Edited by Joseph T. Dixon, III, Peggy Kubicz Hall & Peter H. Walsh
Written to assist both in-house counsel and attorneys in private practice representing private and public companies, this handbook is a practical resource to walk professionals through all stages of a corporate investigation. Handling Internal Investigations covers a variety of topics including preliminary considerations, privilege management, document preservation, interviews, whistleblowers, working with the government and more! The goal of this handbook is to provide you with a full set of tools for the entire investigation process.
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CHAPTER 1
Investigation Considerations and Planning
Identifying Objectives; Pre-Investigation Considerations; Immediate Considerations; Coordinating With Other Parties; Planning Investigations; Conclusion
– Dulce J. Foster & Lousene M. Hoppe
CHAPTER 2
Managing Attorney-Client and Work Product Privileges During (and After) the Investigation
Introduction; Investigation Challenges Related to Privilege and In-House Counsel or Lawyers Conducting an Investigation; Work Product Protection for Investigations; Other Related Privileges; Waiving Privilege; Other Considerations
– Jenny Gassman-Pines & Karl C. Procaccini
CHAPTER 3
Document Preservation, Collection, and Review
Gathering Documentation in Internal Investigations; Review; Conclusion
– Cynthia A. Bremer, Matthew J. Piehl & David Yerich
CHAPTER 4
Effective Witness Interviews
Introduction; Setting Up the Interviews; Prepping for the Interview; Interview Procedures and Best Practices; Substance of the Interview; Issues Specific to Certain Witnesses
– Susan Gaertner & Amanda M. Sicoli
CHAPTER 5
Conducting Financial Analysis and Identifying Accounting Irregularities
Overview; Discovery of Possible Accounting Irregularity: Key Early Decisions that Must be Made; Privilege Concerns Specific to Working with Accounting Experts
– Deborah A. Ellingboe & Adam M. Nodler
CHAPTER 6
Reporting Investigation Findings and Conclusions
Whether to Prepare a Written Report; Preparation, Delivery, and Retention of a Written Report; Preparation, Delivery, and Record of a Verbal Report; Lessons Learned from Highly Publicized Case Studies
– David M. Aafedt & Alexander M. Hagstrom
CHAPTER 7
Special Considerations and Requirements in the Case Of Whistleblowers
Introduction; Whistleblowers: Their Profiles and their Claims; Select Whistleblower Protection Statutes; Key Elements of a Whistleblower Claim; The Role of Effective Compliance Programs in Minimizing Whistleblower Risk; Managing the Whistleblower in the Workplace; Disclosing Confidential or Privileged Information; Conclusion
– Donald M. Lewis & Jen L. Cornell
CHAPTER 8
Considerations for Disclosures, Cooperation, and Waiver when Working with Government Investigators
Introduction; Initial Considerations for Disclosure and Cooperation; Special Considerations when Cooperating; Special Considerations when the Client is a Victim; Navigating Client Business Considerations
– Amy S. Conners, Thomas B. Heffelfinger & Jason Walbourn
CHAPTER 9
Subpoenas, Search Warrants, and Other Government Requests For Information
Responding to Search Warrants; What to do After the Search Warrant is Executed; Responding to Subpoenas; Other Government Requests for Information; Lessons from the Field; Conclusion
– W. Anders Folk & Ann Claire Phillips
CHAPTER 10
Navigating Concurrent Investigations by Multiple Agencies
Introduction; History and Nature of Parallel Government Investigations; Common Types of Parallel Investigations; Risk Assessment and Best Practices for Mitigating Risks of Parallel Investigations; Conclusion
– Beth Forsythe, Michael Rowe & Caitlin Hull
CHAPTER 11
Special Considerations for International Investigations
Introduction and Overview; Challenges in Connection with Cross-Border Work; Overcoming Cross-Border Challenges with Effective Investigation Structure; Conclusion
– Lillian S. Hardy & Rafael M. Loureiro
CHAPTER 12
Unintended Bias in Investigations
Introduction: Bias is Normal; What are Implicit and Unconscious Bias?; Typical Biases and how “Neutral” Investigations can go Wrong; Dual System Thinking: A Key to Spotting Bias; Mitigating Bias in Investigations; Appendix A – Sample Matrix
– Fran A. Sepler
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