Department of Justice Hitches Environmental Crimes to Worker Safety Violations
|
|
- Shannon Adams
- 5 years ago
- Views:
Transcription
1 Department of Justice Hitches Environmental Crimes to Worker Safety Violations Eileen D. Millett Eileen D. Millett is a Partner in the real estate/environmental group in the New York City and Westfield, New Jersey offices of Lindabury, McCormick, Estabrook & Cooper, P.C. She advises her clients on environmental issues in litigation and administrative proceedings, in federal and state enforcement proceedings, and in land use matters, mergers and acquisitions, real estate transactions and financings, environmental compliance, Superfund and hazardous waste cases, sustainability and climate change issues, remediation matters, and brownfields. Ms. Millett is a member of the American College of Environmental Lawyers (ACOEL), a professional association of preeminent lawyers who practice in the field of environmental law, recognized by their peers as the best practitioners in their field. THE FOURTH QUARTER OF 2015 saw two striking pronouncements on criminal prosecutions and civil actions against individuals. The first, referred to unofficially as the Yates Memo, came in the form of new guidance to the Department of Justice (DOJ) and all United States attorneys on individual accountability. The second came in the form of a memorandum of understanding (MOU) between the DOJ and the Department of Labor (DOL). The MOU was designed to bolster the environmental side of worker safety violations, by scrutinizing environmental records. Armed with two new tools, prosecutors are now equipped to examine violations involving worker safety using criminal environmental statutes. Thus, if the government accuses a company of worker safety violations, the company may expect a close analysis of their environmental record. The MOU itself is the next logical step of the DOJ s strengthening its enforcement cases involving worker safety violations under environmental statutes. With the new understanding between the DOJ and the DOL, civil division attorneys are to share information with criminal division attorneys. Moreover, the MOU requires that criminal division attorneys explain to a supervisor why they did not seek charges against an individual company wrongdoer. The Practical Real Estate Lawyer 11
2 12 The Practical Real Estate Lawyer July 2016 What circumstances brought about the new push? In many circles, dissatisfaction, criticism and even anger over the paucity of prosecutions brought against individuals in the aftermath of the subprime mortgage crisis fueled a desire for more accountability. The accountability came first in the form of the Yates Memo and then in the form of a memorandum of understanding the DOJ/DOL MOU following a growing emphasis on government concern over weak Occupational Safety and Health Administration (OSHA) enforcement capability. So both policies were born out of frustration with the status quo. Yates Memo: Individual Accountability for Corporate Wrongdoing The Yates Memo is designed to be a game changer. Deputy Attorney General, Sally Yates, announced the new Justice Department policy last fall. It requires that corporations disclose all relevant facts about potential misconduct by their employees, in order to receive credit for cooperating with an investigation. The government push is toward holding individual executives more accountable. Current practice has been to resolve high profile corporate criminal investigations without bringing charges against an individual. Important change began in April of this year, when Donald Blankenship, the former CEO of Massey Mining Company was sentenced to one year in prison and ordered to pay a fine of $250,000 for conspiring to violate mine safety standards at Upper Big Branch mine in West Virginia. Twenty-nine people were killed following an explosion. Blankenship was found guilty of conspiring to willfully violate mine safety and health standards, a misdemeanor. Although the jury did not convict him on three felony charges, his prosecution used multiple allegations to bring more substantial charges. Blankenship is believed to be the first CEO of a major U.S. company prosecuted for worker safety violations. The Yates memo directs prosecutors to make prosecution more meaningful by charging crimes that often occur concurrently false statement, obstruction of justice, witness tampering, conspiracy, environmental and endangerment crimes. The Yates Memo suggests that the reason for the small number of prosecutions against individuals could have something to do with the lack of enthusiasm among prosecutors for sharing information within the DOJ. Thus, the Yates Memo requires that civil division attorneys share information with criminal division attorneys, and it goes further to require an attorney to demonstrate why more significant criminal charges could not be lodged against an individual. Additionally, the Yates Memo suggests that companies have been successful in avoiding criminal prosecution, avoiding identifying