ISO/TS 37008:2023
(Main)Internal investigations of organizations — Guidance
Internal investigations of organizations — Guidance
This document gives guidance on internal investigations within organizations, including: — the principles; — support for investigations; — establishment of the policy, procedures, processes and standards for carrying out and reporting on an investigation; — the reporting of investigation results; — the application of remedial measures. This document is applicable to all organizations regardless of type, size, location, structure or purpose. NOTE See Annex A for guidance on the use of this document.
Enquêtes internes des organisations — Recommandations
General Information
Standards Content (Sample)
TECHNICAL ISO/TS
SPECIFICATION 37008
First edition
2023-07
Internal investigations of
organizations — Guidance
Enquêtes internes des organisations — Recommandations
Reference number
© ISO 2023
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Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles . 3
4.1 Independent . 3
4.2 Confidential . 3
4.3 Competent and professional . 3
4.4 Objective and impartial . 3
4.5 Legal and lawful . 3
5 Support for internal investigations . 3
5.1 Resources . 3
5.2 Leadership and commitment . 4
6 Establishment of investigation policy or procedure . 4
7 Safety and protection measures . 4
7.1 Preserving and securing evidence . 4
7.2 Protection of and support to personnel involved in investigations . 5
7.3 Anti-retaliation . 5
7.4 Safeguarding . 5
8 Investigative process.5
8.1 Investigation team . 5
8.1.1 Appointment of the investigation team . 5
8.1.2 Investigation reporting line . 5
8.2 Preliminary assessment . 6
8.3 Determining the scope of the investigation . 6
8.3.1 Scope . 6
8.3.2 Scope changes . 6
8.3.3 Determination elements . 6
8.4 Investigation planning . 7
8.5 Maintaining confidentiality . 7
8.6 Liability caution to deter disclosure . 8
8.6.1 Written caution notice . 8
8.6.2 Verbal caution notice . 8
8.7 No interference . . 8
8.8 Evidence . 8
8.8.1 Document collection and review . 8
8.8.2 Electronic data collection, preservation, analysis and review . 8
8.9 Interviews . 9
8.9.1 Preparations . 9
8.9.2 Conducting an interview . 9
8.9.3 Keeping records of an interview . 10
8.10 Finalization process . 10
8.11 Investigation report . 10
9 Potential remedial measures or improvements .10
9.1 Proposal of remedial measures and improvements . 10
9.2 Interim remedial measures. 11
9.3 A final plan for post-investigation remedial measures . 11
9.4 Proportionality of remediation and improvement measures . 11
9.5 Monitoring and enforcement of remedial measures . 11
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10 Interaction with stakeholders .11
10.1 General . 11
10.2 Planning . 11
10.3 Measures for the communication process .12
10.4 Effective communication channels .12
10.5 Government and regulator communication .12
10.6 Self-disclosure to the authorities .12
11 Disciplinary actions .12
Annex A (informative) Guidance on the use of this document .13
Bibliography .24
iv
Foreword
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This document was prepared by Technical Committee ISO/TC 309, Governance of organizations.
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v
Introduction
Internal investigation is an integral part of organizational management. Internal investigation is a
professional fact-finding process, initiated by or for an organization, to establish facts in
...
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