Organizations and individuals must comply with laws, regulations, guidelines and specifications relevant to their business operations. Violations of regulatory compliance regulations may result in legal consequences, including significant penalties or fines, or worse. At the same time, organizations that have been charged with wrongdoing – or suspect an issue – must move swiftly to document and manage the matter through internal investigations.
Caplan and Earnest is regularly retained by businesses and boards to conduct sensitive, impartial internal investigations to determine whether legal violations have occurred. By moving quickly to obtain an impartial investigation, businesses and boards can minimize the risks of liability. In addition to utilizing our significant experience to conduct investigations, we also help clients develop strategies for an appropriate response to allegations of misconduct or wrongdoing.
Our investigation process is robust and efficient.
This process includes:
- Preliminary analysis. We consider the nature of the allegation, whether a criminal matter was involved, scope of authority, potential uses of the investigation findings and more.
- Preparation. If analysis warrants moving forward with an investigation, we document and develop a plan of action, assessing sources and a concrete timeline.
- Implementation. Using this plan, we investigate the matter efficiently and draft a report with recommendations.
- Corrective Plan. The details of the corrective plan are implemented, from evaluation of the compliance program through documenting follow up to the investigation.
- Investigation Close. We formally close the investigation, secure records to retain privacy and monitor corrective steps and reports results as needed.
Areas of Expertise in Compliance and Workplace Investigations
- Contracting and licensing matters
- Corporate minutes and board compliance
- Workplace harassment and retaliation claims
- Labor law violation claims, including violations of Fair Labor Standards Act
- Protected class discrimination claims
- Equal Pay Act
- Americans with Disabilities Act
- Title VII of the Civil Rights Act
- Age Discrimination in Employment Act
- Colorado Anti-Discrimination Act
- Open records and open meeting laws
- Student privacy compliance, including violation of Family Educational Rights and Privacy Act claims
- Teacher dismissal, including the Teacher Employment Compensation and Dismissal Act
- Sex discrimination in schools, including claims related to Title IX of the Education Amendments of 1972
- Health care compliance
- False Claims Act
- Federal Anti-Kickback Statute
- Stark Law
- Emergency Medical Treatment and Active Labor Act
- Medicare and Medicaid fraud
- Professional review
- Patient privacy rights (HIPAA)
- Immigration and visa compliance
- Employment of foreign workers
- OCAHO proceedings related to I-9 violations
- I-9 audits
- Insurance bad faith and coverage
- Employee embezzlement
Our Internal Investigation Contacts
If you suspect your organization is out of compliance or has committed wrongdoing—whether fraudulent or not—contact one of our section heads to discuss the matter.