The Importance of Developing an Investigation PlanThe importance of a prompt and thorough internal investigation is more evident than ever, and an effective investigation plan can protect the company’s interests when reviewing internal complaints. Consider the following when developing an investigation plan. Take Necessary Immediate Action: When receiving a complaint, outline the issues involved to determine if there are any necessary immediate action...… Continue ReadingOctober 30, 2019 |
Department of Justice Guidance on Companies’ Claim of Inability to Pay Criminal FinesThe Department of Justice Criminal Division has clarified its policy on the Department’s assessment of a company’s claim that it cannot afford to pay a criminal fine in a memorandum issued on October 8, 2019. Criminal Division department head Brian Benczkowski had previewed the memorandum during a speech in September. While the DOJ already permitted...… Continue ReadingOctober 17, 2019 |
Considerations in Selecting an InvestigatorA threshold issue in any internal investigation is the selection of an investigator. A number of considerations will guide a company’s decision. Internal or External Investigator There are several factors to consider in selecting an investigator, and practical considerations frequently indicate that the investigation be conducted by an internal investigator. However, employers often opt to...… Continue ReadingSeptember 19, 2019 |
Do’s and Don’ts of Conducting Internal InvestigationsIn today’s post #MeToo era, most companies, big or small, will likely need to conduct an internal investigation on an employee’s claims. Knowing how to conduct a successful internal investigation will help a company protect itself. Not only do internal investigations help avoid litigation, they may also improve employee morale, increase productivity, and oftentimes, end...… Continue ReadingMay 28, 2019 |
One Size Does Not Fit All: The Need for a Tailored Code of ConductCodes of Conduct are designed to set forth an organization’s values and principles, while detailing expectations for employees. In many ways, it is one of the most important documents an organization can develop. At times, when an employer decides it needs to develop a Code, it often asks counsel whether there is a sample Code...… Continue ReadingMarch 22, 2019 |
Best Practices for Boards and Individual DirectorsIn today’s climate, boards are under increased scrutiny and governance continues to be a key compliance function. As a result, sound governance practices are an important focus for organizations. Boards are expected to set organizational culture and foster an environment that encourages ethical conduct and a commitment to legal compliance. These expectations have played out...… Continue ReadingMarch 22, 2019 |
Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX ClaimIn Wadler v. Bio-Rad Labs., Inc., the Ninth Circuit narrowed the circumstances under which a plaintiff can prove a Sarbanes-Oxley Act (“SOX”) claim. Sanford Wadler, the former general counsel of Bio-Rad Laboratories, Inc., alleged that during his tenure, he raised concerns that Bio-Rad violated the Foreign Corrupt Practices Act (“FCPA”) in connection with certain business...… Continue ReadingMarch 8, 2019 |
Seeking Unity, Not Uniformity*: Diversity and the Corporate Board of DirectorsNew board of directors appointments such as Indra Nooyi joining Amazon, Nikki Haley nominated by Boeing, and Michelle J. Howard as IBM’s latest director illustrate the accelerating trend of gender and minority diversity on corporate boards – an apt topic for Women’s History Month. And there are plentiful reasons for promoting board diversity. Sometimes board...… Continue ReadingMarch 6, 2019 |
Guideposts for Successful Internal Investigations: Part 2 – Commencing and Concluding the InvestigationPart 1 of this two-part series explored the five steps to consider before and at the start of any internal investigation. The next five steps focus on conducting and concluding the investigation and will help guide a company during the actual investigation, after establishing its framework. Gather Information. The investigator should: (a) assess the complaint...… Continue ReadingFebruary 28, 2019 |
Guideposts for Successful Internal Investigations: Part 1 – Establishing an Investigation’s FrameworkThe ability to effectively conduct internal investigations is essential to any business. From fiscal year 2014 to fiscal year 2018, the number of whistleblower retaliation complaints filed with OSHA has increased by 29 percent. Between 2007 and 2017, retaliation claims filed with the EEOC nearly doubled. In fiscal years 2017 and 2018, the Justice Department...… Continue ReadingFebruary 27, 2019 |
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