Internal Investigations

Step 1.

The first step is to define the scope and boundaries of the investigation. While the boundaries should not be too narrow, it's important to have a clear delineation. Otherwise, the investigation risks losing focus and expanding in various directions without making progress.

The scope can be adjusted during the course of the investigation, and it's important to be aware of the need for flexibility in this regard. In step one, it should also be clarified who is responsible for the investigation and the composition of the investigation team.

It must be ensured that the person responsible is independent, with an autonomous mandate, detached from the matter under investigation, and possesses high integrity. An analysis should also be conducted to determine if there is a reason to use external legal counsel to ensure attorney-client privilege.

Furthermore, relevant key individuals for the investigation should be identified. This includes both those suspected of wrongdoing and other individuals who may possess significant knowledge or information. The group of key individuals may also need to be revised during the investigation.

Step 2.

Here, a clear plan for conducting the investigation is made. Part of this is evaluating relevant legislation and its implications. Typical examples include rules on handling personal data and labor law. The substantive laws that may apply if the investigation reveals irregularities must also be identified.

If the investigation involves international matters, a corresponding analysis of foreign legislation needs to be conducted. At this stage, it's important to determine if there are obligations or incentives to self-report any discovered irregularities to relevant authorities.

Step 3.

The third step involves the actual gathering of facts, or in other words, the actual execution of the investigation. This may require the involvement of IT forensic experts.

It can be tempting to start with interviews immediately. However, these should be preceded by document collection and securing relevant materials. If done in the opposite order, there is a risk of evidence being destroyed or altered, and a risk of lacking the information needed to ask relevant questions.

Interviews should be carefully planned. This includes planning the order in which interviews should be conducted, where they will take place, who will be present, and whether the interviews should be conducted with a promise of confidentiality.

Step 4.

Finally, the results of the investigation are compiled, often in a report. Depending on the nature of the investigation and its purpose, the report can be structured in different ways. In some cases, a written report is important and may be made public. In other cases, a more limited written report or documentation combined with more extensive oral reporting may be appropriate.

Regardless of the format, the report should include a conclusion and recommendations for any actions, both against individuals and for the organization.

Who should conduct the investigation?

Smaller investigations can often be conducted internally. However, there are occasions when internal investigative resources are insufficient. In other cases, the nature of the case may be particularly sensitive, such as when the investigation involves a suspicion of a crime. In such situations, there is reason to use external and independent investigative resources.

Whether the investigation is conducted with internal or external resources, it is crucial for the investigation's credibility that it is carried out independently and objectively. Therefore, the scope of the investigation and the investigator's position in relation to the client need to be clear from the outset.

Additionally, the investigation must be structured so that information can be collected efficiently and discreetly without compromising security. For example, forensic tools may need to be used to review materials. Using external investigative resources can also be important to ensure that informants and others involved in the investigation have confidence in the process.

As a law firm, we can guarantee attorney-client privilege, which can be an important factor when dealing with sensitive investigations or criminal suspicions.