What Is an Internal Investigation and What Does It Mean
Internal investigations can seem mysterious and even alarming to the employees involved. However, they are vital for keeping the work environment fair and safe. This blog post will shed some light on the investigation process for employees. We’ll answer questions many employees have, including:
- What is an internal investigation in the workplace?
- What happens during the investigation process?
- What rights and responsibilities do employees have in an investigation?
Understanding what to expect during an internal investigation can help relieve anxiety and prepare you to protect yourself.
Internal Investigation Basics: What Employees Should Know
What is an internal investigation? It is an employer’s own inquiry into allegations of wrongdoing at work. These points can help if you are involved in one.
- It is the employer’s inquiry, not a court case: Human resources usually leads it, though an employer may hire an independent investigator where bias or a conflict is possible, and the findings can lead to corrective or disciplinary action.
- Employers are expected to act on complaints: The EEOC encourages employers to take prompt, appropriate action when an employee complains of harassment and to set up an effective complaint process.
- Retaliation is prohibited: The EEOC treats answering questions in an employer’s harassment investigation as protected activity, and Arizona law bars retaliation against people who oppose unlawful employment practices (A.R.S. § 41-1464(A)).
- Protection has limits: Protected activity does not shield an employee from discipline for legitimate, non-retaliatory reasons, so cooperating honestly and getting legal advice early can matter.
What Is an Internal Investigation in the Workplace?
An internal investigation is an official inquiry into allegations of wrongdoing in the workplace. Employers use investigations to collect evidence and establish the facts of a situation, including whether any company policies or laws have been violated.
Many organizations also use the investigation process to determine appropriate disciplinary or corrective actions when allegations are verified.
Often, an organization’s HR department leads an internal investigation. However, an employer may also hire an independent investigator to conduct an inquiry, mainly when concerns about potential bias exist. This is especially common in situations involving conflicts of interest or serious allegations against a senior leader.
Questions About Your Rights
Facing a Workplace Investigation? You Do Not Have to Handle It Alone.
Whether you made a complaint, were named as a witness, or are being questioned about something at work, an investigation can feel intimidating. Shields Petitti & Zoldan can listen, explain how Arizona and federal law may apply, and help you think through your next step.
Book a ConsultationWhat Is an Internal Investigation Triggered By?
Generally, an investigation is triggered as soon as an employer learns about allegations of wrongdoing in the workplace. This could happen because of an employee’s confidential complaint to HR, the results of an external audit, or a direct conflict or incident.
Under federal employment law, employers must conduct a prompt investigation in response to certain misconduct claims, such as illegal harassment and discrimination. However, internal investigations can also address a variety of workplace issues, including:
- Allegations of criminal activity,
- Complaints about sexual misconduct,
- Ethics concerns or corruption,
- Theft of company property,
- Bullying and harassment,
- Whistleblowing, and
- Threats of violence.
Employers may also use an investigation to look into less serious workplace disputes, such as general grievances, employee disputes, or violations of company policy.
What Does the Workplace Internal Investigation Process Look Like?
The Workplace investigation process can vary depending on the organization and the type of wrongdoing. However, it typically consists of the following three major stages:
- Preliminary. An employer appoints an investigator to verify allegations of wrongdoing. The subject of the claims and other major parties involved are notified about the inquiry.
- Fact-finding. The investigator collects evidence and conducts interviews with witnesses. Employees may be asked to make a statement or share documents (e.g., emails, text messages).
- Resolution. The investigator analyzes the evidence and prepares their conclusions. They may make recommendations for the next steps, including disciplinary action.
Sometimes, employers inform their employees that an investigation is taking place. In other cases, you may only know once you are asked to provide testimony.
What Is Expected of Employees During a Workplace Investigation?
Typically, employees are expected to cooperate with any internal investigation, even if they’re not directly involved in the misconduct. Cooperation can include:
- Attending meetings when requested;
- Answering an investigator’s questions;
- Giving a complete, honest account of your experiences or observations;
- Sharing documents or relevant information;
- Avoiding discussing details of the investigation with others; and
- Behaving respectfully toward the investigator and other participants.
Some employers may have additional company-specific policies regarding how employees should behave during an internal investigation. These policies are usually outlined in an employee handbook or employment contract.
Workplace Internal Investigation Questions, Answered
An internal investigation is an employer’s official inquiry into allegations of wrongdoing at work, such as harassment, theft, threats, or whistleblower concerns. Human resources usually leads it, though an employer may bring in an independent investigator when bias or a conflict of interest is possible. The goal is to gather facts and decide what action, if any, is needed.
Most investigations move through three stages. First, the employer reviews the complaint and decides the scope. Next comes fact-finding, which typically includes interviews and a review of documents. Finally, the employer reaches a resolution, which may include corrective action or recommendations. The exact process varies by employer and by the type of allegation.
Often, yes. Employers can generally expect employees to cooperate, and refusing to take part may lead to discipline, including termination. Cooperating does not mean giving up your rights. If you are worried about what you may be asked, consider speaking with an employment attorney before your interview.
Not lawfully, if you were engaged in protected activity. The EEOC says answering questions in an employer’s harassment investigation is protected, and A.R.S. § 41-1464(A) bars retaliation for opposing unlawful employment practices. Protection does not block discipline for legitimate reasons, so document anything that looks like payback.
Consider it as soon as you are asked to attend an interview, learn you are the subject, or suspect retaliation for speaking up. An attorney can explain your rights and help you prepare. The firm’s contact form lets you request a phone, Zoom, or in-person consultation with Shields Petitti & Zoldan.
What Rights Do Employees Have During an Investigation?
Employees involved in internal investigations have the same fundamental rights they receive under state and federal employment law. The investigation process is no excuse for your employer to engage in illegal behavior, including:
- Discrimination based on a protected characteristic,
- Targeted harassment,
- Retaliation for whistleblowing, and
- Retribution for an accommodation request.
If your employer violates your rights during a workplace investigation, you could have grounds for a lawsuit.
Other rights of employees in an internal investigation include:
- Privacy—your employer can’t request personal passwords, log-in information, or confidential health records;
- Access to specific records—investigation subjects can ask to review the information collected against them;
- Presence of a witness—if your employer agrees, a witness can attend your interview with an investigator; and
- Non-participation—refusal to answer questions or cooperate with the inquiry.
Remember that refusing to participate in an investigation may have negative consequences, including termination.
Shields Pettiti & Zoldan: Skilled Advocates for Fair Workplaces
Although investigations seem intimidating, they are essential to maintaining a safe and respectful work environment. In an ideal world, workplace investigations are respectful and objective. However, contact an Phoenix employment attorney immediately if you’re concerned that your rights were violated during an investigation.
The lawyers at Shields Petitti & Zoldan, PLC have over five decades of combined experience fighting for Arizona’s employees. Our firm is known statewide for our integrity and ingenuity as advocates for clients facing work-related disputes. Contact our office today to learn how we can help you.
