In this case study — the first in a series covering compliance and investigation issues across the globe — the author, a veteran ethics and compliance professional, details a workplace misconduct investigation involving a senior business leader at a large
organization in India. The inquiry, which began with harassment allegations, revealed other questionable activities the senior leader was engaged in.
As a veteran compliance executive with more than two decades of experience, I’ve had the opportunity to promote ethical business operations around the world. Throughout my career, I’ve helped numerous organizations mitigate compliance risks and develop
sound business practices rooted in integrity. I’ve also conducted investigations related to workplace ethical lapses in 29 countries. An essential part of conducting any sort of investigation involving compliance and ethics issues is knowing — and
understanding — the laws and regulations of the jurisdiction in which you’ll be working. While you may use similar methods and tools across engagements and employ high levels of skepticism and curiosity no matter the situation, the laws and regulations
of a particular jurisdiction will vary and influence how you approach a case. In this article, I recount a case I worked on in my home country of India that involved questions of workplace misconduct involving a senior leader of a large U.S.-owned
company with more than 25,000 employees. The inquiry into the senior leader started after a female employee complained about him making her uncomfortable during a meeting. But, as our investigation progressed, we uncovered other ethical issues concerning
the leader, including a possible conflict of interest with a vendor. India’s Prevention of Sexual Harassment (POSH) Act, a law enacted in 2013 to protect women in the workplace, played an important role in our investigation. The law figures prominently
in how Indian businesses conduct internal investigations involving professional conduct.
To start, I’ll take you through the facts of the case and the details of the investigation. Then, I’ll review the POSH Act and how it affects workplace investigations in India, and the provisions that companies must comply with. Please note that names
and certain details have been changed to protect people’s privacy.
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