CRAFTY LEARNS
Employment - Workplace investigations
In-house lawyer perspectives & practical considerations
Facilitated by Travers Smith:
- Ed Mills, Partner (ed.mills@traverssmith.com)
- Adam Wyman, Partner (adam.wyman@traverssmith.com)
When faced with allegations of wrongdoing, there is often a need to act swiftly and sensitively to protect your business and its reputation. Good project management is crucial. The following checklist sets out key considerations in the first 24 hours of any investigation – whether in response to an internal whistleblower or external party like a regulator.
Is an investigation necessary?
- Seriousness of allegations
- Potential claims
- Reputational risks
Who will investigate?
- Internal
- External (e.g. lawyers, consultants, accountants)
What is the scope of the investigation?
- Fact-find only
- Recommendations or legal advice
Will / should privilege apply?
- Protected vs open findings
- Legal advice sought?
- Litigation or regulatory action in prospect
Should any employees be suspended?
- Risks to business
- Risks to evidence or witness
How will evidence be obtained / preserved?
- Suspend document destruction policies
- Image IT accounts
- Obtain devices
Managing comms
- Regulatory notifications
- PR if the matter is public, or where there is a risk of leak
- Staff communications
Additional considerations for listed companies
- Is there inside information?
- Disclosure Committee meeting
- Set up insider list if required
If you want to learn more about this topic, here are some additional resources:
- View the full investigations checklist from Travers Smith for more info