What do we do when someone comes to us and insists that we handle an investigation confidentially?
In the course of any investigation, interviewees are likely to demand that their remarks be kept strictly confidential. They may fear reprisal from participants in events they have witnessed or from senior managers who were unaware of illegal or unethical activities. They may fear that their jobs will be threatened or they will suffer retaliation. Or, they may fear that they will be seen as “ratting out” a good friend. In any case, the investigator should not promise complete confidentiality because it is not usually possible to keep such a promise.
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You can assure them that you will maintain confidentiality to the extent possible, but you cannot guarantee more than that. The investigator should stress that information will be kept secure and will be shared only with the few individuals who have a genuine need to know, such as the firm’s in-house or outside counsel and the decision makers who must choose the next steps after the investigation ends.
Furthermore, keep in mind that no complaint is “off the record.” Once the employee makes the complaint, you are on notice and must investigate—even if the employee asks that you do nothing.