Ask These Questions Before Investigating Misconduct Allegations
Pullman & Comley ADR practice Chair Judge Robert L. Holzberg (Ret.) authored the Bloomberg Law article, “Ask These Questions Before Investigating Misconduct Allegations.” In the article, Judge Holzberg discussed the critical considerations institutions should evaluate before launching investigations into allegations of wrongdoing, including claims of sexual misconduct, financial misdealing, or violations of state and federal laws and regulatory requirements.
Judge Holzberg emphasized that “decision-makers typically face a series of questions that should be carefully considered before initiating an investigation.” These include whether the investigation should be internal or external "for the benefit exclusively of the entity’s management team and/or directors" or closed to a wider audience, or the public at large. He noted that confidentiality, potential law enforcement action, and public pressure should all be considered in consultation with counsel.
He also explored key procedural decisions, such as defining “the appropriate scope of the investigation,” determining strategies for document collection and preservation and witness interviews, and identifying “which manager or management team is responsible for overseeing the investigative process.” Judge Holzberg noted that “defining the scope of the investigation is critical to its success” and that the integrity of the process depends on “clear lines of communication between the investigator and the leadership of the entity authorizing the investigation.”
Judge Holzberg underscored the importance of transparency and thoughtful reporting, writing, “An investigation from an objective third party can be an effective technique for demonstrating commitment to confronting misconduct allegations,” and that careful consideration of the basic questions will build confidence in the integrity and importance of the investigative process.
To read the full article, pleases visit the Bloomberg Law website.