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Record-keeping: It's Time to Double-Check Your Procedures
In an era where employment laws continue to evolve, an important, but often overlooked, aspect of legal compliance is an employer's record-keeping procedures. It is not unusual for an employer that is being investigated by a governmental agency in charge of enforcing an employment statute to run afoul of the record-keeping requirements. Sometimes a record-keeping violation can lead an investigator down the path of discovering significant compliance issues not directly connected to the original complaint; most notably, in failure-to-hire or promotion cases.
In addition to the federal statutes reviewed below, employers should check their state law requirements for record-retention provisions and the statute of limitations, including deadlines for tort-type claims, which are increasingly prevalent in today's employment litigation. It should also be noted that where an employer discovers there are federal or state laws specifying different record-retention periods for the same records, the employer should comply with the longer period under either law. As a practical matter, record-retention requirements are extended when records are involved in either administrative or court proceedings, in which case the employer should retain those records for the duration of the litigation until final resolution, including the running of the time limits applicable for appeal. The record-keeping retention provisions reviewed below relate to laws that are largely applicable to the most significant number of employers. Additional record-keeping duties may apply, depending upon specific state law or regulations, such as safety procedures or other specifications applying to particular industries or hiring certain types of workers.
The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.
Use of Deferred Prosecution Agreements In White Collar Investigations
This article discusses the practical and policy reasons for the use of DPAs and NPAs in white-collar criminal investigations, and considers the NDAA's new reporting provision and its relationship with other efforts to enhance transparency in DOJ decision-making.
Bankruptcy Sales: Finding a Diamond In the Rough
There is no efficient market for the sale of bankruptcy assets. Inefficient markets yield a transactional drag, potentially dampening the ability of debtors and trustees to maximize value for creditors. This article identifies ways in which investors may more easily discover bankruptcy asset sales.
A Lawyer's System for Active Reading
Active reading comprises many daily tasks lawyers engage in, including highlighting, annotating, note taking, comparing and searching texts. It demands more than flipping or turning pages.