Internal Investigation
Also known as: Corporate Investigation, Workplace Investigation, Disciplinary Investigation, Forensic Investigation, İç Soruşturma
Author Ali Gül
In short
A company's in-house examination of potentially unlawful or non-compliant acts by employees or managers, through collecting evidence, conducting interviews and reporting findings.
An internal investigation is a company’s in-house examination of potentially unlawful or non-compliant acts by employees or managers. It is triggered by a whistleblower report, audit finding, customer complaint or official investigation. Its aim is to establish what happened, who is responsible and what risk the company faces.
Process
- Scope and team: The subject, the team (legal, compliance, internal audit, external counsel and forensic specialists) and the reporting line are set.
- Preserving evidence: Emails, documents, devices and system logs are preserved before deletion; digital evidence is forensically imaged.
- Document and data review: Correspondence, accounting records and system logs are reviewed.
- Interviews: Witnesses and relevant employees are interviewed; the person concerned is informed of the allegations and their defence is taken.
- Report and action: Findings, responsibility assessment and recommendations are reported; disciplinary, employment, civil and criminal steps are decided.
Legal Points to Watch
- Personal data: Data processed in the investigation is personal data. Processing usually relies on legitimate interest or the establishment and protection of a right; data minimisation and transparency rules must be followed. See Employee Personal Data and Monitoring.
- Lawfulness of evidence: Evidence obtained unlawfully may be inadmissible and may itself constitute an offence.
- Employment law: Termination for just cause must be made within six working days of learning of the act. For termination for valid reason, the employee’s defence must be taken; see Employee Defence Before Termination.
- Attorney-client confidentiality: Having the investigation conducted by a lawyer helps protect the confidentiality of correspondence and the report.
- Authorities: If the findings indicate an offence, the company may file a criminal complaint and become an intervening party. For competition law infringements, the leniency option may be considered.
Having an internal investigation mechanism is also important evidence that the company exercised due care against the risk of administrative fines on legal entities. For collecting ethics reports, see Whistleblowing Hotline.
Frequently Asked Questions
Can a company review an employee's corporate email?
Under certain conditions. Employees must have been clearly informed in advance that corporate email is for business use and may be monitored; the review must have a legitimate purpose and be proportionate. Access to private correspondence should be minimised and the review documented.
Is timing important if the investigation leads to termination?
Yes. Termination for just cause must be made within six working days of the employer learning of the act and in any event within one year of the act. In practice this period runs from when the investigation is completed and the responsible person is informed, so investigations should proceed without delay.
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