Internal investigations

An internal investigation is a legal process undertaken by an organisation (with or without outside counsel) to review and identify facts relating to a specific allegation, concern or misconduct and remediate potential irregularities.

Common scenarios that may trigger an investigation include:

•
an individual raising a concern internally via a whistleblowing hotline or otherwise (whistleblower)
•
a response to a regulatory or criminal agency demand
•
part of due diligence in advance of a merger or acquisition
•
a civil litigation claim
•
an internal or external auditor’s report
•
media reports
•
an external allegation, eg from a customer or counter-party

Who should conduct the investigation?

The organisation’s general counsel should decide on how best to conduct the investigation, although they may establish a special committee comprising members of the board of directors or the audit committee.

For more guidance, see Practice Note: How to plan and conduct an internal investigation—Who should conduct the investigation?

Internal and external communications

Internal communications

Ensure only those that need to know are kept informed of details regarding the investigation. As any internal written communications may not be privileged, they

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