Internal corporate investigations Barry F. McNeil and Brad D. Brian, editors.

Colaborador(es):

Detalles de publicación: Chicago, Ill. Section of Litigation, American Bar Association c2007.Edición: 3rd edDescripción: xviii, 526 p. 23 cmISBN:

9781590319154 (pbk.)
159031915X (pbk.)

Títulos uniformes:

American Bar Association archive publications.

Tema(s):

Clasificación CDD:

345.73/0268 22

Clasificación LoC:

KF 1416 .I573 2007

Contenidos:

Chapter 1 Overview: Initiating an Internal Investigation and Assembling the Investigative Team 1 -- A The Sarbanes-Oxley Act of 2002 and Its Aftermath 3 -- B The McNulty Memo of 2007: Cooperation, Waiver and Indemnification 5 -- II Different Types of Internal Investigations 6 -- III The Initial Meeting 7 -- A The Starting Point: Identifying the Client and Deciding Whether to Conduct an Investigation 7 -- B Defining the Scope of Internal Investigation 9 -- C Applying the Attorney-Client Privilege and Work-Product Doctrine 10 -- D Assembling the Investigative Team 11 -- E Agreeing to Lines of Reporting and Supervision 12 -- F Anticipating What Can Go Wrong 13 -- IV Preliminary Steps to Prepare for Government Investigations 14 -- Chapter 2 Implications of the Attorney-Client Privilege and Work-Product Doctrine 17 -- II Attorney-Client Privilege 19 -- A Definition of the Attorney-Client Privilege 19 -- B Elements of Attorney-Client Privilege 21 -- C Practical Problems of Employee Interviews 36 -- III Work Product Protection 44 -- A Work-Product Doctrine Defined 44 -- B Factual Versus Opinion Work Product 46 -- C Elements of the Work-Product Doctrine 47 -- D Overcoming the Qualified Immunity 56 -- E Protection of a Lawyer's Mental Impressions 57 -- IV Overcoming the Attorney-Client Privilege and Work-Product Doctrine 60 -- A Waiver 60 -- B The Crime/Fraud Exception 78 -- C Shareholder Litigation 82 -- V Effect of the Sarbanes-Oxley Act and Recent Securities Exchange Commission and Department of Justice Policies on the Attorney-Client Privilege 86 -- Chapter 3 The Witness Interview Process 93 -- II Preparing for Witness Interviews 95 -- A Initial Concerns 95 -- B Key Principles 98 -- C Before the Interview 100 -- III Conducting the Interview 102 -- A Mechanics 102 -- B Warnings to Witnesses and the Attorney-Client Privilege 103

C Conducting the Interview 107 -- IV Making a Record of the Interview 108 -- A Sarbanes-Oxley and the Responsibilities of Counsel 111 -- B Obstruction of Justice 112 -- C Other Typical Problems That Arise during Witness Interviews 114 -- Chapter 4 Perjury and Obstruction of Justice 117 -- II Perjury and Subornation of Perjury 118 -- A Perjury Under [section] 1621: Essential Elements 119 -- B Burden of Proof and the Two Witness Rule 121 -- C True Answers and Ambiguous Questions 122 -- D Perjury Under [section] 1623: Differences 124 -- E Subornation of Perjury 126 -- III Obstruction of Justice 130 -- A False Statements 131 -- B Witness Tampering 135 -- C Document Destruction 140 -- Chapter 5 Gathering and Organizing Relevant Documents: An Essential Task in Any Investigation 147 -- II Organization and Planning 150 -- A Initial Dialogue with Management 150 -- B Document Retention and Preservation 152 -- C The Investigating Team 152 -- D Initial On-Site Inspection 153 -- III Document Gathering 153 -- A Ensuring Comprehensiveness 153 -- B Ensuring Integrity and Control 154 -- C Electronic Document Gathering 155 -- IV Document Processing 156 -- B Numbering 157 -- C Copies 157 -- E Indexing and Coding 159.

Existencias
Imagen de cubierta	Tipo de ítem	Biblioteca actual	Biblioteca de origen	Colección	Ubicación en estantería	Signatura topográfica	Materiales especificados	Info Vol	URL	Copia número	Estado	Notas	Fecha de vencimiento	Código de barras	Reserva de ítems	Prioridad de la cola de reserva de ejemplar	Reservas para cursos
	Libro	Biblioteca de Derecho Mons. Fremiot Torres Oliver Colección General biblioteca derecho				KF 1416 .I573 2007 (Navegar estantería(Abre debajo))					Disponible			70000000884578

Total de reservas: 0

Descripciones mejoradas de Syndetics:

In the wake of highly publicized corporate shake-ups, internal investigations have gained national prominence and established themselves as an important tool of management. This newly updated and expanded resource guides you through the intricate steps of conducting an effective and efficient internal investigation. Each chapter covers one aspect of conducting an investigation, clearly describing and advising you on the methods and skills involved, while providing you with practical tips on anticipating, recognizing, and avoiding the traps you are certain to encounter.

