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Internal Investigation Procedure
I need an internal investigation procedure document that outlines the steps for conducting fair and thorough investigations into workplace misconduct, ensuring compliance with New Zealand employment laws and maintaining confidentiality. The procedure should include guidelines for appointing an investigator, collecting evidence, interviewing witnesses, and reporting findings, with a focus on transparency and impartiality.
What is an Internal Investigation Procedure?
An Internal Investigation Procedure sets out the steps an organization takes to look into workplace issues, complaints, or potential misconduct. In New Zealand, these procedures help businesses meet their obligations under the Employment Relations Act and Health and Safety at Work Act while ensuring fair, thorough, and consistent handling of sensitive matters.
The procedure guides HR teams and managers through key stages: receiving complaints, gathering evidence, interviewing relevant parties, documenting findings, and recommending actions. It protects both employees and employers by establishing clear protocols, maintaining confidentiality, and following natural justice principles that align with NZ employment law requirements.
When should you use an Internal Investigation Procedure?
Use an Internal Investigation Procedure when serious workplace concerns arise - like allegations of harassment, fraud, health and safety violations, or misconduct. It's especially crucial in situations involving potential breaches of NZ employment law, professional standards, or company policies that could lead to disciplinary action.
This procedure becomes essential during complex cases involving multiple parties, when maintaining confidentiality is paramount, or if legal action seems likely. Having it ready before issues emerge helps organizations respond quickly and consistently, protecting both employee rights and business interests while meeting obligations under NZ employment legislation.
What are the different types of Internal Investigation Procedure?
- Initial Response Procedures: Guide first actions when complaints arise, focusing on evidence preservation and immediate safety measures
- Misconduct Investigation Procedures: Detail steps for handling employee behavioral issues, policy breaches, or performance concerns
- Health and Safety Investigation Procedures: Specifically designed for workplace accidents, near-misses, or hazard reports
- Financial Investigation Procedures: Focus on fraud allegations, accounting irregularities, or misuse of company resources
- Discrimination/Harassment Procedures: Specialized format for handling sensitive interpersonal complaints under NZ human rights legislation
Who should typically use an Internal Investigation Procedure?
- HR Managers: Lead the development and implementation of Internal Investigation Procedures, coordinate investigations, and ensure compliance with employment law
- Senior Management: Approve procedures, oversee serious investigations, and make final decisions on outcomes
- Legal Counsel: Review procedures for legal compliance, advise during complex investigations, and manage employment law risks
- Line Managers: Follow procedures when issues arise, gather initial evidence, and support investigations in their departments
- Employees: Must comply with investigation processes, participate when required, and maintain confidentiality throughout
How do you write an Internal Investigation Procedure?
- Policy Review: Gather existing workplace policies, employment agreements, and codes of conduct that investigations must align with
- Legal Framework: Identify relevant NZ employment laws, Privacy Act requirements, and industry-specific regulations
- Roles Definition: Map out who will conduct investigations, make decisions, and handle appeals
- Process Mapping: Document each investigation stage from complaint receipt through to final resolution
- Documentation Standards: Create templates for recording evidence, interviews, and findings that ensure consistency
- Communication Plan: Establish protocols for maintaining confidentiality and updating relevant parties
What should be included in an Internal Investigation Procedure?
- Scope Statement: Clear definition of what types of incidents trigger an investigation and who it applies to
- Procedural Fairness: Steps ensuring natural justice principles and compliance with NZ employment law
- Confidentiality Rules: Protocols for handling sensitive information under Privacy Act requirements
- Investigation Steps: Detailed process from initial complaint through to final resolution
- Rights and Obligations: Clear outline of all parties' responsibilities during investigations
- Documentation Requirements: Standards for recording evidence and maintaining investigation records
- Appeals Process: Framework for challenging investigation findings or outcomes
What's the difference between an Internal Investigation Procedure and a Disciplinary Procedure?
An Internal Investigation Procedure differs significantly from a Disciplinary Procedure, though they often work together. While both deal with workplace issues, their purposes and scope vary considerably.
- Purpose and Timing: Internal Investigation Procedures focus on fact-finding and evidence gathering before any conclusions are drawn, while Disciplinary Procedures outline specific actions taken after misconduct is confirmed
- Scope of Application: Investigation procedures cover a broader range of situations, including accidents, complaints, and potential policy breaches. Disciplinary procedures specifically deal with proven misconduct and its consequences
- Legal Requirements: Investigation procedures emphasize natural justice principles and evidence-gathering standards under NZ employment law, while disciplinary procedures focus on fair process and proportionate responses to misconduct
- Outcome Focus: Investigations aim to establish facts impartially, whereas disciplinary procedures determine and implement specific consequences
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