USA Law and Practice Contributed by: Christina Hynes Mesco, Chad Ayers, Kristen Prinz and Amit Bindra, The Prinz Law Firm
6.6 Communications to Authorities In the United States, employers generally do not have to report the conclusions of an internal HR investiga - tion to government authorities, unless responding to a legal process (eg, a subpoena) or an inquiry by an agency (eg, the EEOC or a state fair employment prac - tice agency). However, reporting is required in certain situations, such as when the investigation reveals conduct that triggers a mandatory reporting obliga - tion in regulated industries (eg, banking, securities, healthcare), when an investigation reveals suspected child abuse or elder abuse, or when certain workplace injuries or fatalities are reportable to OSHA. In these cases, only the relevant information is disclosed to the appropriate agency. Outside of mandated contexts, employers may choose – but are generally not required – to report findings to authorities when the investigation uncovers potential criminal conduct (such as assault, threats, theft or embezzlement) or significant safety risks. Typically, only the underlying conduct is reported, not the full results of the investigation. In most workplace matters involving interpersonal conflict, harassment, discrimination or policy violations, employers do not report conclusions to authorities, and findings remain internal unless employers are otherwise legally com - Beyond the complainant and respondent, information about the conclusion of an investigation is typically shared on a limited, need-to-know basis. Leadership or the HR personnel who oversaw an investigation – and, in some cases, additional executives or the board of trustees or directors – are informed of the findings and any recommended actions. Managers of the indi - viduals involved may also be notified if they need to implement corrective measures. All participants, including witnesses, are generally thanked for their co-operation and informed that the investigation has concluded and appropriate action has been taken, without disclosing confidential details. The complainant may receive slightly more information about whether appropriate action was taken, but employers must still protect the privacy of the respondent and others involved. pelled to disclose the information. 6.7 Other Communications
avoid recommendations and leave that role to other HR personnel or management. The format ultimately depends on the organisation’s preferences and the intended use of the report. 6.5 Information In the United States, there is no general legal right for employees at private employers to receive the full outcome of an internal HR investigation or to access written investigation reports. Neither the complainant nor the respondent is entitled by law to a copy of the report in the private sector. However, both parties are typically informed of the overall outcome: whether the allegations were sub - stantiated and whether appropriate corrective action will be taken, without disclosing confidential details, witness identities (unless necessary) or sensitive per - sonnel information. Respondents and complainants do not ordinarily receive written reports, as providing them may create unnecessary legal risk, expose confidential informa - tion or implicate privacy rights of other employees. Instead, employers usually communicate the outcome verbally or through a brief written summary that con - firms the conclusion but omits detailed findings. There are limited exceptions: • Unionised employees may have access to certain investigation information under a collective bar - gaining agreement. • Title IX investigations in educational settings require written reports and offer parties access to evidence. • State personnel file laws (eg, in California, Illinois and Massachusetts) may allow employees to inspect their personnel files if the findings were placed there. In practice, employers strike a balance between trans - parency and confidentiality by notifying each party of the result and confirming that appropriate action has been taken, while keeping investigative documents internal to HR and legal counsel.
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