Key points
- Receive reports through secure channels and identify who should be involved.
- Gather relevant evidence, hear the accounts and document the limits of the review.
- Restrict access to personal data and establish a separate basis for employment decisions.
Establish clear reporting and response arrangements
A report of workplace violence or harassment requires the facts reported to be identified and any need for immediate protective measures to be assessed. That assessment should not be confused with a premature finding of responsibility. A coordinator should be able to receive information, avoid conflicts of interest and maintain a coherent file.
The Federal Labour Law requires implementation of a protocol agreed with employees that includes responses to violence and sexual harassment. NOM-035 requires secure and confidential mechanisms for receiving complaints and reports of workplace violence. The internal procedure should translate those requirements into clearly identifiable reporting channels and responsibilities within the organisation. [1] [2]
Define the facts and gather evidence
The investigation plan should identify conduct, dates, locations and people able to provide relevant information. Documents, direct testimony and second-hand information should be distinguished. Interviews require clear questions and an accurate record, avoiding formulations that seek to confirm a predetermined hypothesis or replace the account given by the participant.
Accounts should be tested against the available evidence, and an opportunity to respond to the alleged facts should be provided. Where information is missing, the report should acknowledge that limitation. Preserving complete messages and their context may be more useful than selected screenshots, provided collection and use are justified and respect applicable restrictions.
Protect personal data throughout the investigation
Personal data legislation requires purpose limitation, proportionality, security measures and confidentiality. The file may contain sensitive data subject to specific rules. The basis for processing, privacy notice and access arrangements therefore require assessment; an investigation does not authorise indiscriminate collection of personal information about the people involved. [3]
In practice, permissions should be limited, mass forwarding avoided and disclosures recorded. Medical or intimate information unrelated to the facts should not be included merely because it is available. Retention should reflect the purpose and applicable obligations, without promising absolute anonymity where the procedure may require legitimate disclosure of information.
Document conclusions and follow-up
The final report should distinguish established facts, uncorroborated matters and limitations, linking each conclusion to supporting material. Protective and preventive measures should be assessed by reference to their purpose. An internal finding does not replace determinations reserved to an authority or automatically turn every report into grounds for termination of employment.
Disciplinary decisions require examination of their basis and procedure; the Federal Labour Law recognises the right to be heard before a sanction under internal work regulations. Follow-up should check the measures adopted and address possible retaliation, communicating only what each participant needs to know and maintaining restricted access to the file. [1]
Sources consulted
- Federal Labour Law Article 132, paragraph XXXI; Article 133, paragraphs XII and XIII; Article 423, paragraph X.
- NOM-035-STPS-2018, Psychosocial risk factors at work—Identification, analysis and prevention Sections 5.1, 5.4 and 8.1(b).
- Federal Law on the Protection of Personal Data Held by Private Parties Articles 5 to 12, 14 to 16, 18 and 20.
General information. Application to a particular matter requires assessment of its circumstances and the provisions in force.