evidence of misconduct by individual employees, and have, irrespectively, obtained cooperation credit. Yates suggests that some accountability for the failure to pursue individual wrongdoing lies with attorneys who have not been sufficiently probing or sufficiently aggressive in internal investigations. It is for this reason that Yates says that a corporation cannot receive cooperation credit without disclosing all relevant facts about individual misconduct. Yates contends that a company will not be eligible for corporation credit if it has not fully investigated and identified the responsible parties, and provided all non-privileged information. Further, it suggests that the government is asking corporate counsel to work in tandem with prosecutors. Regardless of whether this is the government overreaching, or simply leveling the playing field, it seems certain that there will be more scrutiny of cooperation credit in the form of deferred prosecution agreements. Deferred prosecution agreements have been used to resolve significant corporate investigations, and have increasingly been used to afford corporations, but not individuals, a chance for rehabilitation without the stigma of a criminal conviction. In a 2015 case in the District of Columbia, United States v. Saena Tech Corporation, No. CR , 2015
3 Environmental Crimes and Worker Safety Violations 13 WL (D.D.C. Oct. 21, 2015), the judge wrote that he was disappointed that notwithstanding Congress s clear intent, deferred prosecution agreements are being used to allow corporations a chance for rehabilitation without the destructive effects of a conviction. Yates was designed to strengthen the government s pursuit of individual corporate wrongdoing. Going forward, if the government finds that a company has violated laws that impact worker safety, the government now has more choices available in pursuing a remedy. DOL/DOJ MOU on Criminal Prosecutions of Worker Safety Laws The Occupational Safety and Health Administration (OSHA), the agency that has traditionally prosecuted worker safety violations, has received a new tool in its arsenal, a memorandum of understanding that enhances the penalties OSHA would otherwise use to prosecute violations of worker safety laws. The enhancement comes in the guise of using criminal environmental statutes for worker safety violations, statutes that have stiffer penalties and larger fines than OSHA might impose. On December 17, 2015, the DOL and DOJ entered into the MOU, in effect, a partnership with the Environmental Crimes Section (ECS) of the DOJ and the DOL, to criminalize violations of worker safety incidents. The Memorandum of Understanding enables the DOJ s Environmental Crimes Section to prosecute worker safety cases, and enables the DOL to share information, to make criminal referrals and to jointly investigate cases. In discussing the MOU, Ms. Sally Quillian Yates, DOJ s Deputy Attorney General, remarked that the announcement demonstrates a renewed commitment by both DOJ and DOL to utilize criminal prosecutions as an enforcement tool to protect the health and safety of workers. Federal prosecutors are encouraged to work with the ECS to pursue violations under the Occupational Safety and Health Act (OSH Act), the Mine Safety and Health Act, and the Migrant and Seasonal Agricultural Worker Protection Act as environmental crimes. DOJ has previously sought to rely upon environmental statutes to enforce workplace violations but has never taken a step this radical. DOJ took this action for two reasons. First, environmental offenses often occur in conjunction with worker safety violations. Second, criminal violations of environmental statutes can be charged as felonies, while OSHA violations are mere misdemeanors. On October 7, 2015, Dr. David Michaels, Assistant Secretary of Labor for OSHA, told a House subcommittee that OSHA penalties must be increased to provide a real disincentive for employers accepting injuries and worker deaths as a cost of doing business. He went further in describing the rationale for why the enhancement with the DOJ was necessary, saying, [the] most serious obstacle to effective OSHA enforcement of the law is the very low level of civil penalties allowed under our law, as well as weak criminal sanctions. OSHA has long been criticized for seeking meager financial penalties, and for failing to bring criminal charges against employers in the wake of serious incidents, that frequently involve casualties. This is particularly true in cases where both the U. S. Environmental Protection Agency (EPA) and OSHA inspect the same incidents and OSHA demands relatively small penalties and elects not to pursue criminal prosecution, while EPA demands considerable financial penalties and brings criminal charges. A prime example is the tragic incident at BP s Texas City refinery in March 2005, in which 15 employees were killed and 180 employees were seriously injured. OSHA and EPA investigated the incident. OSHA sought less than half the financial penalty demanded by EPA, and EPA brought criminal charges.