Includes bibliographical references and index.

Microfiche. [Buffalo, NY] W.S. Hein Co. [1993- ]. microfiche : negative ; 11 x 15 cm. American Bar Association archive publications.

Tabla de contenidos provista por Syndetics

About the Editors(p. xiii)
About the Contributors(p. xv)
Chapter 1 Overview: Initiating an Internal Investigation and Assembling the Investigative Team(p. 1)
I Introduction(p. 2)
A The Sarbanes-Oxley Act of 2002 and Its Aftermath(p. 3)
B The McNulty Memo of 2007: Cooperation, Waiver and Indemnification(p. 5)
II Different Types of Internal Investigations(p. 6)
III The Initial Meeting(p. 7)
A The Starting Point: Identifying the Client and Deciding Whether to Conduct an Investigation(p. 7)
B Defining the Scope of Internal Investigation(p. 9)
C Applying the Attorney-Client Privilege and Work-Product Doctrine(p. 10)
D Assembling the Investigative Team(p. 11)
E Agreeing to Lines of Reporting and Supervision(p. 12)
F Anticipating What Can Go Wrong(p. 13)
IV Preliminary Steps to Prepare for Government Investigations(p. 14)
V Conclusion(p. 16)
Chapter 2 Implications of the Attorney-Client Privilege and Work-Product Doctrine(p. 17)
I Introduction(p. 18)
II Attorney-Client Privilege(p. 19)
A Definition of the Attorney-Client Privilege(p. 19)
B Elements of Attorney-Client Privilege(p. 21)
C Practical Problems of Employee Interviews(p. 36)
III Work Product Protection(p. 44)
A Work-Product Doctrine Defined(p. 44)
B Factual Versus Opinion Work Product(p. 46)
C Elements of the Work-Product Doctrine(p. 47)
D Overcoming the Qualified Immunity(p. 56)
E Protection of a Lawyer's Mental Impressions(p. 57)
IV Overcoming the Attorney-Client Privilege and Work-Product Doctrine(p. 60)
A Waiver(p. 60)
B The Crime/Fraud Exception(p. 78)
C Shareholder Litigation(p. 82)
V Effect of the Sarbanes-Oxley Act and Recent Securities Exchange Commission and Department of Justice Policies on the Attorney-Client Privilege(p. 86)
Chapter 3 The Witness Interview Process(p. 93)
I Introduction(p. 94)
II Preparing for Witness Interviews(p. 95)
A Initial Concerns(p. 95)
B Key Principles(p. 98)
C Before the Interview(p. 100)
III Conducting the Interview(p. 102)
A Mechanics(p. 102)
B Warnings to Witnesses and the Attorney-Client Privilege(p. 103)
C Conducting the Interview(p. 107)
IV Making a Record of the Interview(p. 108)
V Special Issues(p. 111)
A Sarbanes-Oxley and the Responsibilities of Counsel(p. 111)
B Obstruction of Justice(p. 112)
C Other Typical Problems That Arise during Witness Interviews(p. 114)
VI Conclusion(p. 116)
Chapter 4 Perjury and Obstruction of Justice(p. 117)
I Introduction(p. 117)
II Perjury and Subornation of Perjury(p. 118)
A Perjury Under [section] 1621: Essential Elements(p. 119)
B Burden of Proof and the Two Witness Rule(p. 121)
C True Answers and Ambiguous Questions(p. 122)
D Perjury Under [section] 1623: Differences(p. 124)
E Subornation of Perjury(p. 126)
III Obstruction of Justice(p. 130)
A False Statements(p. 131)
B Witness Tampering(p. 135)
C Document Destruction(p. 140)
Chapter 5 Gathering and Organizing Relevant Documents: An Essential Task in Any Investigation(p. 147)
I Introduction(p. 148)
II Organization and Planning(p. 150)
A Initial Dialogue with Management(p. 150)
B Document Retention and Preservation(p. 152)
C The Investigating Team(p. 152)
D Initial On-Site Inspection(p. 153)
III Document Gathering(p. 153)
A Ensuring Comprehensiveness(p. 153)
B Ensuring Integrity and Control(p. 154)
C Electronic Document Gathering(p. 155)
IV Document Processing(p. 156)
A Overview(p. 156)
B Numbering(p. 157)
C Copies(p. 157)
D Review(p. 158)
E Indexing and Coding(p. 159)
F Computer Imaging of Documents(p. 160)
G Inadvertent Waiver of Privilege(p. 161)
V Preparation of Internal Summaries, Chronologies, Binders(p. 162)
A Hot Document Chronology(p. 162)
B Summaries(p. 164)
VI Production of Documents to Government or Civil Litigants(p. 164)
A Advocacy Considerations(p. 164)
