Internal corporate investigations /
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| Edition: | 3rd ed. |
|---|---|
| Imprint: | Chicago : Section of Litigation, American Bar Association, c2007. |
| Description: | xviii, 526 p. ; 23 cm. |
| Language: | English |
| Subject: | |
| Format: | Print Book |
| URL for this record: | http://pi.lib.uchicago.edu/1001/cat/bib/6653211 |
Table of Contents:
- About the Editors
- About the Contributors
- Chapter 1. Overview: Initiating an Internal Investigation and Assembling the Investigative Team
- I. Introduction
- A. The Sarbanes-Oxley Act of 2002 and Its Aftermath
- B. The McNulty Memo of 2007: Cooperation, Waiver and Indemnification
- II. Different Types of Internal Investigations
- III. The Initial Meeting
- A. The Starting Point: Identifying the Client and Deciding Whether to Conduct an Investigation
- B. Defining the Scope of Internal Investigation
- C. Applying the Attorney-Client Privilege and Work-Product Doctrine
- D. Assembling the Investigative Team
- E. Agreeing to Lines of Reporting and Supervision
- F. Anticipating What Can Go Wrong
- IV. Preliminary Steps to Prepare for Government Investigations
- V. Conclusion
- Chapter 2. Implications of the Attorney-Client Privilege and Work-Product Doctrine
- I. Introduction
- II. Attorney-Client Privilege
- A. Definition of the Attorney-Client Privilege
- B. Elements of Attorney-Client Privilege
- C. Practical Problems of Employee Interviews
- III. Work Product Protection
- A. Work-Product Doctrine Defined
- B. Factual Versus Opinion Work Product
- C. Elements of the Work-Product Doctrine
- D. Overcoming the Qualified Immunity
- E. Protection of a Lawyer's Mental Impressions
- IV. Overcoming the Attorney-Client Privilege and Work-Product Doctrine
- A. Waiver
- B. The Crime/Fraud Exception
- C. Shareholder Litigation
- V. Effect of the Sarbanes-Oxley Act and Recent Securities Exchange Commission and Department of Justice Policies on the Attorney-Client Privilege
- Chapter 3. The Witness Interview Process
- I. Introduction
- II. Preparing for Witness Interviews
- A. Initial Concerns
- B. Key Principles
- C. Before the Interview
- III. Conducting the Interview
- A. Mechanics
- B. Warnings to Witnesses and the Attorney-Client Privilege
- C. Conducting the Interview
- IV. Making a Record of the Interview
- V. Special Issues
- A. Sarbanes-Oxley and the Responsibilities of Counsel
- B. Obstruction of Justice
- C. Other Typical Problems That Arise during Witness Interviews
- VI. Conclusion
- Chapter 4. Perjury and Obstruction of Justice
- I. Introduction
- II. Perjury and Subornation of Perjury
- A. Perjury Under [section] 1621: Essential Elements
- B. Burden of Proof and the Two Witness Rule
- C. True Answers and Ambiguous Questions
- D. Perjury Under [section] 1623: Differences
- E. Subornation of Perjury
- III. Obstruction of Justice
- A. False Statements
- B. Witness Tampering
- C. Document Destruction
- Chapter 5. Gathering and Organizing Relevant Documents: An Essential Task in Any Investigation
- I. Introduction
- II. Organization and Planning
- A. Initial Dialogue with Management
- B. Document Retention and Preservation
- C. The Investigating Team
- D. Initial On-Site Inspection
- III. Document Gathering
- A. Ensuring Comprehensiveness
- B. Ensuring Integrity and Control
- C. Electronic Document Gathering
- IV. Document Processing
- A. Overview
- B. Numbering
- C. Copies
- D. Review
- E. Indexing and Coding
- F. Computer Imaging of Documents
- G. Inadvertent Waiver of Privilege
- V. Preparation of Internal Summaries, Chronologies, Binders
- A. Hot Document Chronology
- B. Summaries
- VI. Production of Documents to Government or Civil Litigants
- A. Advocacy Considerations
- B. Personal versus Business Records
- C. Production Abuses
- D. Destruction of Documents
- E. Confidentiality Agreements
- VII. Conclusion
- Appendix A
- Appendix B
- Appendix C
- Appendix D
- Chapter 6. The Hydra Effect: Parallel Proceedings Accompanying Internal Investigations
- I. Introduction
- II. Recurring Issues in Parallel Proceedings
- A. Obtaining Civil Stays to Prevent Criminal Prejudice
- B. The Fifth Amendment and Adverse Civil Inferences
- C. Criminal and Civil Penalties: Double Jeopardy?