4 14 The Practical Real Estate Lawyer July 2016 Using Environmental Statutes To Enhance Penalties: New DOJ and DOL Partnership Using Title 18 of the U.S. Code (the federal penal code), prosecutors can demand larger fines and prison sentences for worker safety violations using environmental statutes, and could effectively increase deterrence. The DOJ announcement pointed out that the Environment and Natural Resources Division (ENRD) of DOJ had already been engaged in strengthening its efforts to pursue civil cases that involve worker safety under environmental statutes. This development is the next logical step. Among the internal changes to DOJ s investigation practices are two requirements: Civil division attorneys must share information with criminal division attorneys; and Criminal division attorneys must explain to a supervisor why they did not seek charges against an individual company wrongdoer. For its part, the DOL is committing to robust information sharing with the ENRD, including making its investigative files available to DOJ for case development. Both DOJ and DOL agreed to develop and conduct periodic training programs to ensure the validity of referrals and to increase the frequency of criminal prosecutions. By working in concert, the goal of both agencies is to increase the effectiveness of criminal prosecutions of worker safety violations. Today s OSHA can be described as anything but anemic. OSHA during the Obama administration has dramatically expanded the industries and hazards that it targets for enforcement. As a result of the new federal budget and the MOU, OSHA is on the verge of dramatically increasing fines associated with alleged OSHA violations, and is poised to prosecute workplace violations as felonies. What policies and procedures should a company review? Chief among the policies and procedures that require review are compliance plans. Taking steps to minimize both corporate and individual liability is the prudent course. Naturally, examining directors and officers liability coverage should be a priority to ensure that a company is covered for the increased costs that would be associated with concurrent investigations. Companies should prepare themselves to face more drawn out investigations and settlement negotiations. The government will look to companies for continuing and ongoing obligations to disclose relevant information. Failing to make such disclosures could subject a company to additional penalties of the withdrawal of the settlement agreement. In conducting an internal investigation, a company should take care to inform company employees that the attorney represents only the company and not the individual employee. This notice is also known as a corporate Miranda or Upjohn warning. Given Yates emphasis on individual corporate accountability, a company must take precautions to ensure that employees acknowledge and that the company memorializes the employees understanding of the scope of attorney-client privilege and that the company will control government disclosures of information obtained during the investigation. What Employers Should Do Now Reevaluate safety and health programs and aggressively correct any issues and inadequacies that are identified; Develop and strengthen employee training programs aimed at every hazard associated with employees jobs in order to significantly decrease the threat of prosecution; Consider conferring with counsel to conduct an attorney-client privileged safety and health audit of your workplaces. Otherwise, OSHA could request your audit report during an in-
5 Environmental Crimes and Worker Safety Violations 15 spection and use it as a map to potential hazards at the facility. Taking these proactive steps could not only improve the health and safety of your workplace, but also prevent your business from facing millions of dollars in OSHA fines under environmental statutes. Being proactive could also help you avoid a finding of criminal responsibility with jail time for individual executives and employees.
