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An Internal Investigation Procedure outlines the steps Swiss organizations take to examine potential misconduct, legal violations, or ethical concerns within their operations. It guides companies through systematic fact-finding while protecting employee rights under Swiss labor law and maintaining compliance with data protection regulations.

The procedure typically covers key elements like document preservation, interview protocols, and reporting mechanisms - ensuring investigations remain fair, thorough, and confidential. Swiss firms must balance their duty to investigate with strict privacy requirements under FADP (Federal Act on Data Protection) and respect workplace representation rights established by Swiss employment statutes.

Your organization needs an Internal Investigation Procedure when signs of potential misconduct emerge - from suspected fraud and compliance breaches to workplace harassment claims. Swiss companies typically activate these procedures after receiving whistleblower reports, discovering financial irregularities, or noting patterns of concerning behavior.

The procedure becomes essential during time-sensitive situations requiring immediate action, like responding to regulatory inquiries or addressing serious employee complaints. It helps Swiss firms meet their legal obligations under FINMA regulations and cantonal employment laws while protecting both the company's interests and employee rights throughout the investigation process.

• Standard Internal Investigation Procedures cover routine workplace incidents and compliance matters in Swiss companies
• Crisis-Response Procedures handle urgent situations like financial fraud or serious misconduct requiring immediate action
• Industry-Specific Procedures tailored to banking, pharmaceutical, or manufacturing sectors, incorporating relevant FINMA or SwissMedic requirements
• Board-Level Procedures focus on executive misconduct investigations with enhanced confidentiality measures
• Cross-Border Procedures designed for Swiss multinational companies dealing with international investigations while maintaining Swiss privacy standards

• Legal Counsel: Draft and update the Internal Investigation Procedure, ensuring compliance with Swiss law and regulatory requirements
• Compliance Officers: Oversee implementation and coordinate investigations according to established protocols
• HR Directors: Handle employee-related aspects and ensure fair treatment under Swiss labor laws
• Board Members: Approve procedures and receive investigation findings for serious matters
• Department Managers: Follow protocols when reporting incidents and support investigations within their teams
• External Auditors: Review procedures during compliance audits and may participate in complex investigations

• Scope Definition: Map out which types of incidents require investigation under Swiss law and company policies
• Legal Framework: Review FINMA guidelines, data protection requirements, and cantonal employment laws
• Team Structure: Define roles and responsibilities for investigation team members and reporting lines
• Document Templates: Create standardized forms for witness interviews, evidence collection, and final reports
• Communication Protocol: Establish clear guidelines for maintaining confidentiality and updating stakeholders
• Timeline Standards: Set realistic deadlines for investigation phases while ensuring thorough fact-finding

• Purpose Statement: Clear outline of investigation scope and objectives under Swiss law
• Data Protection Provisions: FADP-compliant procedures for handling sensitive information
• Employee Rights: Safeguards ensuring compliance with Swiss labor laws and workplace representation rules
• Investigation Steps: Detailed protocol for evidence gathering, interviews, and documentation
• Confidentiality Measures: Rules protecting business secrets and personal privacy
• Reporting Framework: Structure for investigation findings and recommended actions
• Appeals Process: Fair procedure for challenging investigation outcomes

Internal Investigation Procedures differ significantly from Disciplinary Procedure in their scope and purpose, though they often work together in Swiss organizations. While both deal with workplace issues, they serve distinct functions in corporate governance.

• Primary Purpose: Internal Investigation Procedures focus on fact-finding and evidence gathering, while Disciplinary Procedures outline specific consequences for misconduct
• Timing: Investigations typically precede and inform disciplinary actions, establishing grounds for potential sanctions
• Legal Framework: Investigation procedures align with Swiss evidence-gathering and privacy laws, while disciplinary procedures must comply with employment law requirements
• Stakeholder Rights: Investigation procedures protect witness confidentiality and evidence integrity, whereas disciplinary procedures focus on ensuring fair employee treatment and appeal rights