TreatiseAnswer Book

Corporate Compliance Answer Book (2018 Edition)

 by Holland & Knight LLP
 
 Copyright: 2017

 Product Details >> 

Product Details

  • ISBN Number: 9781402429699
  • Page Count: 2056
  • Number of Volumes: 2
  •  

Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book 2018 helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You’ll learn how to: 
  • Use risk assessment to pinpoint and reduce your company’s areas of legal exposure
  • Apply gap analysis to detect and eliminate flaws in your compliance program
  • Conduct internal investigations that prevent legal problems from becoming major crises
  • Develop records management programs that prepare you for the e-discovery involved in investigations and litigation
  • Satisfy labor and employment mandates, environmental rules, lobbying and campaign finance laws, export control regulations, and FCPA anti-bribery standards
  • Make voluntary disclosures and cooperate with government agencies in ways that mitigate the legal, financial and reputational damages caused by violations

Featuring dozens of real-world case studies, charts, tables, compliance checklists, and best practice tips, Corporate Compliance Answer Book 2018 pays for itself over and over again by helping you avoid major legal and financial burdens.

  Table of Contents
  Introduction
Chapter 1: The Business Case for Compliance Programs
  • : Compliance and Ethics Programs Overview1-2
  • : Definitions1-2
  • Q 1.1 : What is a compliance program?1-2
    • Q 1.1.1 : What does the Federal Sentencing Guidelines’ definition mean by “due diligence”?1-3
    • Q 1.1.2 : Should the primary focus of a compliance program be on criminal conduct?1-4
  • : “Effective” Compliance Programs1-4
  • Q 1.2 : What makes a compliance program “effective”?1-4
  • : The Role of a Compliance and Ethics Program1-6
  • : Ethical Conduct and the Corporate Culture1-6
  • Q 1.3 : How does a compliance program help prevent unethical or illegal conduct from occurring?1-6
    • Q 1.3.1 : How can a program change a corporate culture?1-7
  • : Why Businesses Need Compliance and Ethics Programs1-7
  • Q 1.4 : Why does my organization need a compliance and ethics program?1-7
    • Q 1.4.1 : Can’t we just start a compliance program after we get hit with a government investigation?1-8
    • Q 1.4.2 : What happens if we don’t have a compliance program, learn of a government investigation, and still don’t implement a program?1-10
  • : Compliance and the Law1-10
  • Q 1.5 : Does the law require businesses to have compliance and ethics programs?1-10
    • Q 1.5.1 : Are there state law requirements related to compliance and ethics programs?1-11
    • Q 1.5.2 : Do some agencies require (rather than recommend) compliance programs?1-11
    • Q 1.5.3 : What have the courts said about compliance programs?1-13
  • : Your Compliance Program1-14
  • : The Costs1-14
  • Q 1.6 : Can our business afford a program?1-14
  • Q 1.7 : What are the potential costs of an investigation?1-15
    • Q 1.7.1 : Why not just pay the fine and move on?1-17
    • Q 1.7.2 : Shouldn’t compliance programs be viewed as cost centers?1-18
  • : The Benefits1-19
  • Q 1.8 : What other benefits does an effective compliance program provide?1-19
    • Q 1.8.1 : What is the proof that there is a link between corporate governance and corporate performance?1-21
    • Q 1.8.2 : What if I have a program and wrongdoing still occurs?1-28
  • : Identifying Whether You Already Have One1-28
  • Q 1.9 : How do I tell if my company already has a compliance program?1-28
    • Q 1.9.1 : If we do not already have a functioning compliance program in place, how do we start from “zero” to build one?1-29
    • Q 1.9.2 : What happens as my business grows and changes over time?1-33
Chapter 2: Implementation of Effective Compliance and Ethics Programs and the Federal Sentencing Guidelines
  • : Sentencing Guidelines Basics2-3
  • Q 2.1 : What are the Federal Sentencing Guidelines?2-3
  • Q 2.2 : How do the Sentencing Guidelines relate to an effective compliance program?2-3
    • Q 2.2.1 : Why should my company care about the Sentencing Guidelines if it conducts business honestly and is unlikely ever to face criminal prosecution?2-4
  • : Components of an Effective Compliance Program2-4
  • Q 2.3 : What policies and procedures should my company implement to meet the Sentencing Guidelines’ requirements?2-4
    • Q 2.3.1 : What are the elements of an effective compliance program that will satisfy the Sentencing Guidelines?2-5
    • Q 2.3.2 : What specific steps must our company take to create an effective compliance program?2-5
    • Q 2.3.3 : Is there a standard compliance program that most companies can use?2-6
  • : Designing and Implementing a Compliance Program2-7
  • : Relevant Factors and Considerations2-7
  • Q 2.4 : Are industry practice and standards considered in assessing the effectiveness of a compliance program?2-7
    • Q 2.4.1 : Does the company size matter?2-8
    • Q 2.4.2 : What are the differences between compliance programs for large companies and small companies?2-8
  • : Requirements; Risk Areas2-8
  • Q 2.5 : When it comes to putting a compliance program together, where do we start?2-8
    • Q 2.5.1 : What are the most common risk areas that we may need to address in our compliance program?2-9
  • : Code of Conduct2-14
  • Q 2.6 : Is a code of conduct a required part of a compliance program?2-14
    • Q 2.6.1 : What are the legal requirements for a code of conduct?2-15
    • Q 2.6.2 : What are the elements of a good code of conduct?2-15
    • Q 2.6.3 : How many codes of conduct should a company have?2-16
  • : Compliance Program Administration2-17
  • Q 2.7 : How do we administer and enforce a compliance program?2-17
    • Q 2.7.1 : Who should administer the compliance program?2-18
    • Q 2.7.2 : Which senior executive(s) should be placed in charge of the compliance program?2-19
    • Q 2.7.3 : What role does top management have in administering a compliance program?2-19
    • Q 2.7.4 : What is meant by a “culture” of compliance?2-21
    • Q 2.7.5 : How can we demonstrate a culture of ethics and compliance?2-22
    • Q 2.7.6 : What are reasonable efforts to exclude bad actors?2-22
  • : Training2-23
  • Q 2.8 : What is required in the way of training and communication?2-23
    • Q 2.8.1 : Who within our organization needs to be trained?2-24
    • Q 2.8.2 : Do we need to educate every employee about every policy?2-24
    • Q 2.8.3 : We hold a training session for new employees. Is a thorough, one-time training session on our code and policies enough?2-24
  • : Audits2-25
  • Q 2.9 : How can my company maintain the compliance program’s effectiveness?2-25
    • Q 2.9.1 : What should an audit of the program be examining?2-25
    • Q 2.9.2 : What is internal auditing?2-26
    • Q 2.9.3 : Why should an organization have internal auditing?2-26
    • Q 2.9.4 : What is internal auditing’s role in preventing, detecting, and investigating fraud?2-27
    • Q 2.9.5 : What is the appropriate relationship between the internal audit activity and the audit committee of the board of directors?2-27
  • : Reporting Systems/Whistleblowing/Non-Retaliation2-27
  • Q 2.10 : What type of reporting system does my company need to have?2-27
    • Q 2.10.1 : What is a non-retaliation policy?2-28
  • : Rewards/Discipline2-29
  • Q 2.11 : How can my company effectively enforce the compliance program?2-29
    • Q 2.11.1 : Despite our best efforts to promote a culture of honesty and integrity, some criminal or unethical conduct has occurred. How should the company respond?2-29
Chapter 3: Assessing and Managing an Ethical Culture
  • : The Linkage of Culture and Compliance3-3
  • Q chap03_3.1 : If a company has a compliance program and employees know they must act in accordance with those standards, why does misconduct still occur?3-3
  • Q chap03_3.2 : Why should compliance officers focus on culture?3-4
  • Q chap03_3.3 : How do we know if our implementation of the elements of the Federal Sentencing Guidelines is sufficient?3-5
    • Q chap03_3.3.1 : What do regulators and prosecutors think about culture?3-6
    • Q chap03_3.3.2 : How can an organization evaluate behavior as part of its compliance program?3-7
  • : Framework of an Ethical Culture3-8
  • : Essential Characteristics3-8
  • Q chap03_3.4 : What are the elements of an ethical culture/ a culture of compliance?3-8
  • : Figure 3-1 Ethical Cultural Framework3-10
  • : Organizational and Individual Goals3-11
  • Q chap03_3.5 : How do individual and organizational goals help create an ethical cultural framework?3-11
    • Q chap03_3.5.1 : How are goals rewarded?3-11
    • Q chap03_3.5.2 : How are business goals and ethics linked?3-12
    • Q chap03_3.5.3 : Can challenges to business goals be safely raised?3-12
  • : Behaviors/Organizational Tone3-13
  • Q chap03_3.6 : What is organizational tone, and what is its role in supporting a culture of ethics and compliance?3-13
    • Q chap03_3.6.1 : What is the role of top management and organizational leaders in setting the appropriate tone?3-13
    • Q chap03_3.6.2 : What is the role of middle management in setting the appropriate tone?3-14
    • Q chap03_3.6.3 : What is the role of regular employees in setting the appropriate tone?3-14
    • Q chap03_3.6.4 : Is the organizational tone always set from the top down?3-14
  • : Organizational, Individual, and Shared Values3-15
  • Q chap03_3.7 : Which values are important to an ethical culture framework?3-15
    • Q chap03_3.7.1 : What is the role of collective/shared values in an ethical culture framework?3-15
  • : Table 3-2 Seven Levels of Consciousness (The Barrett Model)3-16
  • : Aligning Goals, Behaviors, and Values3-18
  • Q chap03_3.8 : How do the elements of the ethical culture framework work together?3-18
    • Q chap03_3.8.1 : How do you align goals and values?3-18
    • Q chap03_3.8.2 : ... goals and behaviors?3-18
    • Q chap03_3.8.3 : ... behaviors and values?3-18
