CCCP Government Investigation Response 2

Question 1

When a company receives a grand jury subpoena for documents, what is the immediate first step compliance should take?

Accepted Answer

Issue a litigation hold to preserve all potentially relevant records

Answer

A litigation hold must be issued immediately upon receipt of a subpoena to prevent spoliation of evidence, which can result in sanctions.

Question 2

Which privilege protects communications between a company's in-house counsel and employees made for the purpose of obtaining legal advice during an investigation?

Accepted Answer

Attorney-client privilege

Answer

The attorney-client privilege protects confidential communications between lawyers and clients (including employees) made for purposes of obtaining legal advice.

Question 3

What is the significance of a 'target letter' received from the Department of Justice?

Accepted Answer

It notifies the recipient that they are the subject of a grand jury investigation with likely indictment

Answer

A DOJ target letter indicates the recipient is the primary focus of a grand jury investigation and that prosecutors believe they have substantial evidence of a crime.

Question 4

Under the Upjohn warnings, what must company counsel tell an employee before conducting an internal investigation interview?

Accepted Answer

The attorney represents the company, not the employee, and may share information with management

Answer

Upjohn warnings inform employees that company counsel represents the company's interests, not theirs, and that the company controls the privilege and may disclose the interview contents.

Question 5

What is 'proffer immunity' in the context of government investigations?

Accepted Answer

A limited agreement allowing a witness to provide information without it being used directly against them

Answer

A proffer agreement allows a witness to share information with prosecutors in a controlled setting, with limitations on how that information can be directly used against them.

(CCCP) Certified Corporate Compliance Professional Practice Test

(CCCP) Certified Corporate Compliance Professional Practice Test

CCCP Government Investigation Response 2