Internal Investigations

News & Analysis as of

Internal Investigations — Assessing Witness Credibility

As experienced investigators know, an investigation into allegations of harassment, discrimination or other misconduct may lead to a so-called “he said/she said” scenario, possibly leaving the investigator in a quandary as to...more

Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss...more

Harassment “Must-Have” No. 5: No Retaliation!

It should be easy to avoid retaliation, right? Because retaliatory conduct is intentional – you can’t “accidentally” retaliate against someone. You can’t “negligently” seek payback....more

Employee Surveillance and Monitoring

To state the obvious (and this shows my age), we are way past George Orwell’s 1984. Yes, I know 30 years past it. But we are way past the privacy concerns expressed in Orwell’s book; we are in a new era where technology and...more

Case Alert: Employee Fairly Dismissed for Contacting the Information Commissioner's Office Against Instructions

What happened? In Barton v Royal Borough of Greenwich, the Employment Appeal Tribunal (the "EAT") decided that an employee was fairly dismissed for misconduct after failing to adhere to his employer's instructions not to...more

The Frustrating EEOC Conciliation Process

Employers are often frustrated when dealing with the Equal Employment Opportunities Commission (EEOC) regarding employee Charges of Discrimination. Many EEOC charges are legitimate and allow current or former employees an...more

Fired Nurse Loses Whistleblower Suit over Suspected Drug Use

A federal appeals court recently affirmed the dismissal of a whistleblower-retaliation suit against a Maine nursing home, holding that the plaintiff employee failed to prove that she was fired for telling her supervisor she...more

Harassment “Must-Have” no. 4: The Determination

It’s the moment of truth! (Dum-dum-DUM!) Two weeks ago, we talked about harassment “must-haves” 1 and 2: a good, plain-language policy, and training. Last week, we talked about “must-have” 3: the investigation....more

Internal Investigations: The Three C’s – Confidence. Credibility. Cost.

In this issue: - THE THREE C’S — CONFIDENCE, CREDIBILITY AND COST - WHO CONDUCTS THE INVESTIGATION? - SCOPE OF THE INVESTIGATION - MINDSET AT THE OUTSET OF AN INVESTIGATION - THE NEED FOR...more

The Ethics of Internal Investigations, Domestic and Abroad: Protecting the Attorney Client Privilege during Internal...

The attorney-client privilege and the work product doctrine are two of the oldest and most sacrosanct privileges in the law. The attorney-client privilege protects the functioning of the attorney and client...more

Another SEC Insider Trading Case: Does it Comply With Newman?

The SEC continues to bolster its allegations regarding the relationships between tipper and tippee in insider trading cases as well as the knowledge of the tippee. Whether those allegations will be sufficient to meet the...more

“Must-Haves” For Your Harassment Investigation

Last week, I posted about harassment “must-haves” for employers, and talked in detail about the first two: a good policy, and training. This week I’d like to talk about “must-have” no. 3 – a prompt, thorough, and fair...more

DOJ Provides Guidance on Its Expectations of “Best Practices” for Corporate Internal Investigations

What does the Department of Justice think is a high-quality internal investigation? How does DOJ decide whether an investigation was good enough to help a company avoid, or at least mitigate, criminal charges? In recent...more

Senn on 10 Best Practices in a Cross-Border Investigation – Part II

Today I conclude a two-part series on how to formulate an effective best practices cross-border investigation based upon an interview I did with Mara Senn, a partner at Arnold & Porter LLP, who specializes in white collar...more

Corporate Investigations & White Collar Defense - May 2015

It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” - Why it matters: On May 15, 2015, the Texas Supreme Court...more

Court Of Chancery Explains The “Personal Claim” Exception To Advancement Rights

In the area of what claims are subject to the right to have fees advanced to a former officer or director, there is no more often disputed issue than whether the claim asserted arose out of the role as an officer or director...more

Senn on 10 Best Practices in a Cross-Border Investigation – Part I

Today we celebrate a closure for it was on this day in 1935 that probably the best-known baseball player in the history of the game, George Herman ‘Babe’ Ruth, retired. While many of his records were broken with the march of...more

Five Harassment “Must Haves” For Employers

Maybe it’s just me, but workplace harassment issues seem to come in waves — I’ll go months, or even a year, without an issue, and then WHAM! everybody has a “situation,” or at least they need to get their preventive training...more

Roadmap Offers Important Insights on How to Prepare for FTC Data Breach Investigations

On May 20, 2015, Federal Trade Commission Assistant Director Mark Eichorn of the Bureau of Consumer Protection’s Division of Privacy and Identity Protection (DPIP) offered an inside look into the FTC’s investigative process...more

Texas Supreme Court: Companies Shielded from Defamation Claims for Statements in Internal Investigation Reports

Last week, the Texas Supreme Court joined the majority of jurisdictions in holding that a company enjoys an absolute privilege when providing the Department of Justice (DOJ) with an internal investigation report containing...more

4 Questions to Ask When You Learn of Potential FCPA Violation

You can add this blog posting to my tagged category – “profound grasps of the obvious.” If you are brave and willing to succumb to yet another in this series, please read on. Much has been written about how to conduct...more

Preventing the Worst: Stopping Obvious and Bold FCPA Violations by Executives

Last year, a number of corruption cases, both individual prosecutions and suits against companies, revolved around the behavior of senior executives. While third parties can often be the vehicle companies use to funnel bribe...more

Union Represented Employee Not Entitled To Co-Worker Witness During Investigatory Interview, NLRB Rules

The last few months at the NLRB have been relatively quiet, save of course for the ambush election rules which went into effect on April 15; the true impact of these rules has yet to be revealed. Many of the recent Board...more

DOJ Criminal Investigations: “Boiling the Ocean” and Other Fish Tales (Part II of IV)

The old maxim – “Justice delayed is justice denied” – is a powerful statement relating to our criminal justice system. A subject of a criminal investigation – corporate or individual — undergoes enormous stress from a...more

DOJ: Companies Need Not Expend Exorbitant Fees to Get Full Cooperation Credit

During an FCPA panel event, the Chief of the US Department of Justice’s Fraud Section advised companies to conduct “targeted” FCPA investigations, dismissing the suggestion that companies must spend hundreds of millions of...more

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