BRAZIL Law and Practice Contributed by: Patricia Barboza, Alinne Gordilho and Amanda Costa, CGM Advogados
1.6 Prohibition on Carrying Out an HR Internal Investigation Due to the lack of statutory rules governing HR inter - nal investigations, unless there is any restriction in the internal rules of the company limiting the inves - tigation, there are no circumstances in which an HR internal investigation may not be carried out (whether temporarily or at all) if the complaint is related to the workplace and company’s employees. 1.7 Other Cases Except for the specific requirements outlined in 1. Opening an HR Internal Investigation mandating cer - tain companies to establish reporting channels – and the resulting obligation to investigate reports submit - ted through them – legislation imposes no additional obligations or limitations on the circumstances war - ranting an HR internal investigation. Nevertheless, companies often choose to investigate irregular, illegal, immoral, unsafe or fraudulent conduct in the workplace, guided by their general duty to ensure a safe work environment and adherence to internal poli - cies and codes of conduct. 2. Initial Steps 2.1 Communication to the Reporter and the Respondent There is no legal requirement to notify the reporter as to whether an HR internal investigation will be opened. However, there is no legal restriction for the reporter to be informed if this is the case, provided that such disclosure is permitted under the company’s internal regulations or the applicable collective bargaining agreement. There is no legal requirement to notify the respondent of the initiation of an HR internal investigation. How - ever, such notification may be provided if stipulated by the company’s internal regulations or applicable collective bargaining agreement. This communication can occur at the start of the investigation or at any
include additional rules regarding complaint reporting channels. 1.4 Responsibility There are no specific rules governing who should conduct an HR internal investigation. Companies can decide whether the investigation is carried out inter - nally (by members of compliance, HR, legal, the board or specialised investigation committees), externally (by law firms or consulting companies) or through a combination of internal and external resources. For sensitive matters, it is advisable to engage exter - nal counsel to ensure legal privilege. This approach also enhances the confidence of witnesses and par - ties in the independence and impartiality of the inves - tigation process, particularly when allegations involve high-level employees. 1.5 Obligation to Carry Out an HR Internal Investigation There are no specific rules mandating when an HR internal investigation must be conducted, except for certain companies. Organisations required to estab - lish a CIPA must have reporting channels and internal procedures for receiving, monitoring and investigating complaints involving sexual harassment or other forms of workplace violence. Similarly, financial institutions and organisations regulated by the Central Bank of Brazil are required to provide reporting channels to address potential legal violations, which include mat - ters subject to HR internal investigations. From an organisational perspective, it is recommend - ed that companies investigate complaints regarding alleged irregular, illegal, immoral, unsafe or fraudu - lent conduct. Conducting such investigations helps mitigate legal and reputational risks while enabling the implementation of disciplinary actions and corrective measures. Additionally, collective bargaining agreements appli - cable to employees’ contracts may include specific rules regarding internal investigations, which compa - nies must comply with.
point during the investigation process. 2.2 Communication to Authorities
From an employment point of view, there is no legal requirement or recommendation to communicate the
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