Cooperation with Investigations

It is critical to inform your employees about your expectations regarding their cooperation with internal investigations. Such investigations can help an organization explore whether any laws, regulations, or policies have been violated. In some cases, employers are required by law to conduct an internal investigation. Allegations requiring a formal investigation may include such concerns as safety violations, as well as allegations of harassment, discrimination, or retaliation.

There are at least three ways that organizations often communicate their expectations regarding workplace investigations:  

• Create a policy. An organization can develop a policy regarding cooperation with investigations. (See sample below.)
• Explain expectations. Employees can be informed about being required to cooperate with investigations through language added to individual Employee Handbook policies that reference investigations. Examples might include policies on harassment, equal employment opportunity, whistleblower laws, etc.
• Do both. Finally, organizations might take a hybrid approach, combining the two options above. This approach offers two benefits. It makes the information easily accessible to employees. Plus, it allows a separate policy (like the sample below) to function as a “catchall” to ensure that employees are required to cooperate with investigations.

Ultimately, your organization will want to tailor its approach to meet its needs. Consult with a local attorney to ensure that your organization’s interests are protected and your solution complies with applicable laws.

SAMPLE POLICY:
COOPERATION WITH INVESTIGATIONS

Employees are required, and have a duty, to cooperate with any investigations initiated by [name of organization]. Such inquiries include, but are not limited to, investigations of complaints under the organization’s harassment, equal employment opportunity, and whistleblower policies.

However, an employee’s cooperation shall not be required if such cooperation would compromise that employee’s self-incrimination protections under applicable law or would otherwise be unlawful. (Example: issues related to the National Labor Relations Act.) Such cooperation shall include, but not be limited to, the following:

• Providing truthful accounts of incidents or activity that you may have engaged in or observed.
• Consenting to searches of your personal property and [name of organization’s] property under your control.
• Assisting with obtaining any other information or documentation reasonably requested by [name of organization].

With respect to any such investigations, confidentiality will be maintained to the extent possible under the circumstances. An employee violating this policy shall be subject to disciplinary action, up to and including termination of employment.

This is a sample handbook policy only. Your organization is responsible for compliance with all applicable laws. Accordingly, this document should not be used or adopted by your organization without first being reviewed and approved by a licensed attorney in your area. Brotherhood Mutual assumes no liability in preparation and distribution of this sample document.

Working Together © 2022 Brotherhood Mutual Insurance Company. All rights reserved. www.brotherhoodmutual.com/working-together. Updated 9/2021.