Investigations and Audits
Workplace Investigations
When an employee is accused or suspected of serious misconduct, it is critical that the matter be investigated promptly, fairly, and completely. Often a proper investigation can be done in-house by the HR department or a manager. However, company personnel might not be experienced at conducting investigations. Moreover, a workplace investigation can monopolize their time and interfere with their regular duties. For these and other reasons, it is sometimes advisable to use an outside investigator, especially if the allegation is leveled at someone in upper management. Some advantages of using an outside investigator are:
The investigator can be objective in evaluating the evidence.
It alleviates employee concerns about a biased investigation.
The investigator will not be intimidated by managers or show undue deference.
Using an outside investigator signals to employees the seriousness of the matter.
Harassment, including sexual harassment, as well as discrimination, theft, and serious violations of company policies are examples of allegations that should be taken seriously and promptly investigated.
I have conducted multiple investigations into serious allegations of employee misconduct, including allegations against fire chiefs and police officers. As an experienced investigator and employment lawyer, I know what to look for, who to talk to, and what to ask. If the need arises, I can either guide your company through an internal investigation or, if appropriate, conduct the investigation myself.
Responding to Charges of Discrimination
When a worker files a charge of discrimination with the U. S. Equal Employment Opportunity Commission or the Colorado Civil Rights Division, the agency sends the employer a notice of the charge and requests specific information relevant to the allegations. Too often employers respond by merely denying the alleged discrimination, along with providing only the barest of information. That is a big mistake. Responding to the charge is an opportunity to tell the complete story and provide the agency with relevant information that the complainant either chose to omit or did not know.
If you receive notice of a charge of discrimination, let an experienced employment lawyer help you effectively tell yourstory, rather than simply denying the complainant’s story. An effective response can change how the relevant events are understood by the agency, by the complainant, and by the complainant’s attorney. A thorough and well-prepared response can lead to an early resolution. It can also refine the issues and narrow the scope of any subsequent litigation. I’ve helped employers resolve complaints early, and for a fraction of what the plaintiff was demanding, by making sure the investigating agency had the complete picture.
Employment Law Audits
Several government agencies conduct audits to determine whether employers are in compliance with laws and regulations enforced by those agencies. The U. S. Department of Labor, the Colorado Department of Labor and Employment, and the Office of Federal Contract Compliance are three such agencies. They audit employers for compliance with wage and hour regulations and record-keeping and reporting requirements. They also conduct audits to determine whether workers are properly classified (exempt vs. non-exempt; employee vs. independent contractor).
Government agencies randomly select employers for audits as part of ongoing enforcement efforts. However, many audits are triggered by an employee complaint. If you receive an audit letter from a government agency, your response can be a critical factor in the outcome. You should cooperate, but not capitulate. It is important to know where the boundary lies between the auditor’s authority and the company’s rights. I work with the employer to identify what triggered the audit and determine what the proper scope of the audit should be. That puts us in a better position to minimize the cost and the impact on the company’s operations.