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.
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.
What 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.
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.
Attorney Michael Zoldan provides legal counsel to individuals and small businesses throughout Arizona. Mr. Zoldan’s practice is based on aggressive and detail-oriented representation, focusing on employment discrimination, wage and hour disputes, harassment, and wrongful termination. Prior to forming Shields Petitti & Zoldan, Mr. Zoldan worked for numerous law firms where he had an opportunity to hone his litigation skills by working on multiple litigation cases at a time with some of the most skilled litigators in the state.
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