Caroline Black

This Practice Note provides guidance on creating an internal investigation framework. An internal investigation is a legal process to review and identify facts relating to a specific allegation, concern or misconduct and remediate potential irregularities.

This Practice Note covers creating an internal investigation framework and provides practical guidance on conducting an investigation. An internal investigation is a legal process to review and identify facts relating to a specific allegation, concern or misconduct and remediate potential irregularities.

This Practice Note provides introductory high-level guidance on reporting, communications and reputation management during an internal investigation. It is intended for in-house lawyers and/or compliance teams.

This Precedent Data retention notice has been written in partnership with Caroline Black and Noel Power of Dechert LLP. It can be sent to an organisation's IT department at the same time as a formal document retention notice is sent to relevant staff. It is intended to ensure that data relevant to an internal investigation is not routinely deleted in accordance with the organisation's usual records management or data retention policies. There is a separate Precedent document retention notice.

This Precedent Internal investigations and fraud investigation policy has been written in partnership with Caroline Black and Noel Power of Dechert LLP. It provides a framework for receiving and investigating reports of suspected misconduct, particularly in relation to financial crime. Specific mention is made of fraud, bribery and facilitation of tax evasion although the policy applies to all types of financial crime. It is intended to dovetail with your whistleblowing policy and process.

This Precedent Internal investigation interview invitation letter has been written in partnership with Caroline Black and Noel Power of Dechert LLP. It can be used to invite a member of staff to attend an interview. It provides detailed warnings in relation to confidentiality and privilege and makes it clear on whose behalf any attending or interviewing lawyer is acting, sometimes known as an Upjohn Warning, from the US case of Upjohn Co. v United States.. There is a separate Precedent for an interview warning

This Precedent Internal investigations—sample interview warning has been written in partnership with Caroline Black and Noel Power of Dechert LLP and is intended for use in regulator-facing internal investigations. If a regulator or criminal agency is involved, the process for interviewing may need to first be agreed between the parties prior to proceeding.

This Precedent Internal investigations—sample privilege log can be used when an organisation conducts an internal investigation. It will allow you to identify and list documents that are subject to legal professional privilege, record whether they have been redacted or withheld entirely, and the reason why. It can also be used when an organisation is subject to an external investigation.