Conducting Internal Investigations of Executives for Workplace Misconduct: Legal and Ethical Considerations

There has been a steady increase in investigations of high-level executives at major corporations over the past few years, with allegations ranging from sexual harassment to concealing fraudulent business practices. When an employer becomes aware that an allegation has been brought against one of its executives, it must make a number of legal and strategic decisions regarding how to properly investigate the alleged conduct.

Employers conducting internal investigations of executives must determine the appropriate person or committee to conduct the investigation, the proper timing, the appropriate scope of the investigation, and which documents should be subject to a document hold. In addition, employers must evaluate such issues as the executive’s right to counsel, as well as privilege, privacy and joint defense issues.

Failing to anticipate and prepare for the myriad legal, ethical and even public relations issues that accompany allegations against executives can exacerbate the situation and complicate matters for the employer.

Listen as our authoritative panel of experienced practitioners outlines effective approaches for managing internal investigations of executives for workplace misconduct.

1. Latest developments regarding allegations against executives
2. Preparing for the internal investigation
   1. Who should conduct the internal investigation?
   2. Timing of investigation
   3. Scope of investigation
   4. Documents to be placed under document hold
3. Conducting the investigation
   1. Interviewing the executive
   2. Executive’s right to counsel, indemnification, fee advancement
   3. Preserving privileges
   4. Privacy issues
   5. Public relations issues
4. Post-investigation best practices
   1. Reporting results of investigation
   2. Remediation measures

The panel will review these and other key issues:

• What challenges do employers typically face when an executive faces allegations of workplace misconduct?
• What rights and privileges are implicated in internal investigations of executives—and how can employers avoid compromising any protections under the law?
• What best practices should employment counsel set in place when planning for and conducting an internal investigation of an executive?