The Paris Bar School (EFB), led by its director, Gilles Accomando, has launched a one-of-a-kind professional training course on internal investigations. Stéphane de Navacelle, Julie Zorrilla and Roxane Castro, partners at Navacelle, are in charge of coordinating this program and along with dedicated professionals, participate in each of the ten training sessions scheduled from September 2023 to June 2024. These practitioners have been selected for their deep knowledge and experience on internal investigations in a variety of fields.

Although various practical guides provide guidelines or recommendations, there is currently no standard binding framework for internal investigations and the status of investigating lawyer, while this practice developed tremendously in France in recent years in all sectors.

Experienced professional from various fields (criminal law, compliance, labor law, data protection law, regulatory, IT, etc.) will discuss ethical issues and legal questions with a practical approach and focus on developing specific professional skills. The sessions will follow the course of an internal investigation, from the first contacts and the appropriate client identification, to the drafting of an internal investigation plan, the preparation of the various investigation steps, including data collection and processing, the preparation and conduct of interviews, the internal investigation reports and the possible consequences thereof. This training session will start with a first session focusing on the legal framework of internal investigation and on the various practices that exist across the borders.

During the various sessions, made of lectures, hands-on exercises and professional feedback, participants will have the opportunity to interact with general counsels, audit directors, ethics and compliance managers, forensic experts, IT engineers, as well as magistrates, members of regulatory authorities as well as other members of the legal community.

Navacelle would like to thank the EFB for their trust and support, and the speakers for responding so enthusiastically to its invitation, as well as all the participants for their commitment to this training course!

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PRACTICING INTERNAL INVESTIGATIONS

Training Coordinators

Stéphane de Navacelle

Member of the Paris and New York Bars

Julie Zorilla

Member of the Paris Bar

Roxane Castro

Member of the Paris and New York Bars

A theme, a training curriculum, a new profession: the investigating lawyer

1 qualifying training – 3 parts – 10 sessions

Well-known in some jurisdictions, internal investigations have progressively taken root in France in a wide range of fields (corruption, harassment, fraud). In doing so, it has become a central tool for anticipating and resolving litigation.

Described as a “new profession” (for lawyers), the investigating lawyer stands out for his/her technical skills and for respecting the ethical principles which frame any lawyer’s action. It is precisely insofar as it guarantees a virtuous framework for action that the commitment of lawyers to internal investigations appears beneficial.

Although various practical guides offer guidelines or recommendations, there is currently no normative framework for internal investigations. It is therefore a subject in constant evolution, involving issues as diverse/essential as the rights of defense, professional secrecy and criteria for assessing internal investigations.

In this context, it seemed necessary to provide lawyers with in-depth training dedicated exclusively to internal investigations. As this is above all a rigorous method, this training was designed with a concrete approach and focused on the development of specific professional skills.

This course is about best practice in internal investigations, providing tools for planning, carrying out and managing internal investigations.

PART 1: FRAMEWORK OF THE INTERNAL INVESTIGATION

Session 1 – General presentation on internal investigations and comparison with practices

(Thursday 21 September 2023, at the EFB, 9am-1pm)

 Speakers: foreign lawyers

1^st part: Presentation of the program (EFB)        

1. Program/objectives
2. Assessment
3. Teaching approach

2^nd part: Discussions and practical exercise

1. Presentation of speakers
2. Expectations of participants (background and expectations of the training course)
3. Brainstorming

3^rd part: Context and legal framework of the internal investigation

1. Genesis and latest updates
2. Internal investigation abroad
3. Presentation of the legal and regulatory framework
4. Presentation of recommendations / guidelines for internal investigations

Learning objectives:

• Understanding the legal framework for internal investigations
• Gain an overview of practices in other countries
• Understanding the purpose of an internal investigation

PART 2: FRAMEWORK OF THE INTERNAL INVESTIGATION

Session 2 – Defining the scope of the internal investigation (1/2): focusing on the relationship between the investigating lawyer and the client

(Thursday 19 October 2023, at the EFB, 9am-1pm)

 Speakers:

• A lawyer
• A Chief Legal Officer
• An ethics and compliance officer

1^st part: Internal investigation framework          

1. Application of attorney-client privilege to internal investigation
2. The resources of the investigating lawyer

• Case studies

2^nd part: The investigating lawyer’s position towards the client and third parties

1. The involvement of the person commissioning the internal investigation
2. The relationship between the investigating lawyer and the lawyer assisting a person during the investigation  
3. The internal investigation conducted into a third company (hypothesis of an investigation within a group of companies)

Learning objectives:

• Mastering the scope of attorney-client privilege in internal investigations
• Understanding the role of the in-house investigating lawyer
• Keys to assisting individual clients in the course of an internal investigation

Session 3 – Defining the scope of the internal investigation (2/2) : internal investigation sources and the investigation plan

(Thursday 23 November 2023, at the EFB, 9am-1pm)

Speakers:

• A lawyer
• A legal director
• An ethics and compliance officer

1. Receiving alerts
2. Processing and exploiting alerts
3. Decision-making process for conducting an internal investigation
4. The internal investigation budget
5. Drawing up the investigation plan
6. Case studies: 

• Case study: Assessing and dealing with alerts
• Case study: Should you advise your client to conduct an internal investigation in a given situation?
• Case study: Drawing up an investigation plan

Learning objectives:

• Know how to advise on the handling of alerts within companies
• Know how to advise on the need / benefit of conducting an internal investigation
• Be able to draw up an internal investigation plan

PART 3: INTERNAL INVESTIGATION METHODOLOGY

Session 4 – STEP 1 of the internal investigation: Data collection (1/2) – main principles

(Thursday 25 January 2024, at the EFB, 9am-1pm)

 Speakers:

• A lawyer
• A forensic analyst
• An IT engineer
• A GDPR officer / CNIL representative

1. The different type of media to be collected (messages, phones, documents)
2. Rights to be respected when collecting information
3. Right of access
4. Confidentiality of private correspondence and professional secrecy
5. Personal data

Learning objectives:

• Understanding the challenges of data collection
• Understanding the legal framework for data collection

PART 4: INTERNAL INVESTIGATION METHODOLOGY

Session 5 – STEP 1 of the internal investigation: Data collection (2/2) – putting it into practice

(Thursday 29 February 2024, at the EFB, 9am-1pm)

 Speakers:

• A forensic expert
• An IT engineer

Workshop

Learning objectives:

• Understanding the data processing environment
• Understanding how data processing companies operate

PART 5: INTERNAL INVESTIGATION METHODOLOGY

Session 6 – STEP 2 of the internal investigation: Interviews

(Thursday 21 March 2024, at the EFB, 9am-1pm)

 Speakers:

• A lawyer
• An investigating judge
• A police investigator

1^st part: Key elements of the interviews

1. Wording questions and interviews techniques
2. Identifying the people to interview (inside/outside the company)
3. Responsibilities and rights of the interviewee
4. Recording issues
5. Reports
6. Possible challenges / pitfalls to avoid

2^nd part: Putting it into practice

1. Role play: conducting interviews
2. Feedback and discussion
3. Conclusions

Learning objectives:

• Preparation of interviews for an internal investigation
• Conducting interviews for an internal investigation
• Preparing and supporting an interviewee

PART 6: INTERNAL INVESTIGATION METHODOLOGY

Session 7 – STEP 3 of the internal investigation: the investigation report

(Thursday 25 April 2024, remote session, 9am-1pm)

 Speakers:

• A lawyer
• A Chief Legal Officer
• A Director of Audit

1^st part: Key elements of the investigation report

1. The authors of the internal investigation report

• • MCQ

2. The format/drafting/contents of the investigation report

• • MCQ

3. Recipients of the investigation report /pitfalls to avoid

2^nd part: Practical exercises

• • MCQs

 Learning objectives:

• Drafting an investigation report
• Understanding the purpose of the internal investigation report
• Identifying and anticipating who will receive the internal investigation report

PART 7: INTERNAL INVESTIGATION FOLLOW UP

Session 8 – Internal investigation and disciplinary sanctions

(Thursday 16 May 2024, remote session, 9am-1pm)

 Speakers:

• A lawyer
• A Chief Legal Officer
• A Human Resources Director

1. Employees rights
2. The internal investigation report as a basis for disciplinary decisions
3. The internal investigation in the context of labor court proceedings

• Sharing experiences / Discussion
• Online group MCQs

Learning objectives:

• Anticipating the consequences of the internal investigation in terms of disciplinary sanctions
• Understanding employees’ rights during an internal investigation

PART 8: INTERNAL INVESTIGATION FOLLOW UP

Session 9 – Internal investigation and criminal investigations

(Thursday 13 June 2024, at the EFB, 9am-1pm)

 Speakers:

• A lawyer
• A Chief Legal Officer
• A member of the National Financial Prosecutor (PNF)

1. Interviews alongside criminal investigation
2. Preparation of the internal investigation report as part of the criminal investigation
3. PNF guidelines
4. Filing a criminal complaint relying on the results of an internal investigation

• Case studies

Learning objectives:

• Understanding the issues involved in conducting an internal investigation alongside a criminal investigation
• Managing an internal investigation alongside a criminal investigation

PART 9: INTERNAL INVESTIGATION FOLLOW UP

Session 10 – Internal investigation in regulated sectors

(Thursday 27 juin 2024, at the EFB, 9am-1pm)

 Speakers:

• A lawyer
• A member of the Financial Market Authority (AMF)
• A member of the Banking and Insurance Regulator (ACPR)
• A member of the French anti-corruption agency (AFA)

1. Specific features of regulated sectors
2. The contribution of internal investigations to relations with regulators / cooperation
3. Regulatory investigations and internal investigations
4. Open discussion

•  Case studies

Learning objectives:

• Understanding the particularities of internal investigations in different regulated sectors
• Managing and conducting an internal investigation in conjunction with a regulatory investigation