6 16 The Practical Real Estate Lawyer July 2016
7 Environmental Crimes and Worker Safety Violations 17
8 18 The Practical Real Estate Lawyer July 2016
9 Environmental Crimes and Worker Safety Violations 19
10 20 The Practical Real Estate Lawyer July 2016
11 Environmental Crimes and Worker Safety Violations 21
12 22 The Practical Real Estate Lawyer July 2016
13 Environmental Crimes and Worker Safety Violations 23
14 24 The Practical Real Estate Lawyer July 2016
15 Environmental Crimes and Worker Safety Violations 25
16 26 The Practical Real Estate Lawyer July 2016
CHALLENGES POSED BY THE YATES MEMO AND DOJ S NEW THRESHOLD FOR CORPORATE COOPERATION November 15, 2016
2015 Morgan, Lewis & Bockius LLP CHALLENGES POSED BY THE YATES MEMO AND DOJ S NEW THRESHOLD FOR CORPORATE COOPERATION November 15, 2016 Matthew Miner, Partner, Washington D.C. White Collar Litigation and
More informationRECENT DEVELOPMENTS IN OSHA CRIMINAL ENFORCEMENT PRACTICES
RECENT DEVELOPMENTS IN OSHA CRIMINAL ENFORCEMENT PRACTICES June 22, 2016 1001 G Street NW, Ste. 500W, Washington, D.C. (202) 434-4182 Presented by: David Sarvadi Partner sarvadi@khlaw.com Manesh Rath Partner
More informationWHITE PAPER. New DOJ Investigative Measures Target Individuals for Corporate Misconduct
WHITE PAPER New DOJ Investigative Measures Target Individuals for Corporate Misconduct WHITE PAPER New DOJ Investigative Measures Target Employees and Executives for Corporate Misconduct: The Yates Memo
More informationR E P R I N T JAN-MAR Inside this issue: The evolving role of the chief risk officer Managing your company s regulatory exposure
R E P R I N T RC & risk compliance & NEW DOJ POLICIES MAY HELP COMPANIES BETTER NAVIGATE FALSE CLAIMS ACT INVESTIGATIONS REPRINTED FROM: RISK & COMPLIANCE MAGAZINE OCT-DEC 2018 ISSUE RC & risk & compliance
More informationFAST BREAK: GOVERNMENT ENFORCEMENT OF INDIVIDUAL ACCOUNTABILITY. Katie McDermott Jacob Harper February 28, Morgan, Lewis & Bockius LLP
FAST BREAK: 2015 Morgan, Lewis & Bockius LLP GOVERNMENT ENFORCEMENT OF INDIVIDUAL ACCOUNTABILITY Katie McDermott Jacob Harper February 28, 2017 2015 Morgan, Lewis & Bockius LLP Discussion Agenda Individual
More informationNewsletter Winter 2014
Newsletter Winter 2014 WHAT GENERAL COUNSEL AND OTHER CORPORATE LAWYERS NEED TO KNOW ABOUT OSHA AND MSHA COMPLIANCE IN 2014 By Chris Bacon, Greg Dillard and Alan Colley In many companies, health and safety
More informationJustice Department s Focus on Individual Responsibility Requires Broadening of Excess Side-A Difference-in-Conditions D&O Insurance Policies
Justice Department s Focus on Individual Responsibility Requires Broadening of Excess Side-A Difference-in-Conditions D&O Insurance Policies By Tim Burns The results of the recent national elections may
More informationImportance of Disclosures and Cooperation During and After Internal Investigations
Companion Material to OOPS Investigations Seminar - Part II Importance of Disclosures and Cooperation During and After Internal Investigations By: David Robbins, David Hammond and Kelly Currie The rules,
More information(City) (State) (Zip) 4. Web Site Address(es): 5. Phone Number: 6. Number of employees including principals: Full-time Part-time Seasonal Total
APPLICATION FOR SPECIFIED PROFESSIONS PROFESSIONAL LIABILITY INSURANCE AND SERVICE AND TECHNICAL PROFESSIONAL LIABILITY INSURANCE (Claims Made Basis or Claims Made and Reported Basis) If space is insufficient
More informationDOJ s New Policy Incentivizes Voluntary Self- Disclosure of Criminal Export Controls and Sanctions Violations.
October 2016 DOJ s New Policy Incentivizes Voluntary Self- Disclosure of Criminal Export Controls and Sanctions Violations. The Department of Justice ( DOJ ) recently issued new guidance (the Guidance
More information(City) (State) (Zip) 4. Web Site Address(es): 5. Phone Number: 6. Number of employees including principals: Full-time Part-time Seasonal Total
Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company APPLICATION FOR SPECIFIED
More informationWhite Collar Crime / Criminal Defense
APRIL 2005 White Collar Crime / Criminal Defense Has United States v. Booker Closed the Book on Corporate Compliance Programs and Voluntary Cooperation? With respect to corporations, perhaps the single
More informationSUPPLEMENT FOR EMPLOYMENT RELATED SERVICES
SUPPLEMENT FOR EMPLOYMENT RELATED SERVICES All questions MUST be completed in full. If space is insufficient to answer any question fully, attach a separate sheet. 1. Applicant s Name: Location Address:
More information6. Number of employees including principals: Full-time Part-time Seasonal Total
Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company APPLICATION FOR SPECIFIED
More informationJake Jennings Director of Risk Control
OSHA Inspections: Don t Let OSHA Be A Pest Jake Jennings Director of Risk Control The Preventable Accident Can accidents be prevented? Proactive vs. reactive behavior Who s safety program is it anyway?