  • : Barriers to an Ethical Culture3-19
  • : Risk Factors3-19
  • Q chap03_3.9 : What are the barriers to an ethical culture?3-19
    • Q chap03_3.9.1 : What risk factors exist, and how should they be addressed?3-19
  • : Table 3-3 Risk Areas3-20
  • : Assessing the Risks3-24
  • Q chap03_3.10 : How do we know if our culture creates ethics and compliance risks?3-24
    • Q chap03_3.10.1 : Can’t we use our existing employee survey data to assess our compliance risk?3-24
    • Q chap03_3.10.2 : What is the goal of a culture risk assessment?3-25
    • Q chap03_3.10.3 : What information are we looking for in a culture risk assessment?3-26
  • : Creating an Ethical Culture3-26
  • Q chap03_3.11 : How do we reduce risks to an ethical culture?3-26
    • : Identifying Ethics Issues3-27
    • Q chap03_3.11.1 : What are our top ethics issues?3-27
    • : Identifying Risk Factors3-27
    • Q chap03_3.11.2 : What are the risk factors?3-27
    • : Table 3-4 Identifying Risk Factors in an Ethical Cultural Framework3-28
    • Q chap03_3.11.3 : Why are these risk factors permitted to flourish?3-30
    • : Developing a Specific Action List3-31
    • Q chap03_3.11.4 : What’s needed to address the root cause problem?3-31
    • : Linking Cultural Factors to Ethics Risks3-32
    • Q chap03_3.11.5 : How can we link the solution back to the ethics issues?3-32
  • : Table 3-5 Linking Solutions to Ethics Issues3-32
  • Q chap03_3.12 : What is the easiest first step in addressing culture issues?3-33
Chapter 4: Risk Assessments and Gap Analysis
  • : Risk Assessments4-2
  • : The Basics4-2
  • Q 4.1 : What is a risk assessment?4-2
    • Q 4.1.1 : What are the goals of a risk assessment?4-2
    • Q 4.1.2 : Why should our company perform a “risk assessment”?4-3
    • Q 4.1.3 : What is senior management’s role in a risk assessment?4-3
    • Q 4.1.4 : Who should perform the risk assessment?4-3
  • : Identifying Risks4-4
  • Q 4.2 : What risk areas should our company be assessing in the first place?4-4
  • : Gathering Data4-5
  • Q 4.3 : What are the different methods we should use to gather the data?4-5
    • Q 4.3.1 : What documents should we review as part of the risk assessment?4-6
    • Q 4.3.2 : How much data is enough? When can we stop gathering data and start using it?4-6
  • : Processing the Data; Responding to Assessed Risks4-7
  • Q 4.4 : What should our company do once the data has been gathered?4-7
    • Q 4.4.1 : What should we consider when assessing “likely occurrence”?4-7
    • Q 4.4.2 : What should we consider when assessing likely impact?4-7
    • : Table 4-1 Sample Likely Occurrence Scale4-8
    • : Table 4-2 Sample Likely Impact Scale4-9
    • Q 4.4.3 : How should we prioritize the risks?4-10
  • : Table 4-3 Sample Risk Prioritizing Scale4-10
  • : Table 4-4 Sample Risk Matrix4-11
  • : Gap Analysis4-11
  • Q 4.5 : What is a compliance “gap analysis,” and how does it differ from a risk assessment?4-11
    • Q 4.5.1 : How do we perform a gap analysis?4-11
    • Q 4.5.2 : What should we do if a gap exists in our compliance and ethics program?4-13
Chapter 5: Records Management
  • : Records Management Program Basics5-2
  • Q 5.1 : What are the benefits of a records management program?5-2
    • Q 5.1.1 : What are the constituent parts of a records management program?5-3
    • Q 5.1.2 : Our organization already has a records “destruction” program; do we still need a records “management” program?5-4
    • : Figure 5-1 Core Components of a Records Management Program5-5
    • : Designing a Program5-6
    • Q 5.1.3 : When it comes to designing a records management program, where should we begin?5-6
    • Q 5.1.4 : What role should senior management play?5-6
  • : Records5-7
  • : Determining What Your Relevant Records Are5-7
  • Q 5.2 : What is meant by a “record” in “records management”?5-7
    • Q 5.2.1 : Does our records management program need to apply to all of our records?5-8
  • : Email5-8
  • Q 5.3 : How should we handle email?5-8
  • : Other Electronically Stored Information (ESI)5-9
  • Q 5.4 : Should our records management program cover electronic information?5-9
    • Q 5.4.1 : What is metadata and how is it relevant to a records management policy?5-10
    • Q 5.4.2 : How can ESI be used to support a records management program?5-11
    • : Determining the Lifecycle of Relevant Records5-13
    • Q 5.4.3 : For management purposes, should all records be treated the same?5-13
    • Q 5.4.4 : How should we handle duplicate records?5-13
  • : Creating a Records Management Policy5-14
  • Q 5.5 : What do we do once we have determined the lifecycle for each record type?5-14
    • Q 5.5.1 : What specific goals should an effective records management policy accomplish?5-14
  • : Figure 5-2 Lifecycle of a Record5-17
  • : Record Retention Schedules5-19
  • Q 5.6 : What should a retention schedule look like?5-19
    • : Figure 5-3 Sample Retention Schedule5-20
    • Q 5.6.1 : How should we determine retention periods for a particular category of records?5-21
    • Q 5.6.2 : Should we retain metadata?5-21
    • Q 5.6.3 : Does the statute of limitations play a role in setting retention periods?5-23
    • Q 5.6.4 : When a retention period expires for a record, is the record destroyed?5-23
  • : Implementing the Policy5-24
  • Q 5.7 : What if we make mistakes here and there in following our records management policy?5-24
    • Q 5.7.1 : Should we have a training program?5-24
    • Q 5.7.2 : Should we consider sanctions for noncompliance?5-24
  • : Employee Use of Personal Devices for Company Business5-25
  • Q 5.8 : How should employers address the issue of employee use of personal devices for company business?5-25
  • : Backup Systems/Disaster Recovery5-26
  • Q 5.9 : How is our organization’s Disaster Recovery Plan different from a records management program?5-26
    • Q 5.9.1 : Can’t we just rely on our Disaster Recovery Plan’s backup system for records management?5-27
  • : Litigation Issues/Discovery5-28
  • : Requests for “Not Reasonably Accessible” ESI5-28
  • Q 5.10 : How do ESI rules affect policy?5-28
    • : Responding to a Request for ESI5-29
    • Q 5.10.1 : How can we be best prepared to respond to requests for ESI?5-29
    • Q 5.10.2 : How should concerns about litigation inform our retention of records?5-31
    • : Spoliation of Evidence5-32
    • Q 5.10.3 : What if requested records have already been destroyed in accordance with our retention schedule?5-32
  • : Litigation Holds5-32
  • Q 5.11 : What is a litigation hold?5-32
    • Q 5.11.1 : How do we put a litigation hold in place?5-33
    • Q 5.11.2 : How long should a litigation hold last?5-34
Chapter 6: Internal Investigations
  • : Pre-Investigation6-3
  • : Allegations of Wrongdoing6-3
  • Q 6.1 : What triggers an internal investigation?6-3
    • Q 6.1.1 : What kinds of allegations trigger an investigation?6-4
    • Q 6.1.2 : Are all allegations of wrongdoing subject to investigation?6-4
  • : Determining the Type of Investigation6-5
  • Q 6.2 : What determines the type of internal investigation to conduct?6-5
    • Q 6.2.1 : How is the decision about the appropriate type of internal investigation made?6-5
  • : Initiating an Investigation6-6
  • : Determining the Type of Investigation6-6
  • Q 6.3 : How should low-risk allegations of misconduct be investigated?6-6
    • Q 6.3.1 : How should high-risk allegations of misconduct be investigated?6-7
    • Q 6.3.2 : How do internal allegations affect the investigation?6-8
    • Q 6.3.3 : How do external allegations from government authorities affect the investigation?6-8
    • Q 6.3.4 : When subject to a government investigation, how does a company determine the scope of the government’s inquiry and its own investigative response?6-8
    • Q 6.3.5 : What does the issuance of a search warrant tell us about the government’s intentions?6-9
    • Q 6.3.6 : What does the service of a grand jury subpoena or CID say about the intended scope of the government’s investigation?6-9
    • Q 6.3.7 : What information can a government agent or attorney provide?6-10
    • Q 6.3.8 : How do allegations from external nongovernment sources affect the type of investigation to be pursued?6-11
  • : Defining the Purpose of the Investigation6-12
  • Q 6.4 : What steps does the company need to take once a decision to investigate is reached?6-12
    • Q 6.4.1 : How does the company determine the logistical needs of and methods to be used in an investigation?6-12
  • : Timing6-14
  • Q 6.5 : When should a company initiate an investigation?6-14
    • Q 6.5.1 : Is it beneficial to commence an investigation immediately?6-14
  • : Scope6-14
  • Q 6.6 : What kinds of inquiries will be involved in an investigation?6-14
    • Q 6.6.1 : What factors should the company consider in determining the scope of an investigation?6-15
    • Q 6.6.2 : When should the scope of the investigation be determined?6-16
  • : Leadership6-17
  • Q 6.7 : Who should be in charge of an internal investigation?6-17
    • Q 6.7.1 : How does legal counsel maintain the confidentiality of the investigation?6-17
    • Q 6.7.2 : Who is in charge of the investigation—inside counsel or outside counsel?6-18
  • : Staffing6-19
  • Q 6.8 : How are an investigation’s staffing needs determined?6-19
    • Q 6.8.1 : What circumstances warrant the services of professional investigators?6-20
    • Q 6.8.2 : Is the work of a professional investigator protected?6-20
    • Q 6.8.3 : What circumstances warrant the services of forensic experts?6-20
    • Q 6.8.4 : Is the work of a forensic expert protected?6-21
  • : Gathering Facts6-22
  • Q 6.9 : How are the facts in an investigation determined?6-22
  • : Document and Data Preservation and Collection6-22
  • Q 6.10 : How should a company approach its documents and e-data at the initiation of an investigation?6-22
    • Q 6.10.1 : How does an investigation affect a company’s routine document destruction policies?6-22
    • Q 6.10.2 : Is e-data subject to the same ban on destruction?6-23