B Personal versus Business Records(p. 166)
C Production Abuses(p. 167)
D Destruction of Documents(p. 167)
E Confidentiality Agreements(p. 168)
VII Conclusion(p. 169)
Appendix A(p. 170)
Appendix B(p. 172)
Appendix C(p. 173)
Appendix D(p. 174)
Chapter 6 The Hydra Effect: Parallel Proceedings Accompanying Internal Investigations(p. 175)
I Introduction(p. 176)
II Recurring Issues in Parallel Proceedings(p. 178)
A Obtaining Civil Stays to Prevent Criminal Prejudice(p. 178)
B The Fifth Amendment and Adverse Civil Inferences(p. 185)
C Criminal and Civil Penalties: Double Jeopardy?(p. 188)
D Collateral Estoppel: The Consequences of "Losing"(p. 193)
E Responding to Employee Misconduct(p. 197)
F Ex Parte Contacts by Government Lawyers(p. 200)
G Providing Legal Representation for Employees(p. 210)
H Joint Defense Agreements: Benefits, Limits, and Risks(p. 215)
I Keeping the Government-Disclosure Genie in the Bottle(p. 224)
J The Perils of Parallelism for Government Contractors(p. 231)
K The Gestalt of Parallel-Proceedings Resolution(p. 234)
III Conclusion(p. 240)
Chapter 7 Disclosure of Results of Internal Investigations to the Government or Other Third Parties(p. 241)
I Introduction(p. 242)
II Required Disclosure(p. 243)
A Common-Law Rule(p. 243)
B Statutory Disclosure Requirements(p. 245)
C Problems Arising from Counsel's Knowledge of Criminal Conduct(p. 248)
III Voluntary Disclosure(p. 250)
A The Benefits(p. 250)
B The Risks(p. 254)
IV The Mechanics of Disclosure(p. 259)
V Conclusion(p. 259)
Chapter 8 The Special Litigation Committee Investigation: No Undertaking for the Faint of Heart(p. 261)
I The Setting(p. 262)
II The Theoretical Foundation for a Special Litigation Committee(p. 263)
III Derivative Plaintiff's Counsel(p. 265)
IV The Total Context(p. 265)
V Selection of Counsel(p. 266)
VI The Independence of the Committee(p. 267)
VII The Dilemma Inherent in the Committee's Work(p. 269)
VIII It is the Committee's Investigation(p. 270)
IX Committee Interviews(p. 271)
X Minutes of Committee Meetings(p. 271)
XI Relationship with Other Inside and Outside Counsel(p. 272)
XII Appearance of Counsel for Derivative Plaintiff(p. 273)
XIII Protecting the Privilege(p. 274)
XIV The Investigation(p. 277)
XV Conclusion(p. 279)
Appendix A(p. 280)
Appendix B(p. 281)
Appendix C(p. 282)
Chapter 9 Unique Problems Associated with Internal Investigations in Environmental Cases(p. 283)
I Introduction(p. 284)
II Reactive Investigations(p. 285)
A Search Warrants(p. 285)
B Agency Demands to Review and Photocopy Documents(p. 288)
C Notices of Violations(p. 289)
D Conducting a Reactive Internal Investigation(p. 289)
III Voluntary Environmental Internal Investigations(p. 291)
A Reasons for Environmental Compliance Audits(p. 291)
B Importance of Periodic Audits by Outside Consultants(p. 292)
C Problems Posed by Audits(p. 293)
D Electronic Records(p. 294)
E Audit Privilege Law(p. 294)
IV Conclusion(p. 295)
Appendix A(p. 296)
Chapter 10 Report of the Investigation(p. 301)
I Introduction(p. 302)
II Discoverability of the Internal Investigative Report(p. 304)
A Attorney-Client Privilege(p. 305)
B Work-Product Doctrine: A More Certain Refuge(p. 308)
C Expanding the Privilege of Self-Criticism(p. 310)
III Protecting the Report: Shareholder Actions and Disclosure to Government Agencies(p. 312)
A Shareholder Actions(p. 312)
B Disclosure to Government Agencies(p. 315)
IV Libel(p. 319)
A Written Reports May Invite Libel Claims(p. 319)
B Example of Libel Claims against Counsel(p. 321)
C Opinion and Qualified Interest Privileges(p. 322)
D Strategies for Minimizing Liability for Defamation(p. 329)
V Conclusion(p. 331)
A Summary(p. 331)
B Minimizing Risks(p. 331)
Chapter 11 Internal Investigations for Government Contractors(p. 335)
I Who are Government Contractors?(p. 336)
A Suppliers to the Federal Government(p. 337)
B Health Care(p. 338)
C Other Government Contractors(p. 338)
II Beginning of the Investigation(p. 339)
A Subpoenas(p. 340)
