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.
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.
- Outline the scope and objectives of the investigation
- Including:
- Conduct Interviews
- Schedule and conduct interviews with the complainant, respondent, and witnesses.
- 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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