The Legal Audit: Corporate Internal Investigation

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A definitive procedural guide to implementing preventive law programs that combines detailed commentary with handy checklists and sample documents to help identify, isolate, and handle potential problems before they occur. Includes practical guidance on investigative and post-investigative operations, corporate counseling, confidentiality issues, and assessing legal trends. Discusses preventive law procedures in the areas of employment, nonprofit organizations, product safety, record retention, personnel, environmental compliance, and accounts payable/receivable. Examines recent court decisions impacting attorney-client relationships, work-product doctrine, loss of protection waiver, and procedures for protecting confidentiality.

Features

Handy checklists ensure that no details are overlooked when developing preventive law programs
Appendix includes time-saving sample documents
Analyzes Model Rules of Professional Conduct and the American Bar Association Code of Professional Responsibility
Step-by-step procedures for constructing the legal audit

Summary of contents
Replacement pages

Chapter
1. The Legal Audit—An Overview
2. Investigations: Types, Purposes, and Consequences
3. Supervising the Investigation
4. The Role of Counsel
5. Investigation Procedures
6. The Legal Status Audit
7. The Legal Audit in the Compliance Context
8. Specialized Audits
9. Protecting the Confidentiality of Investigative Documents
10. Special Aspects of the Legal Audit
11. Post-Investigation Procedures
12. Fee Arrangements, the Lawyer’s Stance and Collaboration in Auditing
Documents
Appendix
1. Sample SEC Consent Decree Mandating Special Review Committee Investigation of Questionable Political Contributions and Other Payments
2. Sample SEC Consent Decree Mandating Special Counsel Investigation of Misappropriation of Corporate Assets
3. Sample Board Resolution Authorizing Audit Committee Investigation of Management Remuneration and Perquisites
4. Sample Board Resolution Authorizing Retention of Law Firm to Conduct Internal Investigation
5. Form of General Checklist for Acquisition of a Business: Prepared by Purchaser
6. Preliminary Audit Information
7. Form of General Statement of Business for Small Businesses
8. Form of Audit List of Legal Problem Areas
9. Sample Checklists Derived from Accounting Concepts
10. Form of Statutory Checklist for Employment Audit
11. Form of Checklist of Court-Developed Obligations for Employment Audit
12. Form of Function-Tracking Checklist for Employment Audit
13. Form of Document Review Checklist for Employment Audit
14. Legal Audit Questionnaire for Nonprofit Organizations (Excerpts)
15. Example of Inspection Checklist and Flowchart
16. Form of Product Safety Audit Checklist
17. Sample Excerpts from Questionnaire Concerning Questionable Payments
18. Form of Questionnaire for Legal Status Report
19. Transmittal Letter for Questionnaire for Legal Audit of Business
20. Sample Record Retention Manual
21. Environmental Surveillance Report
22. Accounts Receivable
23. Notes Receivable
24. Accounts Payable
25. Notes Payable
26. Summary Chart
27. Employment Audit Questionnaire
28. Antitrust Compliance Manual
29. "Safe" Job Application Form
30. Sections from Form of Personnel Audit Checklist
31. Questionnaire Mailed to Members of an Association (with Results and Summary of Oral Presentation to the Respective Association)
32. Survey of Certain Dispute Problems in a Large Corporation
33. A New Direction in Preventive Law: The Litigation Audit
34. United States Sentencing Commission Guidelines
35. A Letter to the Client
36. Proposed Organizational Sentencing Guidelines for Environmental Offenses
37. EPA Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations
38. EPA Small Business Compliance Policy
39. Cal/EPA Policy on Incentives for Self-Evaluation
40. Pennsylvania Environmental Audit Policy
41. Publication of OIG Compliance Program Guidance for Clinical Laboratories
42. Legal Auditing Guidelines
43. HHS Compliance Program Guidance for Hospitals
44. HHS Self-Disclosure Protocol
45. Building a Partnership for Effective Compliance: A Report on the Government-Industry Roundtable
46. Evaluation of "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations" Policy Statement, Proposed Revisions, and Request (Excerpt)
47. DOJ Principles of Federal Prosecution of Business Organizations
48. Policy Concerning the Occupational Safety and Health Administration’s Treatment of Voluntary Employer Safety and Health Self-Audits
49. Program Description of the National Environmental Achievement Track
50. NCPL’s Corporate Compliance Principles
51. SEC Standards for Evaluating Corporate Cooperation
Table of Cases
Index

Enter replacement volume, chapter and page numbers separated by commas. For example: Volume 2, Chapter 5, Pages 7, 12-19. Please limit requests to 25 pages or less. If you are located outside the United States or for more than 25 pages please contact Customer Service 1-800-328-4880.

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