B Internal Discovery(p. 342)
C The Qui Tam Telephone Call(p. 342)
III Responding to a Fraud Investigation Basic Principles for Government Contractors(p. 344)
A Unique Features of Fraud Investigations Faced by Government Contractors(p. 344)
IV Conclusion(p. 350)
Chapter 12 No Security: Internal Investigations into Violations of the Securities Laws(p. 353)
I Overview of Securities Violations(p. 354)
II Duties-and Pressure-to Uncover, Investigate, and Report Violations(p. 360)
A Publicly Traded Companies(p. 360)
B Brokers and Dealers(p. 381)
III Conducting Internal Investigations and Dealing with Related Issues in the Conduct of Parallel Proceedings(p. 384)
A Ensuring an Independent Investigation(p. 386)
B The (Largely) Insoluble Problem of Using the Investigation to Assist in Dealing with the Government without Waiving the Privilege(p. 389)
C Fifth Amendment Assertions: The Difficult Choices Faced by Individuals in Internal Investigations, and the Potential Impact of Those Choices on the Company(p. 406)
D Stays of Parallel Civil and SEC Proceedings(p. 413)
E Auditors' Involvement in Internal Investigations(p. 417)
IV Concluding Lessons(p. 420)
Chapter 13 Internal Investigations in Health Care: Unique Enforcement Environment and the Dilemma of Disclosure(p. 423)
I Introduction(p. 424)
II Health Care Enforcement Environment(p. 424)
A Civil and Administrative Enforcement(p. 425)
B Criminal Enforcement(p. 425)
III Corporate Compliance Programs(p. 427)
A Federal Sentencing Guidelines(p. 427)
B The OIG Model Plans(p. 428)
C Corporate Integrity Agreements(p. 430)
IV Self-Reporting: Mandatory of Voluntary(p. 431)
A Relevant Statutes(p. 432)
B Corporate Integrity Agreements and the OIG Model Plans(p. 433)
C The OIG's Provider Self-Disclosure Protocol(p. 434)
D Risks and Benefits of Voluntary Disclosure(p. 436)
V Conclusion(p. 439)
Chapter 14 An Overview of Internal Investigations from the In-House Perspective(p. 441)
I Introduction(p. 441)
II When Should an Internal Investigation Be Undertaken?(p. 449)
III Who Should Conduct the Investigation?(p. 450)
IV Initiating the Investigation(p. 452)
V Structuring the Investigation(p. 453)
A Assembling the Investigative Team(p. 453)
B The Investigative Plan(p. 453)
VI Reporting the Results of the Investigation(p. 463)
VII Conclusion(p. 464)
Chapter 15 Internal Investigations in Antitrust Matters(p. 467)
I Overview of Applicable Laws and Enforcement Landscape(p. 467)
A Federal Enforcement(p. 467)
B State Enforcement(p. 468)
C Foreign Enforcement(p. 468)
II Unique Considerations in Antitrust Internal Investigations(p. 469)
A Identifying Your Client(p. 469)
B Investigative Steps(p. 470)
C Privilege Waiver Issues(p. 471)
D Reporting Process(p. 471)
E Relations with Counsel for Other Investigated Parties(p. 472)
III Criminal Investigations-What Every Practitioner and Client Must Know(p. 472)
A Increasingly High Stakes(p. 473)
B Investigative Tools(p. 475)
C Amnesty Under the Corporate Leniency Policy(p. 478)
D Value of Cooperation When Amnesty Is Not Available(p. 485)
E Assessing Whether Individual Employees Need Separate Counsel(p. 486)
F Making a Proffer and Preparing for Interviews and Testimony(p. 487)
IV Related Litigation(p. 488)
A Types of Civil Actions(p. 488)
B Parallel Litigation Concerns(p. 489)
C Benefits in Private Litigation from Amnesty Participation(p. 490)
V Conclusion(p. 490)
Chapter 16 SOX It to Me: Internal Investigations in a Sarbanes-Oxley World(p. 491)
I Introduction(p. 492)
II Background of the Act(p. 493)
III The Act's Implications for Internal Corporate Investigations(p. 496)
A Provisions of the Act Contributing to the Increase of Investigations(p. 496)
B Preliminary Considerations at the Commencement of the Investigation(p. 499)
C Dealing with the Company's Outside Auditors(p. 505)
D Disclosure to the Market(p. 509)
E Remedial Steps(p. 510)
IV Conclusion(p. 511)
Index(p. 513)

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