If an issue comes up in a company, management has a duty to conduct an internal investigation. Often this is related to behavior such as discrimination or harassment. Many management teams make the mistake of jumping straight into interviewing the parties involved, but this skips a few important steps that should be followed.

First, when an issue is presented, it needs be thoroughly defined and researched in the policy. Without looking into how the complaint fits into the policies, problems could arise in how it is handled, often leading to lawsuits down the road.

Having an in-house attorney on hand when conducting an investigation could lessen the chance of the company having to go through litigation. They’re well versed on conducting investigations and interviewing the parties involved.

The different parties that are involved usually consist of the complainant, the accused, and witness to the event or issue. While interviewing those involved, evidence such as emails or paperwork, should be gathered if there is any.

Next, review the findings against the company policies for possible violations. The findings should also be reviewed against state or federal laws that pertain to the issue. In-house counsel will be able to lend their knowledge of state and federal laws to this step of the process.

After reviewing, a conclusion needs to be made from the findings. Simple solutions usually take the form of:

–          The complaint is founded, with a brief explanation

–          The complaint is unfounded, with a brief explanation

–          The investigation in inconclusive, with a brief explanation

Once a conclusion is reached, any corrective actions recommended should be taken. Whether the corrective action is a warning, suspension, training or termination, it should be consistent with the complaint. It should also be geared toward preventing or dissuading the behavior from happening in the future.