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Preparing an executive for a corporate internal investigation

Planning and being organized for internal investigations is essential as internal investigations are destined to be very multifaceted. When companies make the decision to proceed with an investigation, whether internally or with outside counsel, it’s important to recognize that disclosure decisions are intricate where the possibility that civil or criminal litigation must be continually considered.

With outside counsel, experience reveals that there is a greater likelihood of being able to maintain confidentiality during the investigation. It’s vital that a plan must be in place that defines the objectives and the scope. Regularly, outside counsel takes the lead to preserve attorney-client as well as work product privileges.

Those who are non-attorneys, defined as internal/external experts, internal audit, security, management and human resources, also play a role. It’s important that a protocol, lines of reporting and supervision be established, and separate representations issues addressed.

Anticipating possible problems is key. Work product doctrines and attorney-client privilege doctrines need to be explained in layman’s terms. The employee, who informed under certain circumstances, should be aware that the company has the option to choose to disclose to anyone any information obtained from the investigation. It’s imperative that employees be given the opportunity to ask questions regarding the process.

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    4514 Cole Ave
    Dallas, Texas 75205
    Phone: 214-306-8045
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As Seen In
In his new book, "Standing Up to China: How a Whistleblower Risked Everything for His Country," former client & Author, Ashley Yablon, quotes Attorney Steve Kardell about Whistelblower Law.
  • "Steve Kardell was terrific in representing me in some very adversarial discussions with Citigroup and also later represented me in my testimony before the Financial Crisis Inquiry Commission."  -Richard Bowen, Citigroup Whistleblower

  • "Incredible knowledge of employee related concerns and equally brilliant knowledge of health care regulations, standards of practice. I would recommend this firm to anyone."  -V.B.

  • "Reaching out to Steve Kardell was the best decision I made. His ability to provide immediate insight and direction was very powerful, and a huge relief during a very stressful time period. For anyone struggling with a whistleblower situation, I would highly recommend at least speaking with Steve. After a 10 minute call with him, I had a better understanding of what I was dealing with. Even better, he gave me some immediate hope. In the end Steve did a better job than I thought was possible. Steve was able to get in contact with people in my organization, that I didn’t have access to. Because of his years of experience, he already has contacts in many organizations in Dallas. The entire situation was handled peacefully. I was impressed by his ability to “keep the peace”–rather than creating a battle with the organization. The reason I didn’t reach out to a lawyer initially, was because I thought it would mean an immediate end to any hope of a positive relationship with the company. Steve was able to address my concerns, and in the end I was able to continue to work for them."  -KS

  • "Never thought my career would end like it did after 30 years of service. I was part of the first round of the so called reduction of force. I asked myself how can I be part of this with 30 years of seniority. How did they pick these 90 plus employees? Now, the culture of this organization made you question every decision they made. It wasn’t what you knew it’s was a culture of who you know. Nonetheless, I did not accept their severance package. I immediately starting looking for an attorney who would take on my case. After the initial call to Steve I had hope again. He was open and honest about everything and reassured me he would do his best for me, and he did. I had an awesome outcome. Thanks Steve you’re the best."  -S.S.