During an internal investigation concerning potential policy violations, James, a long-time employee, is called in for an interview. He seems uncomfortable and hesitant to answer the questions, giving only brief, vague responses and showing reluctance to share details. The investigator notes his unwillingness and politely reminds James, “James, as per company policy, it’s important that all employees cooperate fully in internal investigations. We rely on honest and open participation to ensure a fair and accurate process. Without your cooperation, we may need to escalate this matter, and disciplinary actions could follow. Please understand that this isn’t just a request—it’s a responsibility we expect from every member of our team.”
Below is an example of this essential policy:
Policy Title: Employee Duty to Cooperate in Internal Investigations
Effective Date: [Insert Effective Date]
Department Responsible: Human Resources
Purpose
XYZ Company is committed to maintaining a respectful, transparent, and safe workplace. To uphold these standards, it is essential that all employees cooperate fully in internal investigations related to workplace conduct, potential policy violations, legal compliance, or other matters affecting the company. This policy establishes the expectation that all employees will cooperate promptly, truthfully, and fully with any internal investigation.
Scope
This policy applies to all employees of XYZ Company, including full-time, part-time, temporary, and contract staff. It also applies to any third-party personnel or vendors who may be requested to participate in internal investigations relevant to their work with XYZ Company.
Definition of Cooperation
For the purpose of this policy, “cooperation” means actively participating in an investigation in an honest and timely manner, which includes but is not limited to:
- Attending scheduled meetings and interviews related to the investigation
- Providing truthful and complete responses to questions posed by investigators
- Disclosing relevant information, documents, records, and materials as requested
- Refraining from withholding information or omitting details relevant to the investigation
- Reporting any known or suspected violations promptly if they relate to the investigation
- Respecting confidentiality requirements associated with the investigation and not discussing its content with other employees or external parties unless specifically authorized to do so
Policy Statement
It is the duty of all employees to cooperate fully and truthfully in internal investigations. XYZ Company considers cooperation as part of each employee’s professional responsibility. This cooperation is essential for:
- Ensuring compliance with company policies and legal standards
- Protecting the integrity of the workplace
- Allowing for a fair, thorough, and unbiased investigative process
Failure to comply with this policy may result in disciplinary action, up to and including termination of employment. The company will not tolerate any attempt to hinder, delay, or mislead an investigation.
Confidentiality Requirement
Employees involved in an internal investigation are expected to maintain the confidentiality of the process. Disclosure of investigation details to other employees, clients, vendors, or any external parties without authorization is prohibited. Breach of confidentiality requirements may lead to disciplinary action.
Retaliation Prohibition
XYZ Company strictly prohibits any form of retaliation against employees who participate in an investigation in good faith. Retaliation may include adverse actions such as termination, demotion, harassment, or discrimination against an employee involved in an investigation. Employees who believe they have been retaliated against should report this to the HR department immediately.
Consequences of Non-Cooperation
Failure to cooperate in an internal investigation may result in disciplinary action. Specific actions considered as non-cooperation include, but are not limited to:
- Refusing to answer questions or provide relevant information
- Providing false, misleading, or incomplete information
- Withholding documents, records, or other materials relevant to the investigation
- Failing to attend investigation-related meetings or interviews
- Engaging in behaviors intended to interfere with, obstruct, or delay the investigation
Process for Addressing Non-Cooperation
If an employee is found to be non-cooperative, the following steps may be taken:
- Verbal Warning – The employee will be reminded of the duty to cooperate and informed of the potential consequences of continued non-cooperation.
- Written Warning – If non-cooperation persists, the employee will receive a formal written warning outlining the need for cooperation and potential disciplinary actions.
- Suspension – In cases of serious non-cooperation, the employee may be suspended pending the outcome of the investigation.
- Termination – If non-cooperation continues or is deemed sufficiently severe, the employee may be terminated for failure to comply with company policy.
Employee Rights During an Investigation
Employees have the right to:
- Request clarification on questions or requests for information during the investigation
- Request the presence of an HR representative during interviews (where applicable by law)
- Review relevant policies and procedures to understand the scope of the investigation and their responsibilities
Responsibilities of Supervisors and Managers
Supervisors and managers are responsible for:
- Reminding employees of this policy if they are involved in an investigation
- Supporting the investigative process by providing any requested information promptly
- Refraining from interference, bias, or influence that could impact the investigation’s fairness
Implementation and Review
This policy is effective as of [Insert Date] and will be reviewed annually by the HR department to ensure it meets company standards and complies with any applicable legal requirements. Revisions will be made as necessary, and employees will be notified of any updates.
For questions regarding this policy, employees are encouraged to contact the Human Resources department.
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Elga Lejarza
Founder/CEO
Lejarza HR Consulting
