An internal investigation is an important mechanism an organization can use to address an allegation of wrongdoing, determine legal liability, identify individuals or parties with culpability, comply with regulatory requirements, develop corrective measures and enhance operational efficiencies. Buckner is pleased to continue its blog series highlighting best practices, strategies and techniques that can be used by organizational leaders and counsel during an internal investigation. Today’s post will highlight investigation insights from United States Department of Justice (“DOJ”) officials made in speeches and comments, which were summarized by Eugene Illovsky in a post on the Harvard Law School Forum on Corporate Governance and Financial Regulation website. Today’s DOJ-identified best practice, as well as all recommendations in this series, can be applied when designing an organization’s compliance program, as well as conducting internal investigations:
Scope, Design and Target. An organization should devise an investigation plan to “root out relevant facts, identify and interview the knowledgeable actors and capture and preserve relevant documents and other evidence.” Further, if an organization’s internal investigation “unearths criminal conduct,” then the “inquiry should be thorough enough to identify the relevant facts, players, documents and other evidence, and to get a sense of the pervasiveness of the misconduct.”
Quotes are from Eugene Illovsky, “DOJ Provides “Best Practices” for Corporate Internal Investigations”, Harvard Law School Forum on Corporate Governance and Financial Regulation, available at: DOJ Provides “Best Practices” for Corporate Internal Investigations (brackets and other editorial devices were omitted from the quotes for easier reading).
Contact attorney Michael L. Buckner (+1-954-941-1844; firstname.lastname@example.org) for additional information on conducting internal investigations and intelligence-gathering.