    • Q 6.10.3 : Is the e-data preservation directive confined to the on-site locations?6-23
    • Q 6.10.4 : How can documents/data be classified as relevant?6-24
    • Q 6.10.5 : Where can we look for guidance in identifying relevant documents/data in external allegations of criminal misconduct?6-25
    • Q 6.10.6 : What steps should the company take to collect relevant documents for review by counsel?6-26
    • Q 6.10.7 : What is a “litigation hold”?6-26
    • Q 6.10.8 : When should a litigation hold be imposed?6-26
    • Q 6.10.9 : What are the responsibilities of the “records custodian”?6-27
  • : Interviews6-28
  • Q 6.11 : Who must be interviewed?6-28
    • Q 6.11.1 : When should interviews take place?6-28
    • Q 6.11.2 : Who should conduct the interviews?6-28
    • Q 6.11.3 : Who do the interviewers represent?6-29
    • Q 6.11.4 : What should the interviewers tell persons who are interviewed?6-29
    • Q 6.11.5 : How are Upjohn warnings given to a witness?6-29
    • Q 6.11.6 : What should be included in the Upjohn warnings?6-30
    • Q 6.11.7 : Is there a standard form for Upjohn warnings?6-31
    • Q 6.11.8 : Is a witness allowed to have separate counsel?6-32
    • Q 6.11.9 : What happens if the witness refuses to cooperate?6-32
    • Q 6.11.10 : Is the interview privileged?6-33
    • Q 6.11.11 : Is the witness covered by the privilege?6-33
    • Q 6.11.12 : Can the confidentiality of the information disclosed during an interview be waived?6-34
  • : Company Disclosure of the Investigation to Employees6-34
  • Q 6.12 : Should notice be given to the entire company that an internal investigation is under way?6-34
    • Q 6.12.1 : Should the notice identify the investigated employees or group of employees?6-35
    • Q 6.12.2 : How should the notice be circulated?6-35
    • Q 6.12.3 : Should a notice include a statement in defense of the company?6-35
    • Q 6.12.4 : What information should be included in the notice?6-36
    • Q 6.12.5 : What information should be included in a notice if the company is under a criminal investigation?6-36
    • Q 6.12.6 : What are an employee’s rights if he is approached by law enforcement agents for an interview?6-36
    • Q 6.12.7 : Should the company obtain and pay for legal representation for officers, directors, or employees who may be interviewed by law enforcement agents?6-37
    • Q 6.12.8 : If the company obtains counsel for officers, directors, or employees, should it enter into a joint defense agreement with that counsel?6-38
    • Q 6.12.9 : What if an officer, director, or employee is named as a subject or target of a criminal investigation?6-38
    • Q 6.12.10 : What other information should be contained in the notice to employees?6-39
  • : Privileged Information6-41
  • : Privileges6-41
  • Q 6.13 : Should internal investigations be kept confidential?6-41
    • Q 6.13.1 : How are internal investigations protected?6-41
  • : Attorney-Client Privilege6-42
  • Q 6.14 : When does the attorney-client privilege attach?6-42
    • Q 6.14.1 : Does the privilege apply to communications with former employees?6-43
    • Q 6.14.2 : Does the privilege apply to communications with third parties?6-43
    • Q 6.14.3 : Is the attorney-client privilege absolute?6-43
    • Q 6.14.4 : Does the crime-fraud exception apply to all disclosures of criminal activity?6-44
    • Q 6.14.5 : May a disclosing witness prevent a company from disclosing their admission of past criminal conduct?6-44
  • : Work-Product Doctrine6-44
  • Q 6.15 : What is protected under the work-product doctrine?6-44
    • Q 6.15.1 : How does the scope of the work-product doctrine compare to that of the attorney-client privilege?6-45
    • Q 6.15.2 : Must a company release its entire work product upon a third party’s showing of substantial need and undue hardship?6-45
  • : Waiver of the Attorney-Client Privilege and Work-Product Protection6-46
  • Q 6.16 : Can the attorney-client privilege and work-product protection be waived?6-46
    • Q 6.16.1 : What motivates companies to waive their privileges?6-46
    • Q 6.16.2 : What is required under a voluntary disclosure?6-46
    • Q 6.16.3 : What is the scope of a waiver of the attorney-client privilege or work-product protection?6-47
  • : Federal Prosecutorial Guidelines on Waiver6-47
  • Q 6.17 : What guidelines do federal prosecutors follow when seeking a waiver of the attorney-client privilege and the attorney work-product protection?6-47
    • Q 6.17.1 : What is the Holder Memorandum?6-47
    • Q 6.17.2 : What is the Thompson Memorandum?6-48
    • Q 6.17.3 : What is the McNulty Memorandum?6-48
    • Q 6.17.4 : What is the Filip Memorandum?6-49
    • Q 6.17.5 : What is the current policy?6-51
Chapter 7: Electronic Discovery
  • : Overview7-2
  • Q 7.1 : Why is electronic data so significant?7-2
  • Q 7.2 : What is e-discovery?7-3
    • Q 7.2.1 : In what context does e-discovery usually occur?7-4
  • : Records Management7-5
  • Q 7.3 : What can our company do now so that we are in a better position if we are ever sued?7-5
  • : Preservation7-6
  • Q 7.4 : What data should be preserved?7-6
    • Q 7.4.1 : How is ESI preserved?7-6
    • : Avoiding Inadvertent Deletion or Alteration of Data7-7
    • Q 7.4.2 : How do we prevent data from being unintentionally deleted or altered?7-7
  • : Litigation Holds7-8
  • Q 7.5 : When is the duty to preserve or issue a “litigation hold” triggered?7-8
    • Q 7.5.1 : In what format should a litigation hold be issued?7-8
    • Q 7.5.2 : Who should receive the litigation hold notice?7-8
    • Q 7.5.3 : How do we determine who the “key players” are?7-9
    • Q 7.5.4 : What should the litigation hold cover?7-9
    • : Litigation Hold/Data Preservation Obligations7-11
    • Q 7.5.5 : What are in-house counsel’s or upper management’s obligations with respect to implementing and maintaining a litigation hold?7-11
    • Q 7.5.6 : What are outside counsel’s obligations?7-11
  • : Pitfalls in Data Preservation/Consequences of Failure to Preserve Data7-12
  • Q 7.6 : What can happen if I fail to take reasonable steps to preserve data?7-12
    • Q 7.6.1 : What is spoliation?7-13
    • Q 7.6.2 : What are some of the hazards to be aware of in trying to implement a litigation hold?7-13
    • Q 7.6.3 : What kinds of sanctions can result from a failure to preserve data?7-13
    • Q 7.6.4 : When can we lift the litigation hold?7-13
  • : Collection7-16
  • Q 7.7 : How soon after preservation will we need to start collecting documents?7-16
    • Q 7.7.1 : How should we begin collecting the internal documents that our litigation counsel will need?7-17
    • : Keyword Searching7-17
    • Q 7.7.2 : Is keyword searching an effective way to collect ESI?7-17
    • : Imaging7-18
    • Q 7.7.3 : What is “imaging”?7-18
  • : E-Discovery Vendors7-18
  • Q 7.8 : What is an e-discovery vendor?7-18
    • Q 7.8.1 : When should I consider hiring one?7-19
    • Q 7.8.2 : Are there any special concerns with regard to using an e-discovery vendor for data collection?7-19
    • : Backup Tapes7-20
    • Q 7.8.3 : Do I have to collect data from backup tapes?7-20
  • : Pitfalls, Potential Hazards, and Other Considerations7-21
  • Q 7.9 : What are some of the document collection hazards I should be aware of?7-21
    • Q 7.9.1 : What can happen if data that the other side wants in the litigation was destroyed?7-21
    • Q 7.9.2 : Are there special considerations for collecting data outside the United States?7-22
  • : Processing and Production7-22
  • : Narrowing the Dataset; Technology-Assisted Review7-22
  • Q 7.10 : How do I determine what documents to review and/or produce?7-22
    • Q 7.10.1 : What tools are useful in further review of collected documents?7-23
  • : Format7-24
  • Q 7.11 : In what format should my data be produced?7-24
    • Q 7.11.1 : What are my options regarding data production format?7-24
  • : Cost7-25
  • Q 7.12 : How much does it all cost?7-25
Chapter 8: Voluntary Disclosure of Wrongdoing
  • : The Basics8-2
  • Q 8.1 : What is a voluntary disclosure of wrongdoing?8-2
    • : Benefits and Risks8-2
    • Q 8.1.1 : Why would a corporation disclose wrongdoing rather than simply fix the problem?8-2
    • Q 8.1.2 : Does voluntary disclosure of wrongdoing preclude criminal prosecution?8-4
  • : Making a Voluntary Disclosure8-4
  • : Contents of the Disclosure8-4
  • Q 8.2 : What are the basic elements of a voluntary disclosure?8-4
    • Q 8.2.1 : What information should be included in the initial disclosure?8-5
  • : After the Voluntary Disclosure8-5
  • : Internal Investigation/Self-Assessment8-5
  • Q 8.3 : What happens after the initial disclosure?8-5
    • Q 8.3.1 : What should an internal investigation cover?8-6
    • : Internal Investigation Report8-6
    • Q 8.3.2 : What information should be reported regarding the scope of the activity?8-6
    • Q 8.3.3 : What information should be reported regarding the discovery and response to the problem?8-7
    • Q 8.3.4 : How does the company assess the financial impact of the disclosed activities?8-8
    • : Government’s Verification Investigation8-9
    • Q 8.3.5 : What happens after the company submits its disclosure and self-assessment reports?8-9
  • : Privilege Concerns8-9
  • Q 8.4 : How does voluntary disclosure affect the attorney-client and work-product privileges?8-9
  • : Waiving Attorney-Client and Work-Product Protections8-10
  • Q 8.5 : When are requests for privileged information permitted?8-10
    • Q 8.5.1 : What is the Holder Memorandum?8-10
    • Q 8.5.2 : What is the Thompson Memorandum?8-10
    • Q 8.5.3 : What is the McNulty Memorandum?8-11
    • Q 8.5.4 : What is the Filip Memorandum?8-12
    • Q 8.5.5 : What is the current policy?8-13
  • : Resolving the Investigation8-13
  • : Cooperation8-13
  • Q 8.6 : What happens if I change my mind after disclosure?8-13
  • : Settlements/Corporate Integrity Agreements8-14
  • Q 8.7 : How are voluntary disclosures finally resolved?8-14
Chapter 9: Witness Preparation
  • : Importance of Witness Preparation9-2
