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Preparing Executives and Employees for Civil Investigative Demand Testimony and Interviews
Contents
- 1 Preparing Executives and Employees for Civil Investigative Demand Testimony and Interviews
- 2 Understanding Civil Investigative Demands
- 3 Assembling the Right Team
- 4 Educating Employees on the Process
- 5 Conducting a Thorough Document Collection
- 6 Preparing Witnesses to Testify
- 7 Following Up After Interviews
- 8 Key Takeaways
- 9 Resources
Preparing Executives and Employees for Civil Investigative Demand Testimony and Interviews
Receiving a civil investigative demand (CID) from a government agency like the Federal Trade Commission or Department of Justice can be an intimidating and stressful experience for any business. However, with proper preparation, executives and employees can effectively navigate the CID process. This article provides best practices and helpful tips for preparing your team.
Understanding Civil Investigative Demands
A CID is a legal request for information related to an investigation into potential violations of laws enforced by government agencies. It may require a company to:
- Produce documents
- Answer written questions
- Provide oral testimony
Failure to fully comply with a CID can result in significant penalties, so taking it seriously is imperative. When your business receives one, you should immediately consult with legal counsel to coordinate an appropriate response.
Assembling the Right Team
Responding to a CID requires cross-functional collaboration. Be sure to loop in personnel from relevant departments like:
- Legal
- Compliance
- IT
- Operations
- Finance
- HR
You’ll need subject matter experts to locate responsive documents and individuals with firsthand knowledge who can potentially provide testimony.External specialists like experienced attorneys are critical for advising on legal strategy and managing interactions with regulators.
Educating Employees on the Process
Many staff members may be unfamiliar with CIDs, so training is essential. Walk through topics like:
- What a CID entails: Explain what it is, the types of requests it contains, and consequences of non-compliance.
- Search protocols: Provide guidelines on how to thoroughly gather responsive materials.
- Confidentiality: Stress that the CID and investigation details must be kept confidential.
- Communication procedures: Outline who staff should contact with questions and who will interact with regulators.
| Topic | Key Points to Cover |
|---|---|
| What a CID entails | – Definition and key details – Types of requests for info – Consequences of non-compliance |
| Search protocols | – Where/how to search for materials – How to preserve relevant documents |
| Confidentiality | – Don’t disclose details externally – Consequences of unauthorized leaks |
| Communication procedures | – Internal points of contact – Rules for interacting with regulators |
Proper education reduces mistakes and keeps sensitive details private. Continue reinforcing protocols throughout the process.
Conducting a Thorough Document Collection
The CID will request various documents relevant to the investigation. To find responsive materials, you’ll need to:
- Identify custodians: Determine which employees or departments may have relevant files.
- Communicate hold notices: Notify custodians to preserve applicable materials from deletion or destruction.
- Strategize search terms: Work with legal counsel to develop terms and queries that will capture necessary documents.
- Collect from multiple sources: Gather documents from email servers, shared drives, laptops, mobile devices, and even paper records when applicable.
Leveraging legal review platforms like Everlaw facilitates organizing, searching, and reviewing file collections to identify responsive documents.Aim to cast a wide net so you don’t miss anything regulators expect to see. Lawyers can then review and determine what is actually producible versus protected by privilege.
Preparing Witnesses to Testify
If the CID requests oral testimony from company representatives, select appropriate witnesses based on the investigation subject matter and their personal involvement. Candidates should have:
- Firsthand knowledge of relevant events: Prioritize witnesses who directly participated in or recall decisions and incidents under regulatory scrutiny.
- Effective communication skills: Choose even-tempered individuals who can clearly relay information under pressure without becoming flustered or distracted.
- Relevant subject matter expertise: Match witnesses to topics that align with their oversight responsibilities and job duties.
Before interviews occur, legal counsel should thoroughly prepare each witness. This involves:
- Reviewing anticipated areas of inquiry: Understand topics investigators want to discuss so witnesses know which events and information to focus on.
- Refreshing recollections of pertinent facts: Look back at relevant documents and timelines to jog witnesses’ memories.
- Practicing answering likely questions: Work through mock interviews to sharpen responses and avoid missteps.
Witnesses should provide truthful, concise, and easy-to-understand answers focused solely on the details requested by interviewers.
Following Up After Interviews
Shortly after interviews, witnesses and attorneys should reconvene
to:
- Debrief: Identify any potential issues or problematic interactions that occurred.
- Discuss next steps: Plan for possible follow-up inquiries regulators may have.
- Implement post-interview action items: Rectify any concerns and improve future prep sessions.
Maintaining an open dialogue and postmortem analysis enables your team to continuously improve.
Key Takeaways
Responding to CIDs entails significant preparation and coordination. Keep these best practices in mind:
- Assemble a cross-functional team with legal oversight
- Educate employees on protocols early on
- Conduct an exhaustive document search
- Choose witnesses carefully and prep them thoroughly
- Circle back with witnesses after interviews to address problems and next steps
Staying organized, compliant, and proactive is imperative when dealing with regulators. Enlisting help from attorneys and consultants seasoned in managing CID inquiries can also pay dividends.With the right focus and discipline, your executives and staff can handle the demands of CIDs and investigative interviews. Reach out if you need support preparing or want to learn more about the process.