AVOID OBSTRUCTING AVOID OBSTRUCTING JUSTICEJUSTICE

Obstruction of justice is defined Obstruction of justice is defined as the willful endeavor to as the willful endeavor to “obstruct, delay or prevent the “obstruct, delay or prevent the communication of information communication of information relating to a violation of any relating to a violation of any criminal statute of the United criminal statute of the United States by any person to a States by any person to a criminal investigator.” 18 U.S.C. criminal investigator.” 18 U.S.C. § 1510§ 1510

MISPRISION OF A FELONYMISPRISION OF A FELONY

During the course of an internal During the course of an internal investigation, the Corporate investigation, the Corporate Compliance Officer may become Compliance Officer may become aware of a crime previously aware of a crime previously committed. If so, the Compliance committed. If so, the Compliance Officer should be sensitive to the Officer should be sensitive to the Federal Misprision of Felony Federal Misprision of Felony Statute. 18 U.S.C. Section 4.Statute. 18 U.S.C. Section 4.

TAMPERING WITH A WITNESS, TAMPERING WITH A WITNESS, VICTIM OR AN INFORMANTVICTIM OR AN INFORMANT

It is a crime to engage “in It is a crime to engage “in misleading conduct towards misleading conduct towards another person” with the intent to another person” with the intent to “influence, delay, or prevent” a “influence, delay, or prevent” a witness’ testimony or to “cause or witness’ testimony or to “cause or induce any person” to “withhold” induce any person” to “withhold” testimony or documents. 18 testimony or documents. 18 U.S.C. § 1512(b)(1)(2).U.S.C. § 1512(b)(1)(2).

Protect PrivilegesProtect Privileges

The most critical concern for the Corporate The most critical concern for the Corporate Compliance Officer is to protect the Compliance Officer is to protect the corporation’s attorney/client and work corporation’s attorney/client and work product privilege. This can be done by product privilege. This can be done by working under the auspice of counsel, working under the auspice of counsel, properly instructing all persons involved in properly instructing all persons involved in internal investigations and by internal investigations and by appropriately marking as privileged all appropriately marking as privileged all memorandum, letters and other memorandum, letters and other documents generated during the course of documents generated during the course of the investigation.the investigation.

UNDERSTAND SCOPE OF UNDERSTAND SCOPE OF REPRESENTATION; FULLY INFORM REPRESENTATION; FULLY INFORM EMPLOYEESEMPLOYEES

Corporate Compliance Officer Corporate Compliance Officer should be careful to protect the should be careful to protect the rights of the employees who are rights of the employees who are interviewed and the corporation.interviewed and the corporation.

Employees Must Employees Must Cooperate in InvestigationCooperate in Investigation

Employees have the duty Employees have the duty to cooperate with to cooperate with internal investigations.internal investigations.

Expect to Disclose Your Expect to Disclose Your FindingsFindings

The Corporate Compliance Officer should The Corporate Compliance Officer should expect that the results of the expect that the results of the investigation will ultimately be disclosed investigation will ultimately be disclosed to the government. All government to the government. All government providers serve at the government’s providers serve at the government’s pleasure. Thus, faced with either pleasure. Thus, faced with either disclosing information or losing its disclosing information or losing its government contracts, most corporations government contracts, most corporations disclose otherwise privileged material.disclose otherwise privileged material.

THE DO’s and DON’Ts OF THE DO’s and DON’Ts OF INTERNAL INTERNAL INVESTIGATIONSINVESTIGATIONS

Gregory P. Miller, EsquireGregory P. Miller, Esquire Thomas H. Thomas H. Lee, III, EsquireLee, III, Esquire

Miller, Alfano & Raspanti, P.C.Miller, Alfano & Raspanti, P.C. Dechert Price Dechert Price & Rhoads& Rhoads

1818 Market Street, Suite 34021818 Market Street, Suite 3402 4000 Bell Atlantic Twr.4000 Bell Atlantic Twr.

Phila., PA 19103Phila., PA 19103 1717 Arch 1717 Arch StreetStreet

(215) 972-6400(215) 972-6400 Phila., PA 19103Phila., PA 19103

(215) 994-2994(215) 994-2994