  • Q 9.1 : Why is witness preparation important?9-2
    • Q 9.1.1 : Is witness preparation unethical?9-3
    • Q 9.1.2 : Isn’t witness preparation expensive?9-4
  • : Initial Planning9-4
  • Q 9.2 : What can a company do in advance?9-4
  • : Counsel for Company Employees9-5
  • Q 9.3 : Why do our own employees need counsel for an internal investigation?9-5
  • Q 9.4 : Is it more efficient for in-house counsel to represent company employees?9-6
    • : Upjohn Warnings9-7
    • Q 9.4.1 : Don’t the Upjohn warnings protect company counsel?9-7
  • Q 9.5 : What is the process for obtaining outside counsel for witnesses in an internal investigation?9-8
  • : Preparing the Witness for Testimony9-8
  • Q 9.6 : What is the difference between witness preparation and witness coaching?9-8
  • Q 9.7 : What is “real” witness preparation?9-9
    • Q 9.7.1 : How can effective witness preparation help “level the playing field”?9-10
  • Q 9.8 : What are the ten most important rules for witnesses?9-10
Chapter 10: Settling with the Government
  • : The Role of Compliance in Settlements10-2
  • : Prior Compliance Efforts10-2
  • Q chap10_10.1 : What role does compliance play in settling with the government?10-2
  • Q chap10_10.2 : Can settlement agreements impose additional compliance provisions on an already effective compliance program?10-3
    • : Ongoing Compliance Monitoring10-4
    • Q chap10_10.2.1 : How does the government ensure ongoing compliance monitoring?10-4
    • Q chap10_10.2.2 : Who selects the monitor and who pays for it?10-4
  • : Parallel Proceedings and Global Resolutions10-5
  • Q chap10_10.3 : What are parallel proceedings?10-5
  • Q chap10_10.4 : What is a global resolution?10-6
    • Q chap10_10.4.1 : What are the key considerations in pursuing a global resolution?10-6
  • : Settling with the SEC10-7
  • Q chap10_10.5 : How are settlements with the SEC different from those with other administrative agencies?10-7
    • Q chap10_10.5.1 : What are the mechanisms for settling with the SEC?10-8
    • Q chap10_10.5.2 : What kinds of sanctions may be imposed?10-8
  • : Settling in Civil Actions10-9
  • : Compliance and Reporting Provisions10-9
  • Q chap10_10.6 : Can a civil settlement agreement include compliance and reporting provisions?10-9
    • : When an Agency Joins10-10
    • Q chap10_10.6.1 : What happens when an agency joins a civil settlement agreement?10-10
    • Q chap10_10.6.2 : Will an administrative agency always join in a civil settlement agreement?10-11
  • : Settling in Criminal Procedures10-11
  • : Plea Agreements10-11
  • Q chap10_10.7 : Do plea agreements contain compliance and reporting provisions?10-11
    • : Deferred Prosecution Agreements and Non-Prosecution Agreements10-12
    • Q chap10_10.7.1 : What are deferred prosecution agreements and non-prosecution agreements?10-12
    • Q chap10_10.7.2 : What are the advantages of a deferred prosecution agreement?10-12
    • Q chap10_10.7.3 : What are the drawbacks of a deferred prosecution agreement?10-13
  • : Settling with Administrative Agencies10-13
  • Q chap10_10.8 : How do settlements with an administrative agency differ from those with an enforcement agency?10-13
    • Q chap10_10.8.1 : What compliance-related provisions might an administrative agency seek to include in a settlement agreement?10-14
    • Q chap10_10.8.2 : What are some common types of settlement agreements?10-14
    • : Corporate Integrity Agreements10-14
    • Q chap10_10.8.3 : What is a corporate integrity agreement?10-14
    • Q chap10_10.8.4 : What compliance-related provisions can a CIA mandate?10-15
    • : Certificate of Compliance Agreements10-16
    • Q chap10_10.8.5 : What is a certification of compliance agreement?10-16
    • : Administrative Compliance Agreements10-17
    • Q chap10_10.8.6 : What is an administrative compliance agreement?10-17
    • Q chap10_10.8.7 : What does an administrative compliance agreement specifically require?10-17
Chapter 11: The False Claims Act
  • : Basics of the False Claims Act11-3
  • Q 11.1 : What kinds of actions are typically brought under the False Claims Act?11-3
  • : Provisions of the FCA11-4
  • Q 11.2 : What specifically does the FCA prohibit?11-4
    • Q 11.2.1 : What is a “claim” for purposes of the FCA?11-4
    • Q 11.2.2 : What is a false claim?11-5
  • Q 11.3 : What does it mean to present a false claim “knowingly”?11-5
  • : Penalties for False Claims11-6
  • Q 11.4 : What are the penalties for violating the FCA?11-6
  • : Conduct That Gives Rise to False Claims Liability11-8
  • Q 11.5 : What conduct most commonly leads to FCA liability?11-8
  • : Qui Tam/Whistleblower Actions11-10
  • Q 11.6 : What is a “whistleblower” or “relator”?11-10
  • Q 11.7 : Who can be a whistleblower?11-11
  • Q 11.8 : How much can the whistleblower make?11-11
  • : Filing a Claim11-12
  • Q 11.9 : What is the procedure for filing a qui tam action?11-12
    • Q 11.9.1 : How long does the complaint remain under seal?11-12
    • Q 11.9.2 : How and when does the government become involved in the prosecution of a qui tam action?11-12
    • Q 11.9.3 : How does a defendant learn that an FCA action is pending?11-13
  • : The Lifecycle of an FCA Case11-14
  • Q 11.10 : What happens after the defendant learns that an FCA case has been filed?11-14
  • : Document Production11-14
  • Q 11.11 : Our company has just received a subpoena indicating that the government is investigating a potential FCA violation; what should we do?11-14
    • Q 11.11.1 : The government refuses to narrow the scope of its broad requests; what can we do?11-15
    • Q 11.11.2 : The government has narrowed the scope of its requests; what do we do?11-15
    • Q 11.11.3 : What use can the government make of our documents once produced?11-15
  • : Parallel Internal Investigation11-15
  • Q 11.12 : Why should we conduct an internal investigation?11-15
    • Q 11.12.1 : Would we ever choose to disclose our findings to the government attorneys?11-16
  • : Interviewing Witnesses11-16
  • Q 11.13 : Who should be interviewed during an internal investigation?11-16
    • Q 11.13.1 : What should we do if, during the course of our investigation, we discover that an employee has engaged in illegal or unethical conduct?11-17
  • : Getting Information from the Government11-17
  • Q 11.14 : What kind of information can we get from the government, and how should we go about getting it?11-17
  • : Pre-Intervention Presentations11-18
  • Q 11.15 : When is it in our interest to share information with the government?11-18
  • : Motions Practice11-19
  • Q 11.16 : What happens once the complaint is unsealed?11-19
  • : Negotiating Damages11-19
  • Q 11.17 : How are damages and penalties calculated under the FCA?11-19
    • Q 11.17.1 : How should we approach damages in the context of settlement?11-20
  • : Settlements11-20
  • Q 11.18 : Is the process of negotiating a settlement in an FCA case different from that in any other litigation?11-20
  • : Retaliation11-21
  • Q 11.19 : What should we do if we learn that the whistleblower is a current employee of our company?11-21
    • Q 11.19.1 : What should we do if we learn that the whistleblower works for one of our contracting partners?11-21
  • : Defending an FCA Claim11-22
  • Q 11.20 : What are the most common defenses to an FCA claim?11-22
  • : Statute of Limitations11-24
  • Q 11.21 : What is the statute of limitations for an FCA violation?11-24
  • : FCA Compliance Programs11-24
  • Q 11.22 : Can a compliance program prevent FCA claims?11-24
  • : Regulating Compliance11-25
  • Q 11.23 : What is the Deficit Reduction Act of 2005 and how does it affect the FCA and compliance programs?11-25
Chapter 12: Privacy and Security of Personal Information
  • : Data Privacy Laws12-3
  • : An Overview12-3
  • Q 12.1 : What are the particular concerns that drive privacy law?12-3
    • : Definitions12-5
    • Q 12.1.1 : What is the legal definition of “personal information”?12-5
    • : Compliance12-8
    • Q 12.1.2 : What steps should our organization take to ensure compliance with data protection laws?12-8
  • : Figure 12-1 Personal Information Checklist12-10
  • : Your Company’s Privacy Policy12-11
  • Q 12.2 : Should we implement a privacy policy?12-11
    • Q 12.2.1 : Where should our organization place its privacy policy?12-11
    • Q 12.2.2 : What principles should inform our privacy policy?12-12
    • Q 12.2.3 : What types of choices should data subjects be allowed?12-13
    • Q 12.2.4 : How should my organization administer its privacy policy?12-14
    • Q 12.2.5 : What happens if we modify the privacy policy?12-14
    • Q 12.2.6 : Should our organization display any third-party seals of approval?12-14
  • : Your Employees’ Privacy12-14
  • Q 12.3 : What privacy rules apply to our organization’s employees?12-14
    • Q 12.3.1 : What criminal sanctions does the ECPA provide for?12-15
    • : Monitoring Employee Email12-15
    • Q 12.3.2 : Are we allowed to monitor our employees’ email?12-15
    • Q 12.3.3 : Do we need a written email policy?12-15
  • : Data Security12-15
  • : Identity Theft12-15
  • Q 12.4 : What is identity theft?12-15
    • : Figure 12-2 Credit Identity Theft12-16
    • Q 12.4.1 : Are states taking actions to require organizations to protect individuals against identity theft?12-16
  • Q : 2Are there federal regulations that require organizations to protect individuals against identity theft?12-17
    • Q 12.4.3 : What should our identity theft prevention program include?12-18
    • : Figure 12-3 Examples of Red Flags12-19
    • Q 12.4.4 : Do we need an identity theft prevention program for our service providers?12-20
  • : Third-Party Security Audits12-20
  • Q 12.5 : What security protections should we have in place?12-20
  • : Figure 12-4 Recommended Clauses for Your Company’s Email Policy12-20
  • : Figure 12-5 Data Security Checklist12-21
  • : Compliance Programs12-22
  • Q 12.6 : What should our privacy and security program look like?12-22
