Understand whose process this is
When a company investigates a complaint against a senior leader, the investigator is usually HR, in-house counsel, or an outside lawyer hired by the company. Their job is to find facts for the company. If a lawyer interviews you, you may hear a version of what is called an Upjohn warning: the lawyer represents the company, the conversation is privileged, and the company, not you, decides whether to waive that privilege. The name comes from the Supreme Court's decision in Upjohn Co. v. United States (1981).
That warning is not an accusation. It is a reminder that no one in the room is there to protect your interests. Hear it that way.
Before the interview
- Ask what the process is: who is investigating, the general subject, and whether you may bring notes. You may not be told the details, and that is normal.
- Review your own calendar and records for the relevant period so your answers are accurate. Do not create, edit, or backdate documents.
- Preserve, do not purge. Deleting messages or files after you learn of an investigation can do more damage than the allegation.
- Get advice. If termination, a claim against you personally, or a regulatory issue is possible, talk to your own employment attorney before the interview, not after.
In the interview
- Answer truthfully and directly. If you do not know or do not remember, say so. Do not guess or speculate about others' motives.
- Stay composed. Investigators note demeanor as well as content, and an executive who argues, dismisses, or attacks the complainant creates a record that is hard to undo.
- Offer the names of people and documents that support your account. Investigations are only as complete as the evidence they are given.
- Ask to review or correct any written summary of your statement before you sign it.
What not to do
- Do not contact the complainant or witnesses about the investigation, even to "clear the air." It will likely be seen as interference or retaliation.
- Do not change anyone's assignments, reviews, or compensation while the matter is open without counsel's input. Retaliation findings often outlast the original allegation.
- Do not forward company documents to personal email or devices. Keep your own notes of dates, conversations, and requests on a personal device, without confidential company data.
- Do not discuss the matter on internal channels or social media.
Administrative leave, indemnification, and the next move
Companies often place senior leaders on paid administrative leave during an investigation. Leave is not a finding. Confirm in writing that pay and benefits continue, what access you will keep, and how you will be contacted. If you are an officer or director, ask whether the company's bylaws, your indemnification agreement, or D&O insurance may cover personal legal costs.
Most investigations end in one of three places: the allegation is not substantiated, it is partly substantiated with corrective action, or it leads to separation. If separation is possible, the time to think about positioning, the announcement, and the terms is while the investigation is still open. See how executives negotiate severance.
If you are covered by a union contract, you may have the right to request a representative in an investigatory interview. See Weingarten rights.
"Executives rarely lose their jobs over the first allegation. They lose them over what they do in the weeks after it."
Noël Tarquinii, SHRM-SCP