- D. Collateral Estoppel: The Consequences of "Losing"
- E. Responding to Employee Misconduct
- F. Ex Parte Contacts by Government Lawyers
- G. Providing Legal Representation for Employees
- H. Joint Defense Agreements: Benefits, Limits, and Risks
- I. Keeping the Government-Disclosure Genie in the Bottle
- J. The Perils of Parallelism for Government Contractors
- K. The Gestalt of Parallel-Proceedings Resolution
- III. Conclusion
- Chapter 7. Disclosure of Results of Internal Investigations to the Government or Other Third Parties
- I. Introduction
- II. Required Disclosure
- A. Common-Law Rule
- B. Statutory Disclosure Requirements
- C. Problems Arising from Counsel's Knowledge of Criminal Conduct
- III. Voluntary Disclosure
- A. The Benefits
- B. The Risks
- IV. The Mechanics of Disclosure
- V. Conclusion
- Chapter 8. The Special Litigation Committee Investigation: No Undertaking for the Faint of Heart
- I. The Setting
- II. The Theoretical Foundation for a Special Litigation Committee
- III. Derivative Plaintiff's Counsel
- IV. The Total Context
- V. Selection of Counsel
- VI. The Independence of the Committee
- VII. The Dilemma Inherent in the Committee's Work
- VIII. It is the Committee's Investigation
- IX. Committee Interviews
- X. Minutes of Committee Meetings
- XI. Relationship with Other Inside and Outside Counsel
- XII. Appearance of Counsel for Derivative Plaintiff
- XIII. Protecting the Privilege
- XIV. The Investigation
- XV. Conclusion
- Appendix A
- Appendix B
- Appendix C
- Chapter 9. Unique Problems Associated with Internal Investigations in Environmental Cases
- I. Introduction
- II. Reactive Investigations
- A. Search Warrants
- B. Agency Demands to Review and Photocopy Documents
- C. Notices of Violations
- D. Conducting a Reactive Internal Investigation
- III. Voluntary Environmental Internal Investigations
- A. Reasons for Environmental Compliance Audits
- B. Importance of Periodic Audits by Outside Consultants
- C. Problems Posed by Audits
- D. Electronic Records
- E. Audit Privilege Law
- IV. Conclusion
- Appendix A
- Chapter 10. Report of the Investigation
- I. Introduction
- II. Discoverability of the Internal Investigative Report
- A. Attorney-Client Privilege
- B. Work-Product Doctrine: A More Certain Refuge
- C. Expanding the Privilege of Self-Criticism
- III. Protecting the Report: Shareholder Actions and Disclosure to Government Agencies
- A. Shareholder Actions
- B. Disclosure to Government Agencies
- IV. Libel
- A. Written Reports May Invite Libel Claims
- B. Example of Libel Claims against Counsel
- C. Opinion and Qualified Interest Privileges
- D. Strategies for Minimizing Liability for Defamation
- V. Conclusion
- A. Summary
- B. Minimizing Risks
- Chapter 11. Internal Investigations for Government Contractors
- I. Who are Government Contractors?
- A. Suppliers to the Federal Government
- B. Health Care
- C. Other Government Contractors
- II. Beginning of the Investigation
- A. Subpoenas
- B. Internal Discovery
- C. The Qui Tam Telephone Call
- III. Responding to a Fraud Investigation Basic Principles for Government Contractors
- A. Unique Features of Fraud Investigations Faced by Government Contractors
- IV. Conclusion
- Chapter 12. No Security: Internal Investigations into Violations of the Securities Laws
- I. Overview of Securities Violations
- II. Duties-and Pressure-to Uncover, Investigate, and Report Violations
- A. Publicly Traded Companies
- B. Brokers and Dealers
- III. Conducting Internal Investigations and Dealing with Related Issues in the Conduct of Parallel Proceedings
- A. Ensuring an Independent Investigation
- B. The (Largely) Insoluble Problem of Using the Investigation to Assist in Dealing with the Government without Waiving the Privilege
- C. Fifth Amendment Assertions: The Difficult Choices Faced by Individuals in Internal Investigations, and the Potential Impact of Those Choices on the Company
- D. Stays of Parallel Civil and SEC Proceedings
- E. Auditors' Involvement in Internal Investigations
- IV. Concluding Lessons
- Chapter 13. Internal Investigations in Health Care: Unique Enforcement Environment and the Dilemma of Disclosure
- I. Introduction
- II. Health Care Enforcement Environment
- A. Civil and Administrative Enforcement
- B. Criminal Enforcement
- III. Corporate Compliance Programs
- A. Federal Sentencing Guidelines
- B. The OIG Model Plans
- C. Corporate Integrity Agreements
- IV. Self-Reporting: Mandatory of Voluntary
- A. Relevant Statutes
- B. Corporate Integrity Agreements and the OIG Model Plans
- C. The OIG's Provider Self-Disclosure Protocol
- D. Risks and Benefits of Voluntary Disclosure
- V. Conclusion
- Chapter 14. An Overview of Internal Investigations from the In-House Perspective
- I. Introduction
- II. When Should an Internal Investigation Be Undertaken?
- III. Who Should Conduct the Investigation?
- IV. Initiating the Investigation
- V. Structuring the Investigation
- A. Assembling the Investigative Team
- B. The Investigative Plan
- VI. Reporting the Results of the Investigation
- VII. Conclusion
- Chapter 15. Internal Investigations in Antitrust Matters
- I. Overview of Applicable Laws and Enforcement Landscape
- A. Federal Enforcement
- B. State Enforcement
- C. Foreign Enforcement
- II. Unique Considerations in Antitrust Internal Investigations
- A. Identifying Your Client
- B. Investigative Steps
- C. Privilege Waiver Issues
- D. Reporting Process
- E. Relations with Counsel for Other Investigated Parties
- III. Criminal Investigations-What Every Practitioner and Client Must Know
- A. Increasingly High Stakes
- B. Investigative Tools
- C. Amnesty Under the Corporate Leniency Policy
- D. Value of Cooperation When Amnesty Is Not Available
- E. Assessing Whether Individual Employees Need Separate Counsel
- F. Making a Proffer and Preparing for Interviews and Testimony
- IV. Related Litigation
- A. Types of Civil Actions
- B. Parallel Litigation Concerns
- C. Benefits in Private Litigation from Amnesty Participation
- V. Conclusion
- Chapter 16. SOX It to Me: Internal Investigations in a Sarbanes-Oxley World
- I. Introduction
- II. Background of the Act
- III. The Act's Implications for Internal Corporate Investigations
- A. Provisions of the Act Contributing to the Increase of Investigations
- B. Preliminary Considerations at the Commencement of the Investigation
- C. Dealing with the Company's Outside Auditors
- D. Disclosure to the Market
- E. Remedial Steps
- IV. Conclusion
- Index