  • Q 12.7 : Are public companies required to take additional steps in terms of compliance with privacy obligations?12-23
  • Q 12.8 : Do we need to be concerned in our compliance program about class action cases seeking to enforce privacy obligations?12-24
  • : Cybersecurity Insurance12-24
  • Q 12.9 : Is coverage available to insure against risks associated with data privacy and security?12-24
Chapter 13: Procuring Computing Resources: IP Licensing, Outsourcing, and Cloud Computing
  • : Procuring Computing Resources13-3
  • : The Basics13-3
  • Q 13.1 : What are “computing resources”?13-3
  • : Procurement Models13-3
  • Q 13.2 : What alternatives are generally available to my organization for procuring computing resources?13-3
    • Q 13.2.1 : What is the “in-house model” for obtaining computing resources?13-4
    • Q 13.2.2 : What is the “outsourcing model” for obtaining computing resources?13-4
    • Q 13.2.3 : How does “cloud computing” relate to my organization’s computing resources?13-5
  • : Choosing the Appropriate Model13-7
  • Q 13.3 : What are the key considerations when comparing the options for obtaining computing resources?13-7
  • : Intellectual Property Rights13-7
  • Q 13.4 : In these transactions, what vendor intellectual property rights, if any, should my organization be concerned with?13-7
  • Q 13.5 : Should my organization be concerned about its own intellectual property rights?13-9
    • Q 13.5.1 : My organization engages a range of other vendors in connection with its computing resources. Do we need to address system access by these third parties?13-10
    • : “Agile Development” Model13-11
    • Q 13.5.2 : A vendor proposes to develop software for my organization using an “agile development” methodology. What does this mean for us?13-11
  • : Cloud Deployment Models13-12
  • Q 13.6 : My company is considering migrating certain network services to the cloud. Are there particular deployment models that we should consider?13-12
  • : Integrating New Computing Resources into Existing Systems13-13
  • Q 13.7 : Are there any special considerations our organization should be aware of when integrating the new computing resource within our existing systems?13-13
    • Q 13.7.1 : What are “rights in interfaces”?13-14
    • : Open-Source Software13-14
    • Q 13.7.2 : What is open-source software?13-14
    • Q 13.7.3 : What open-source software considerations may affect our system?13-14
    • : Legacy Data13-15
    • Q 13.7.4 : What concerns are raised by legacy data?13-15
  • : Maintaining Computing Resources13-16
  • : Service Level Agreements and Service Level Objectives13-16
  • Q 13.8 : What factors affect maintenance of our computing resource assets and monitoring of performance?13-16
    • Q 13.8.1 : What role do SLAs and SLOs play in maintaining computing resources?13-16
    • : Audit Requirements13-18
    • Q 13.8.2 : How can we use audit requirements to enhance maintenance of our system?13-18
    • : Employee Policies13-18
    • Q 13.8.3 : Can company policies enhance system maintenance?13-18
  • : Managing Risk13-19
  • Q 13.9 : As we expand access to our computing resources, how should we approach risks arising from this expansion?13-19
  • : Compliance Issues13-20
  • Q 13.10 : How do computing resources relate to our compliance obligations?13-20
    • : Responsibility for Third Party13-21
    • Q 13.10.1 : Can an organization procuring computing resources be held responsible for actions of a service provider?13-21
    • : Multiple Jurisdictions/Regulatory Regimes13-21
    • Q 13.10.2 : How do we address conflicting regulatory requirements for cross-border operations?13-21
  • : Special Considerations for Electronically Stored Information13-22
  • Q 13.11 : What compliance risks are raised by storing data with a third party?13-22
    • Q 13.11.1 : What data security protections should be in place?13-23
  • : Disengaging from a Licensor or Service Provider13-24
  • : Vendor Lock-In13-24
  • Q 13.12 : How do we disengage from a licensor or service provider?13-24
  • Q 13.13 : How can an organization seeking to terminate its relationship with a vendor reduce the threat of vendor lock-in?13-24
    • Q 13.13.1 : How do we get unconditional access to portable data?13-25
    • : Transition Assistance13-25
    • Q 13.13.2 : What is transition assistance?13-25
    • : Source Code Escrow Agreements13-26
    • Q 13.13.3 : What are escrow agreements?13-26
Chapter 14: Government Contractors
  • : Overview14-3
  • Q 14.1 : What are the benefits to contractors of developing, implementing, and maintaining a compliance program?14-3
  • Q 14.2 : Generally speaking, what should a government contractor’s compliance program aim to do?14-4
  • : Compliance Programs and the FAR14-5
  • Q 14.3 : Does the Federal Acquisition Regulation (FAR) include provisions requiring compliance programs?14-5
    • Q 14.3.1 : Who is subject to these rules?14-6
    • : Code of Business Ethics and Conduct14-7
    • Q 14.3.2 : How must contractors fulfill the code of conduct requirement?14-7
    • : Internal Controls System/Training Program14-7
    • Q 14.3.3 : What is required in an internal controls system and training program?14-7
    • Q 14.3.4 : Who should participate in a training program?14-9
    • : Internal Reporting and Hotline Posters14-9
    • Q 14.3.5 : What is required for an internal reporting system and hotline poster?14-9
    • : Reporting of Violations14-10
    • Q 14.3.6 : What are the mandatory disclosure requirements?14-10
    • Q 14.3.7 : What is the time frame for disclosure?14-10
    • Q 14.3.8 : How is disclosure made?14-11
    • Q 14.3.9 : To whom is disclosure made?14-11
    • Q 14.3.10 : What must be disclosed?14-11
    • Q 14.3.11 : What is “knowing” failure to disclose?14-11
    • : Full Cooperation with the Government14-12
    • Q 14.3.12 : What is required for “full cooperation”?14-12
    • : Knowing Failure to Disclose Violations14-13
    • Q 14.3.13 : What are the implications of suspension and debarment for knowing failure to make mandatory disclosures?14-13
    • Q 14.3.14 : What constitutes failure to report “significant overpayments”?14-13
  • : Practical Considerations14-13
  • : Subcontractors14-13
  • Q 14.4 : Are contractors required to flow-down the clauses into subcontracts?14-13
  • : Performance Evaluations14-14
  • Q 14.5 : Will a contractor’s compliance program be considered in performance evaluations?14-14
  • : Noncompliance14-14
  • : Potential Liability14-14
  • Q 14.6 : What does a government contractor risk by not having a compliance program?14-14
    • Q 14.6.1 : Can a contractor be found liable for the acts of its employees?14-15
    • Q 14.6.2 : What types of liability might government contractors incur?14-15
  • : Criminal and Civil Penalties14-16
  • Q 14.7 : What criminal and civil penalties may government contractors face?14-16
    • Q 14.7.1 : What makes a case criminal rather than civil?14-16
    • Q 14.7.2 : How are criminal fines determined?14-17
    • Q 14.7.3 : How can contractors be held liable under the False Claims Act?14-17
    • Q 14.7.4 : What constitutes a false statement violation?14-17
    • Q 14.7.5 : What constitutes a criminal mail fraud violation?14-18
    • Q 14.7.6 : What constitutes a wire fraud violation?14-18
    • Q 14.7.7 : What constitutes a major fraud violation?14-19
    • Q 14.7.8 : How can the conspiracy statute affect government contractors?14-19
    • Q 14.7.9 : What behaviors can subject a government contractor to obstruction of justice liability?14-20
    • Q 14.7.10 : What is required to avoid liability under the Truth in Negotiations Act?14-20
    • Q 14.7.11 : What are “cost or pricing data”?14-20
    • Q 14.7.12 : What are the requirements for providing cost or pricing data to the government?14-21
    • Q 14.7.13 : How might a contractor incur liability?14-21
    • Q 14.7.14 : What civil remedies can the government seek for such violations?14-22
    • Q 14.7.15 : What are the civil penalties for violations of the Program Fraud Civil Remedies Act?14-22
    • Q 14.7.16 : What are the civil penalties for violations of the Foreign Assistance Act?14-22
    • Q 14.7.17 : What other civil penalties might government contractors be subject to?14-23
  • : Administrative Penalties14-23
  • Q 14.8 : What administrative penalties may government contractors face?14-23
    • Q 14.8.1 : What are the implications of suspension?14-23
    • Q 14.8.2 : What are the implications of debarment?14-23
    • Q 14.8.3 : What kinds of contractor acts can result in suspension and/or debarment?14-24
    • Q 14.8.4 : What administrative penalties are available under the Program Fraud Civil Remedies Act?14-24
  • : Contractual Remedies14-25
  • Q 14.9 : What other contractual clauses might trigger penalties in government contracts?14-25
    • Q 14.9.1 : What penalties are triggered by “unallowable costs”?14-25
    • Q 14.9.2 : How can defective cost or pricing data result in price reduction?14-26
  • : Obtaining Government Contracts14-26
  • : Compliance Concerns for Offerors14-26
  • Q 14.10 : What compliance issues may arise when preparing bids on government contracts?14-26
    • Q 14.10.1 : What kinds of certifications might contractors be required to make?14-26
    • Q 14.10.2 : When is a contractor eligible to bid on a government contract?14-28
    • Q 14.10.3 : What makes a contractor “responsible”?14-28
    • : Organizational Conflicts of Interest14-29
    • Q 14.10.4 : What are “organizational conflicts of interest”?14-29
    • Q 14.10.5 : Under what circumstances might an OCI arise?14-30
    • Q 14.10.6 : What can a government contractor do to identify OCIs?14-31
    • Q 14.10.7 : How can the impact of organizational conflicts of interest be mitigated?14-32
    • : Cost Accounting14-33
    • Q 14.10.8 : What are a federal contractor’s compliance responsibilities regarding accounting for costs?14-33
    • Q 14.10.9 : How must a contractor comply with the FAR’s “cost principles”?14-33
    • Q 14.10.10 : How must a contractor comply with the FAR’s Cost Accounting Standards?14-33
