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Do’s and Don’ts of Conducting Internal Investigations

By Anna K. Broccolo on May 28, 2019

In 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 inappropriate conduct in the workplace. Here are several items to consider when preparing for and conducting effective internal investigations: Do:…

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One Size Does Not Fit All: The Need for a Tailored Code of Conduct

By Joseph C. Toris on March 22, 2019

Codes 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 or boilerplate language the company can adopt. But is an “off-the-shelf” Code of Conduct really of any value to an…

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Best Practices for Boards and Individual Directors

By Alyson J. Guyan on March 22, 2019

In 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 in the wake of the #MeToo movement, with many boards reviewing their contribution to the company’s culture and their role…

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Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX Claim

By Richard J. Cino & Alyssa M. Toft on March 8, 2019

In 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 dealings in China. The CEO of Bio-Rad allegedly discovered that Wadler had reported his concerns to the Board’s Audit Committee…

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Seeking Unity, Not Uniformity*: Diversity and the Corporate Board of Directors

By Teri Wilford Wood on March 6, 2019

black-female-boss-leading-corporate-meeting-talking-to-diverse-picture-id923039680

New 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 diversity is required by law. Outside the U.S., primarily in Europe, gender diversity on boards is often required. Since 2003,…

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Guideposts for Successful Internal Investigations: Part 2 – Commencing and Concluding the Investigation

By David A. Nenni on February 28, 2019

Part 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 itself; (b) gather relevant policies and documents; (c) confirm contractual requirements (if any); (d) interview the complainant to understand the…

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Guideposts for Successful Internal Investigations: Part 1 – Establishing an Investigation’s Framework

By David A. Nenni on February 27, 2019

The 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 recovered over $6.5 billion from False Claims Act cases. The recoveries, settlements, and defense costs in these matters…

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The Waiting Is the Hardest Part: Staff Decreases, Whistleblower Claim Increases Strain OSHA

By Joseph C. Toris on February 25, 2019

A February 20, 2019 article from Bloomberg Law provides statistics to explain the significant delays experienced by litigators and attorneys alike in Occupational Safety and Health Administration’s investigation of whistleblower claims. A substantial increase in the number of whistleblower complaints filed with OSHA over the past five years and a contemporaneous decrease in the number of investigators available to investigate these claims has led to longer waits for OSHA decisions and delays in the adjudication…

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A Look Back at Key Corporate Governance and Internal Investigations Issues in 2018

By Jeremy S. Schneider & Rachel E. Ehlers on February 13, 2019

2018 was a transformative year for corporate governance. Record whistleblower awards, an increasing number internal investigations partly arising out of the #MeToo movement, an expansion of the role of companies’ boards, and corporate social responsibility all shaped 2018. This is our retrospective review of these trends. Record Whistleblower Tips and Awards and Possible Changes Companies and regulatory agencies reported a rise in whistleblower tips in 2018. The Securities and Exchange Commission (SEC) Whistleblower Program had…

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Tenth Circuit Rules that False Claims Act (FCA) Does Not Cover Post-Employment Retaliation

By David R. Jimenez, Richard J. Cino & Alyssa M. Toft on November 13, 2018

In a win for employers, the Tenth Circuit Court of Appeals recently held that “…the False Claims Act’s anti-retaliation provision unambiguously excludes relief for retaliatory acts occurring after the employee has left employment.” Potts v. Center for Excellence in Higher Education, Inc., No. 17-1143 (10th Cir. Nov. 6, 2018) (emphasis added). Background Debbi Potts, a campus director at an educational organization, resigned her employment in July 2012. In September 2012, Potts and the organization entered…

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Blog Authors

Do’s and Don’ts of Conducting Internal Investigations

One Size Does Not Fit All: The Need for a Tailored Code of Conduct

Best Practices for Boards and Individual Directors

Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX Claim

Seeking Unity, Not Uniformity*: Diversity and the Corporate Board of Directors

Guideposts for Successful Internal Investigations: Part 2 – Commencing and Concluding the Investigation

Guideposts for Successful Internal Investigations: Part 1 – Establishing an Investigation’s Framework

The Waiting Is the Hardest Part: Staff Decreases, Whistleblower Claim Increases Strain OSHA

A Look Back at Key Corporate Governance and Internal Investigations Issues in 2018

Tenth Circuit Rules that False Claims Act (FCA) Does Not Cover Post-Employment Retaliation

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