left FCPA internal investigations based in Texas in an awkward spot. To recap very briefly, in...more

A Review of Recent Whistleblower Developments

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

NLRB Limits Confidentiality in Workplace Investigations

In two decisions issued on June 26, the National Labor Relations Board overruled its longstanding precedent holding that employers may withhold witness statements from requesting unions and further held that general policies...more

Under scrutiny: Internal investigations - Internal investigations are becoming increasingly commonplace, but how do you cope when...

There has been a sustained rise in investigations and enforcement actions taken by regulatory authorities in the wake of the financial crisis. As companies try to get back on track, internal investigations have also become...more

Employer investigations

The case concerned four police officers' claims against the Metropolitan Police Commissioner (the Commissioner) (their quasi-employer) for the way the Commissioner handled a claim by a suspected terrorist alleging police...more

Internal Investigations — Assessing Witness Credibility

As experienced investigators know, an investigation into allegations of harassment, discrimination or other misconduct may lead to a so-called “he said/she said” scenario, possibly leaving the investigator in a quandary as to...more

Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss...more

Harassment “Must-Have” No. 5: No Retaliation!

It should be easy to avoid retaliation, right? Because retaliatory conduct is intentional – you can’t “accidentally” retaliate against someone. You can’t “negligently” seek payback....more

Employee Surveillance and Monitoring

To state the obvious (and this shows my age), we are way past George Orwell’s 1984. Yes, I know 30 years past it. But we are way past the privacy concerns expressed in Orwell’s book; we are in a new era where technology and...more

Case Alert: Employee Fairly Dismissed for Contacting the Information Commissioner's Office Against Instructions

What happened? In Barton v Royal Borough of Greenwich, the Employment Appeal Tribunal (the "EAT") decided that an employee was fairly dismissed for misconduct after failing to adhere to his employer's instructions not to...more

The Frustrating EEOC Conciliation Process

Employers are often frustrated when dealing with the Equal Employment Opportunities Commission (EEOC) regarding employee Charges of Discrimination. Many EEOC charges are legitimate and allow current or former employees an...more

Fired Nurse Loses Whistleblower Suit over Suspected Drug Use

A federal appeals court recently affirmed the dismissal of a whistleblower-retaliation suit against a Maine nursing home, holding that the plaintiff employee failed to prove that she was fired for telling her supervisor she...more

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