    • Q 14.10.11 : What are the compliance requirements of the Truth in Negotiations Act for government contractors?14-35
    • Q 14.10.12 : What requirements regarding anticompetitive behavior must a contractor comply with?14-36
  • : Compliance Issues Arising During Contract Performance14-37
  • Q 14.11 : What potential improper business practice violations occur during contract performance?14-37
    • : Disclosure of Procurement Information and Documents14-38
    • Q 14.11.1 : What are the statutes/regulations dealing with disclosure of procurement information with which a government contractor must comply?14-38
    • : Bribes/Illegal Gratuities14-38
    • Q 14.11.2 : What compliance issues does gift-giving raise?14-38
    • Q 14.11.3 : What is the difference between a bribe and a gratuity?14-39
    • Q 14.11.4 : What are acceptable gifts?14-39
    • Q 14.11.5 : What are the penalties for illegal giving of “things of value”?14-40
    • : Kickbacks14-40
    • Q 14.11.6 : What are a federal contractor’s compliance obligations regarding kickbacks?14-40
    • : Contingent Fees14-41
    • Q 14.11.7 : What is a contingent fee?14-41
    • Q 14.11.8 : What compliance considerations regarding contingent fees should a federal contractor be aware of?14-42
    • : Payments to Foreign Officials14-43
    • Q 14.11.9 : What compliance issues should contractors engaging in foreign business activities be aware of?14-43
    • Q 14.11.10 : Are there any kinds of payments to officials that are permitted?14-43
    • Q 14.11.11 : What are the penalties for violations?14-44
    • : Personal Conflicts of Interest14-44
    • Q 14.11.12 : What kinds of relationships may create personal conflicts of interest?14-44
    • Q 14.11.13 : What are the restrictions on current government employees seeking employment from government contractors?14-45
    • Q 14.11.14 : What are the restrictions on former government employees currently working for government contractors?14-46
    • : Table 14-1 Restrictions on a Federal Employee’s Future Activities As a Contractor’s Employee14-47
    • Q 14.11.15 : What are the restrictions on government employees who previously worked for government contractors?14-48
    • Q 14.11.16 : What can a contractor considering hiring a government employee do to avoid liability?14-49
    • : Organizational Conflicts of Interest14-50
    • Q 14.11.17 : Under what circumstances might organizational conflicts of interest arise during the performance of a government contract?14-50
    • : Lobbying14-50
    • Q 14.11.18 : What kinds of lobbying activities are restricted?14-50
    • : Lobbying Disclosures14-51
    • Q 14.11.19 : What kinds of lobbying requirements must federal contractors comply with?14-51
  • : Unreasonable Restrictions on Subcontractor Sales14-51
  • Q 14.12 : What are a contractor’s ethical obligations in relation to subcontractors?14-51
  • : Employment/Wage-and-Hour Compliance Issues14-52
  • Q 14.13 : What wage-and-hour statutes and regulations should a compliance program account for?14-52
    • Q 14.13.1 : Is a contractor required to report its company’s compliance with labor and employment laws?14-52
    • Q 14.13.2 : What is the information a contractor supplies in the labor law disclosures used for?14-53
    • Q 14.13.3 : Is an employer’s right to arbitrate employment disputes limited?14-53
    • Q 14.13.4 : What are a government contractor’s obligations regarding compliance with the Davis-Bacon Act?14-54
    • Q 14.13.5 : ... with the Service Contract Act?14-54
    • Q 14.13.6 : ... with the Walsh-Healey Public Contracts Act?14-55
    • Q 14.13.7 : ... with Equal Employment Opportunity requirements?14-56
    • Q 14.13.8 : ... with the Drug-Free Workplace Act?14-57
    • Q 14.13.9 : ... under other recent executive orders?14-57
  • Q 14.14 : Are government contractors subject to any special employment verification requirements?14-58
  • Q 14.15 : What is E-Verify?14-59
    • Q 14.15.1 : Are there E-Verify exemptions?14-59
    • Q 14.15.2 : Must a contractor verify its entire workforce?14-59
    • Q 14.15.3 : When must a contractor enroll and use E-Verify?14-59
  • : Intellectual Property Compliance Issues14-60
  • Q 14.16 : What proprietary intellectual property concerns should a compliance program account for?14-60
    • Q 14.16.1 : What technical data and computer software rights should a government contractor be concerned with?14-60
    • Q 14.16.2 : What copyright protections should a government contractor be concerned with?14-63
    • Q 14.16.3 : What rights in patented inventions should a government contractor be concerned with?14-64
  • : Domestic and Foreign Preferences14-65
  • Q 14.17 : What are a government contractor’s obligations regarding the products/components and services it uses?14-65
    • Q 14.17.1 : What domestic and foreign preference statutes and regulations should a compliance program account for?14-65
    • Q 14.17.2 : What are a government contractor’s obligations regarding compliance with the Buy American Act?14-66
    • Q 14.17.3 : Are there any exemptions to the Buy American Act?14-67
    • : Table 14-2 Comparison of Agency Interpretations of Buy American Act14-68
    • Q 14.17.4 : What remedies may be sought for violations of the Buy American Act?14-68
    • Q 14.17.5 : What are a government contractor’s obligations regarding compliance with the Trade Agreements Act?14-69
    • Q 14.17.6 : ... with the Berry Amendment?14-70
    • Q 14.17.7 : ... with the Fly America Act?14-71
    • Q 14.17.8 : ... with the Arms Export Control Act?14-71
    • Q 14.17.9 : What are the Arms Export Control Act’s licensing requirements?14-72
    • Q 14.17.10 : What are the penalties for violations of the Arms Export Control Act?14-73
    • Q 14.17.11 : What are a government contractor’s obligations regarding compliance with the Foreign Military Sales Program?14-73
  • : Counterfeit Electronic Parts14-74
  • Q 14.18 : What obligation does a government contractor have to ensure that the products it delivers to the government do not contain “counterfeit electronic parts”?14-74
    • Q 14.18.1 : What is a “counterfeit electronic part”?14-74
    • Q 14.18.2 : What does DFARS require to prevent incorporation of counterfeit electronic parts into equipment delivered to the government?14-75
    • Q 14.18.3 : What is an acceptable counterfeit electronic parts detection and avoidance system?14-75
    • Q 14.18.4 : Are there any exemptions to this rule?14-75
    • Q 14.18.5 : Is a contractor required to flow down these requirements to its subcontractors?14-75
    • Q 14.18.6 : Is a contractor required to report to the government information concerning suspected or confirmed counterfeit electronic parts?14-76
    • Q 14.18.7 : Are the costs of dealing with counterfeit electronic parts and any required rework or corrective action allowable?14-76
  • : Special Considerations14-76
  • : Compliance Issues Arising Under Particular Types of Contracts14-76
  • Q 14.19 : What particular types of government contracts raise special compliance issues?14-76
    • Q 14.19.1 : What special issues should a small business compliance plan address?14-77
    • Q 14.19.2 : What issues may arise in GSA contracts?14-78
  • : Compliance Issues Arising Under the Sarbanes-Oxley Act14-81
  • Q 14.20 : How does the Sarbanes-Oxley Act affect government contractors?14-81
    • Q 14.20.1 : What advantages do government contractors have in dealing with Sarbanes-Oxley?14-81
    • Q 14.20.2 : What obligations do officers of government contractors have under Sarbanes-Oxley?14-82
    • Q 14.20.3 : What obligations do program managers and product line executives have?14-82
    • Q 14.20.4 : What are in-house lawyers’ obligations?14-82
  • : Compliance Issues Arising Under the Freedom of Information Act14-83
  • Q 14.21 : What compliance issues may arise under the Freedom of Information Act?14-83
  • : Combating Trafficking in Persons14-84
  • Q 14.22 : What are a government contractor’s responsibilities with respect to eliminating human trafficking from the supply chain?14-84
    • Q 14.22.1 : What are the human trafficking activities that are required to be prevented?14-84
    • Q 14.22.2 : Under what circumstances must a government contractor notify the government about human trafficking activities it learns of?14-85
    • Q 14.22.3 : What must a government contractor do if the agency inspector general undertakes an investigation concerning human trafficking?14-85
    • Q 14.22.4 : What are the possible consequences a government contractor might face for failing to fulfill the anti-human trafficking requirements?14-86
    • Q 14.22.5 : Should a government contractor’s compliance program be revised to account for anti-human trafficking requirements?14-86
    • Q 14.22.6 : Are there certification requirements concerning compliance with anti-human trafficking requirements?14-88
    • Q 14.22.7 : Is a government contractor required to flow down these requirements to its subcontractors?14-88
Chapter 15: Suspension and Debarment from Federal Contracting and Programs
  • : The Basics15-2
  • Q 15.1 : What are suspension and debarment?15-2
  • : Purposes of Suspension and Debarment15-3
  • Q 15.2 : What is the purpose of debarment or suspension?15-3
  • : Consequences of Suspension and Debarment15-3
  • Q 15.3 : What are the consequences of suspension and debarment?15-3
    • Q 15.3.1 : Does a suspension or debarment affect existing contracts or transactions?15-4
  • : Regulatory Regime15-4
  • Q 15.4 : What is the legal authority for agencies to impose suspensions and debarments?15-4
  • : Imposition of Suspension or Debarment15-5
  • : Agency Role in Decision Making and Implementation15-5
  • Q 15.5 : How is a determination to impose suspension or debarment made?15-5
  • Q 15.6 : Who actually imposes a suspension or debarment?15-5
    • Q 15.6.1 : Is the impact of a suspension or debarment limited to the agency that imposes it?15-6
    • Q 15.6.2 : Is there any coordination among the agencies with respect to imposing suspension or debarment?15-6
