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Conducting Internal Investigations

Conducting Internal Investigations

To provide a structured and legally compliant process for conducting internal investigations into workplace issues, such as misconduct, harassment, or policy violations. This SOP applies to HR personnel, managers, and legal advisors involved in investigating workplace complaints or incidents.

Human Resources - Human Resources ManagementHuman Resources - Labor RelationsLegal & Compliance - Legal/Regulatory Support
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Conducting Internal Investigations

  • Receive the Complaint
    • Encourage employees to report
      complaints via the [Incident
      Reporting System] or directly
      to HR
    • Document the complaint, 
    • Acknowledge receipt of the
      complaint
  • Assess the Need for
    Investigation
    • Determine whether the complaint
      warrants an internal investigation 
    • Consult legal counsel if
      necessary 
    • Notify all parties involved 
  • Plan the Investigation
    • Assign an impartial investigator
      or team to handle
      the case
    • Including:
  • Conduct Interviews
  • Collect and Analyze Evidence
    • Gather physical, digital, or
      testimonial evidence relevant to
      the case
    • Analyze the evidence objectively
  • Compile Findings and Take
    Action
    • Prepare an investigation report 
    • Share the report with
      appropriate decision-makers 
  • Communicate the Outcome
    • Inform the complainant and
      respondent of the investigation’s
      outcome
    • Provide support or resources
      (e.g., counseling, training) if
      necessary

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