  • : Scope of Application of Suspension or Debarment15-7
  • Q 15.7 : Does a suspension or debarment apply to all divisions or subsidiaries of a company?15-7
  • : Conduct Constituting Cause15-7
  • Q 15.8 : What constitutes “cause” for suspension or debarment?15-7
    • Q 15.8.1 : Can a company (or one of its officers) be debarred based on the improper conduct of an employee or an affiliated company?15-8
  • : Mitigating Factors in Debarment15-9
  • Q 15.9 : What mitigating factors might outweigh the existence of cause for debarment?15-9
  • : Term Length15-11
  • Q 15.10 : Is there a limit on the length of suspensions and debarments?15-11
    • Q 15.10.1 : Can a debarment be extended?15-11
    • Q 15.10.2 : Can a debarment be reduced in length or scope?15-11
  • : Conduct of Proceedings15-12
  • Q 15.11 : How do suspension/debarment proceedings work?15-12
  • : Avoiding Suspension or Debarment15-13
  • : Settlement15-13
  • Q 15.12 : Is it possible to settle a suspension/debarment action with an agency?15-13
  • : Administrative Agreements15-14
  • Q 15.13 : What are administrative agreements and how do they work?15-14
  • : Judicial Review15-16
  • Q 15.14 : Can a suspension or debarment be challenged in court?15-16
Chapter 16: International Investigations
  • : The Basics16-2
  • Q 16.1 : What is an international investigation?16-2
  • : Special Issues16-3
  • Q 16.2 : What are some of the special issues raised by international investigations?16-3
  • : Document Collection/Review16-3
  • Q 16.3 : What kinds of considerations are raised by special issues related to document collection and review?16-3
  • : Witness Interviews16-4
  • Q 16.4 : What special issues exist relating to witness interviews?16-4
    • Q 16.4.1 : Can telephone interviews be used?16-5
  • : Attorney-Client Privilege16-5
  • Q 16.5 : Does the attorney-client privilege apply in an international investigation?16-5
  • : Jurisdiction16-6
  • Q 16.6 : When do U.S. courts have jurisdiction over a company’s foreign activities?16-6
    • Q 16.6.1 : Do U.S. laws apply to conduct outside the United States?16-6
  • : Travel16-7
  • Q 16.7 : Does travel to the United States by foreign officers raise any special issues?16-7
  • : Affected Practice Areas16-8
  • Q 16.8 : What are some of the major practice areas where international investigations typically occur?16-8
    • : Cartel Anticompetitive and Unfair Business Practices16-8
    • Q 16.8.1 : How frequent and significant are government investigations of suspected international cartels?16-8
    • Q 16.8.2 : Does the government face special problems in investigating and prosecuting international cartels?16-9
    • Q 16.8.3 : Why has the government been so successful in prosecuting international cartels?16-9
    • : Noncartel Anticompetitive and Unfair Business Practices16-10
    • Q 16.8.4 : What are investigation “triggers” in the area of noncartel anticompetitive and unfair business practices?16-10
    • : Anti-Bribery16-10
    • Q 16.8.5 : What laws address bribery in an international context?16-10
    • Q 16.8.6 : Who is subject to the Foreign Corrupt Practices Act?16-10
    • Q 16.8.7 : Is there an international consensus on anti-bribery regulation?16-11
    • : Export Controls16-11
    • Q 16.8.8 : Why do export controls trigger international investigations?16-11
    • Q 16.8.9 : Is there a particular industry significantly affected by U.S. export controls?16-11
    • Q 16.8.10 : What sorts of issues commonly arise in international investigations of export control issues?16-11
    • : Corporate Governance16-12
    • Q 16.8.11 : What failures in corporate governance trigger an investigation?16-12
    • Q 16.8.12 : Are there external triggers for a corporate governance investigation?16-13
    • : Intellectual Property16-13
    • Q 16.8.13 : What industries are vulnerable to international intellectual property rights infringement?16-13
    • Q 16.8.14 : What legal actions are available to a party whose IP rights are being infringed abroad?16-13
  • : Conducting an Effective International Investigation16-14
  • : Initial Steps16-14
  • Q 16.9 : What preliminary considerations are necessary prior to carrying out an international investigation?16-14
    • : Conducting the Investigation16-15
    • Q 16.9.1 : Who will conduct the investigation?16-15
Chapter 17: Foreign Corrupt Practices Act
Chapter 18: Export Controls
  • : Overview18-4
  • Q 18.1 : Generally speaking, what do U.S. export laws and regulations aim to achieve?18-4
    • Q 18.1.1 : How do export controls seek to achieve those objectives?18-4
    • Q 18.1.2 : Which U.S. agencies regulate exports from the United States?18-5
  • : Export of Defense Articles and Services18-6
  • Q 18.2 : How are defense exports regulated?18-6
  • : Table 18-1 United States Munitions List18-6
  • : International Traffic in Arms Regulations18-7
  • Q 18.3 : What is the scope of the ITAR?18-7
    • Q 18.3.1 : What is a defense article?18-8
    • Q 18.3.2 : What is technical data?18-8
    • Q 18.3.3 : What are defense services?18-8
    • Q 18.3.4 : What is “look through” treatment under the ITAR?18-8
    • Q 18.3.5 : What does the USML cover?18-9
    • Q 18.3.6 : How can an exporter determine that an item is ITAR-controlled?18-9
  • : Exports and Re-Exports18-10
  • Q 18.4 : What constitutes an export under the ITAR?18-10
    • Q 18.4.1 : What are re-exports and retransfers?18-11
    • : Registration and Licensing18-11
    • Q 18.4.2 : How can a company obtain DDTC authorization to export?18-11
    • Q 18.4.3 : Are there exemptions to ITAR licensing?18-11
    • : Brokering18-12
    • Q 18.4.4 : What are the requirements for brokering defense exports?18-12
  • : Commercial “Dual-Use” Goods and Technology18-12
  • Q 18.5 : How are commercial goods and technology exports regulated?18-12
    • : Export Administration Regulations18-13
    • Q 18.5.1 : What is the scope of the EAR?18-13
    • Q 18.5.2 : What categories of items and technology require a license to export under the EAR?18-14
    • Q 18.5.3 : What are the CCL categories?18-14
    • : Table 18-2 CCL Categories18-15
    • : Export and Re-Export18-16
    • Q 18.5.4 : What constitutes an export or re-export?18-16
    • : Licensing18-16
    • Q 18.5.5 : How does an exporter determine if it needs a license to export dual-use goods and technology?18-16
    • Q 18.5.6 : How can a license be obtained?18-17
    • Q 18.5.7 : How are less sensitive military items being incorporated into the EAR, and what does this mean?18-18
  • : Economic Sanctions Programs18-18
  • : Prohibited Transactions18-18
  • Q 18.6 : What activities are prohibited by U.S. economic sanctions programs?18-18
    • Q 18.6.1 : Are there exceptions to the prohibition on exportation to sanctioned countries?18-19
    • Q 18.6.2 : What are terrorist and other barred entity lists?18-19
    • : Table 18-3 Lists of Barred Entities18-20
    • : Administration and Jurisdiction18-21
    • Q 18.6.3 : Who administers economic sanctions programs?18-21
    • Q 18.6.4 : Who is a “U.S. person”?18-21
    • Q 18.6.5 : What are the jurisdictional limits of OFAC embargo programs?18-21
  • : Penalties for Export Violations18-22
  • Q 18.7 : What are the penalties for violation of the controls on defense exports?18-22
    • Q 18.7.1 : What are the penalties for violation of the controls on dual-use item exports?18-22
    • Q 18.7.2 : What are the penalties for exporting to a sanctioned country?18-23
    • Q 18.7.3 : Who is subject to penalties for export violations?18-24
    • Q 18.7.4 : How are penalties determined?18-24
    • Q 18.7.5 : What factors do the DDTC, BIS, and OFAC take into account in assessing penalties?18-24
  • : Effective Export Compliance Programs18-27
  • : Industry Best Practices18-27
  • Q 18.8 : What are the industry best practices related to export compliance?18-27
    • Q 18.8.1 : What is the role of management?18-28
    • Q 18.8.2 : What are the roles of those groups recognized as “compliance personnel”?18-28
    • Q 18.8.3 : How important is an export compliance program manual?18-28
    • Q 18.8.4 : What role should training play?18-29
    • Q 18.8.5 : What are a company’s record-keeping obligations?18-29
    • Q 18.8.6 : How should companies approach compliance in light of rapid changes in export laws?18-29
    • : Table 18-4 How to Create a User-Friendly Compliance Manual18-31
    • Q 18.8.7 : What is the importance of internal audits?18-34
    • Q 18.8.8 : How should suspected violations be reported?18-34
    • Q 18.8.9 : Why does a company need clear disciplinary procedures?18-34
  • : Designing an Export Compliance Program18-35
  • Q 18.9 : What are the first steps a company should take when drafting a compliance program?18-35
    • Q 18.9.1 : Isn’t there a one-size-fits-all program companies can adopt?18-35
    • Q 18.9.2 : What are the pitfalls to avoid in designing an export compliance program?18-36
    • Q 18.9.3 : What key questions should be posed when designing an export compliance program?18-36
  • : Table 18-5 Identifying Risk Factors When Designing an Export Compliance Program18-37
  • : Export Controls and Universities18-40
  • : Deemed Exports18-40
  • Q 18.10 : Why should universities be concerned about export controls?18-40
  • : Foreign Students18-41
  • Q 18.11 : What do export controls concerns related to the defense and high-technology sectors have to do with institutions of higher education?18-41
    • Q 18.11.1 : Who is a “foreign student” for purposes of export controls?18-42
    • Q 18.11.2 : Can an institution’s treatment of foreign students differ from that of U.S. students?18-42
  • Q 18.12 : What institution activities may fall under the export controls?18-43
  • : Regulation of Teaching18-43
  • Q 18.13 : Is all information taught at universities subject to export controls?18-43
    • Q 18.13.1 : What information qualifies as “publicly available” and thus not subject to export controls?18-43
    • Q 18.13.2 : How is educational information subject to export controls?18-44
  • : Regulation of Research18-45
  • Q 18.14 : Are the results of fundamental research subject to export controls?18-45
    • Q 18.14.1 : How does an institution apply the fundamental research exception in practice?18-46
    • Q 18.14.2 : What are the limitations on publication or dissemination of the research results?18-46
    • Q 18.14.3 : What are some pitfalls to avoid in negotiating research grants or funding?18-47
  • : Teaching Abroad and Foreign Campuses18-48
  • Q 18.15 : Can a U.S. university professor teach abroad?18-48
  • Q 18.16 : Are there limitations on setting up a foreign campus?18-48
  • : Export Controls Compliance18-48
  • Q 18.17 : How can an institution set up successful screening and compliance procedures?18-48
Chapter 19: Corporate Political Activity
  • : Impermissible Corporate Political Activities19-3
  • Q 19.1 : May a corporation contribute to a candidate directly out of its treasury?19-3
  • : Permissible Corporate Political Activities19-3
  • Q 19.2 : How may corporations participate in the federal political process?19-3
  • Q 19.3 : May a corporation expend any resources in support of a candidate for federal election?19-4
  • : Political Action Committees (PACs)19-4
  • : Basic Requirements and Restrictions19-4
  • Q 19.4 : What is a PAC?19-4
    • Q 19.4.1 : Are there restrictions on who can participate in a PAC/SSF?19-5
    • Q 19.4.2 : Are there limits and restrictions on how a corporation can support an SSF?19-5
    • Q 19.4.3 : What kinds of restrictions are there on solicitation of contributions to SSFs?19-6
    • Q 19.4.4 : Who makes up the “restricted class”?19-6
  • : Formation and Operation19-7
  • Q 19.5 : How does a corporation form a PAC?19-7
    • Q 19.5.1 : What are the disclosure requirements for a PAC?19-8
    • Q 19.5.2 : What are contribution limits for PACs?19-8
    • Q 19.5.3 : How can a corporation ensure PAC compliance?19-8
    • Q 19.5.4 : What should a PAC compliance program look like?19-9
  • : Corporate Communications19-9
  • : Definitions19-9
  • Q 19.6 : What is express advocacy?19-9
  • Q 19.7 : What is issue advocacy?19-10
  • Q 19.8 : What is an electioneering communication?19-10
  • Q 19.9 : What is an independent expenditure?19-10
  • Q 19.10 : What is coordination?19-10
    • : Requirements and Restrictions19-11
    • Q 19.11 : What may a corporation communicate about a federal candidate to its employees?19-11
      • Q 19.11.1 : What may a corporation communicate about a federal candidate outside its restricted class?19-11
    • Q 19.11.2 : How is express advocacy regulated?19-12
    • Q 19.11.3 : Is issue advocacy regulated?19-13
    • Q 19.11.4 : How are electioneering communications regulated?19-13
    • Q 19.11.5 : Is coordination permitted?19-13
    • Q 19.11.6 : What disclosure requirements apply to corporate communications?19-14
    • : Super PACs19-16
    • Q 19.12 : What is a Super PAC?19-16
      • Q 19.12.1 : Who can make contributions to a Super PAC?19-16
    • Q 19.12.2 : Who is prohibited from making contributions to a Super PAC?19-16
    • Q 19.12.3 : What kinds of limitations and restrictions are placed on a Super PAC’s activities?19-17
  • Q 19.13 : How are Super PACs regulated?19-17
    • Q 19.13.1 : Are Super PACs required to disclose their donors?19-17
    • Q 19.13.2 : What steps can a corporation take to vet contributions to third parties?19-18
    • : Permissible Employee Political Activities19-19
    • Q 19.14 : How much can individual employees contribute to federal candidates?19-19
      • Q 19.14.1 : What other limitations and conditions exist for contributions from individuals?19-20
    • Q 19.15 : What is “bundling”?19-21
      • Q 19.15.1 : May corporate employees “bundle” contributions to federal candidates?19-21
    • Q 19.16 : May corporate employees engage in political activity related to a federal election while at work?19-21
    • : Other Permissible Corporate Activities19-22
    • Q 19.17.1 : May a corporation invite a federal candidate to its facility?19-22
    • Q 19.17.2 : May a corporation allow a federal candidate to fly on its private aircraft?19-23
  • : Lobbying Activities19-24
  • : Lobbying Disclosure Act of 199519-24
  • Q 19.18 : What is the Lobbying Disclosure Act of 1995?19-24
    • Q 19.18.1 : Who must register under the LDA?19-24
    • Q 19.18.2 : What are the penalties for violating the LDA?19-24
    • : Key LDA Definitions19-25
    • Q 19.18.3 : What is a “lobbying contact”?19-25
    • Q 19.18.4 : What is not a “lobbying contact”?19-25
    • Q 19.18.5 : What are “lobbying activities”?19-25
    • Q 19.18.6 : Who is a “lobbyist”?19-25
    • Q 19.18.7 : Who is a “covered official”?19-25
  • : Registration and Reporting Under the LDA19-26
  • Q 19.19 : What is the process for registering under the LDA?19-26
    • Q 19.19.1 : What are the contents of the LDA registration?19-27
    • Q 19.19.2 : What are the contents of the LDA quarterly reports?19-27
    • Q 19.19.3 : What are the contents of the LDA semi-annual report and certification?19-28
    • Q 19.19.4 : What is the filing schedule under the LDA?19-29
    • Q 19.19.5 : What if my corporation only lobbied the executive branch?19-30
    • Q 19.19.6 : Does an in-house lobbyist for a foreign corporation also need to register under the Foreign Agents Registration Act?19-30
  • Q 19.20 : Has anyone ever been prosecuted for an LDA violation?19-30
  • Q 19.21 : Will my LDA reports be audited by GAO?19-31
  • Q 19.22 : What should an LDA compliance program include?19-32
  • : Executive Branch Lobbying Restrictions19-33
  • Q 19.23 : Does the executive branch have any lobbying restrictions?19-33
  • : House and Senate Gift and Travel Rules19-34
  • Q 19.24 : Who is subject to the House and Senate gift and travel rules?19-34
    • Q 19.24.1 : Do other government entities have their own rules?19-34
    • Q 19.24.2 : Are House and Senate rules the same?19-34
    • Q 19.24.3 : How can a corporation obtain information about House and Senate rules?19-35
  • Q 19.25 : What House and Senate rules should a corporation be aware of?19-35
  • : Gift Rule19-35
  • Q 19.26 : What is the gift rule?19-35
    • Q 19.26.1 : What is a “gift”?19-35
    • Q 19.26.2 : What gifts are acceptable?19-36
    • Q 19.26.3 : What are some relevant exceptions to the gift rule?19-36
    • Q 19.26.4 : May a lobbyist provide a gift?19-36
    • Q 19.26.5 : What is the “personal friendship” exception?19-36
    • Q 19.26.6 : What is the “widely attended event” exception to the gift rule?19-37
    • Q 19.26.7 : What is the “charitable event” exception?19-38
    • Q 19.26.8 : What is the “commemorative item” exception to the gift rule?19-38
    • Q 19.26.9 : What is the “food or drink of a nominal value” exception to the gift rule?19-38
  • : Travel Rules19-39
  • Q 19.27 : What are the rules for travel?19-39
    • Q 19.27.1 : What is “officially connected” travel?19-39
    • Q 19.27.2 : What are “necessary expenses”?19-39
    • Q 19.27.3 : Who may pay for officially connected travel?19-39
    • Q 19.27.4 : What are the rules for “One-Day Event Trips”?19-40
  • : Private Aircraft19-41
  • Q 19.28 : What are the House and Senate rules for travel on private aircraft?19-41
  • : State and Local Governments19-41
  • Q 19.29 : What do corporations need to know about state and local laws and regulations?19-41
  • : Pay-to-Play Laws19-42
  • Q 19.30 : What are pay-to-play laws?19-42
    • Q 19.30.1 : Does the federal government have pay-to-play laws?19-42
    • Q 19.30.2 : Which states have pay-to-play laws?19-43
    • Q 19.30.3 : Which localities have pay-to-play laws?19-43
    • Q 19.30.4 : Do any other entities have pay-to-play laws?19-44
  • Q 19.31 : How does pay-to-play disclosure work?19-44
  • Q 19.32 : What should a pay-to-play compliance program include?19-44
Chapter 20: Environmental Law
  • : Federal Statutes and Regulations20-5
  • Q 20.1 : How are environmental issues regulated in the United States?20-5
  • Q 20.2 : What are the major federal environmental laws with general application to business operations that we need to be aware of and comply with?20-5
  • : Table 20-1 Federal Environmental Laws20-5
  • : Resource Conservation and Recovery Act20-6
  • Q 20.3 : What is the Resource Conservation and Recovery Act?20-6
    • Q 20.3.1 : What is “hazardous waste”?20-7
    • Q 20.3.2 : How does a generator properly manage and dispose of hazardous waste?20-7
    • Q 20.3.3 : What are the reporting requirements for hazardous waste generators?20-7
    • : Storage and Accumulation of Hazardous Waste20-8
    • Q 20.3.4 : What are the allowances for hazardous waste storage?20-8
    • Q 20.3.5 : How are underground storage tanks (USTs) for hazardous waste regulated?20-8
    • : Release of Hazardous Waste20-9
    • Q 20.3.6 : What am I required to do if I release hazardous waste?20-9
    • Q 20.3.7 : Is used oil subject to RCRA regulation?20-10
    • Q 20.3.8 : Is lead-based paint subject to RCRA regulation?20-10
    • : Compliance and Enforcement20-11
    • Q 20.3.9 : What are the penalties for RCRA violations?20-11
  • : CERCLA/Superfund20-11
  • Q 20.4 : What does CERCLA provide?20-11
    • : Release Reporting20-12
    • Q 20.4.1 : What are CERCLA’s hazardous substance release reporting requirements?20-12
    • : Property Cleanup Liability20-12
    • Q 20.4.2 : How does CERCLA govern cleanup of property containing hazardous substances?20-12
  • Q : 3Who is subject to CERCLA liability for release of a hazardous substance?20-13
    • Q 20.4.4 : Is anyone exempted from liability?20-13
  • : Recycling and SREA20-13
  • Q 20.5 : What is the Superfund Recycling Equity Act?20-13
    • Q 20.5.1 : What is “recyclable material”?20-13
    • Q 20.5.2 : What does the SREA consider “recycling”?20-14
    • : Enforcement20-14
    • : Defenses20-15
    • Q 20.5.3 : What are some defenses to CERCLA liability?20-15
  • : Hazardous Chemical Emergencies and EPCRA20-16
  • Q 20.6 : What is the EPCRA?20-16