More informationI. YATES MEMORANDUM STRICTER ENFORCEMENT POLICY
APRIL 20, 2016 CONTACTS Dr. Alexander Rinne Partner +49-89-25559-3686 arinne@milbank.com Fiona A. Schaeffer Partner +1-212-530-5651 fschaeffer@milbank.com Antitrust Group Client Alert: Foreign Investors
More informationOSHA COMPLIANCE CREATING LEGAL PRIVILEGES FOR COMPANY INVESTIGATIONS AND AUDITS
131 South Dearborn Street Suite 2400 Chicago, Illinois 60603 Writer s direct phone (312) 460-5877 Writer s e-mail mlies@seyfarth.com (312) 460-5000 fax (312) 460-7000 www.seyfarth.com Writer s direct fax
More informationSEC Adopts Final Rules on the Dodd-Frank Whistleblower Program But Is This a Game Changer?
W. Scott Sorrels June 22, 2011 SEC Adopts Final Rules on the Dodd-Frank Whistleblower Program But Is This a Game Changer? Let s Make a Deal Rules provide for a bounty of 10% to 30% of the aggregate monetary
More informationPROPOSED INSURED (APPLICANT):
PROPOSED INSURED (APPLICANT): 1. Name of the Applicant s firm: Street Address: City, State, Zip Code: Website address(es): 2. A. Provide the date the Applicant s firm was established: B. Geographic area
More informationF. EFFECTIVE DATE AND
closure 1, with the concurrence of the IG, DoD, a f t e r r e q u e s t i n g c o m m e n t s f r o m a f f e c t e d D o D Components. 3. The Secretaries of the Military Departments shall establish procedures
More informationHONORABLE SERVICE. All Funds
HONORABLE SERVICE All Funds New Jersey law (N.J.S.A. 43: 1-3 et seq.) stipulates that the receipt of retirement benefits is expressly conditioned upon the rendering of honorable service by the member (i.e.
More information6. Number of employees including principals: Full-time Part-time Seasonal Total
Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company APPLICATION FOR SPECIFIED
More informationFormer Prosecutor Nat Edmonds Discusses the Implications of the Recent Changes to the U.S. Attorneys Manual (Part One of Two)
www.fcpareport.com Volume 5, Number 1 Former Prosecutor Nat Edmonds Discusses the Implications of the Recent Changes to the U.S. Attorneys Manual (Part One of Two) By Nicole Di Schino In November 2015,
More informationXL Eclipse 2.0 Renewal Application
XL Eclipse 2.0 Renewal Application Third Party Coverage Technology & Miscellaneous Professional Services Technology Products Media Communications Network Security Privacy Liability First Party Coverage
More informationDISTRICT OF COLUMBIA COURT OF APPEALS. No. 00-CO-929. Appeal from the Superior Court of the District of Columbia (M )
Notice: This opinion is subject to formal revision before publication in the Atlantic and Maryland Reporters. Users are requested to notify the Clerk of the Court of any formal errors so that corrections
More informationUnderstanding Your Safety Responsibilities
Understanding Your Safety Responsibilities Cameron Dean Partner McCullough Robertson Lawyers Background The enforcement of safety and health obligations in the Queensland mining industry by way of prosecutions
More informationPeter C. Anderson. Principal I Street, N.W., Suite 700, Washington, DC,
Peter C. Anderson Principal panderson@bdlaw.com +1.202.789.6014 1350 I Street, N.W., Suite 700, Washington, DC, 20005-3311 Pete uses his experience as a former federal prosecutor to defend corporations
More informationPersonal Liability. 24 th Annual WCAML Forum May Stephanie Yonekura Partner- Hogan Lovells US LLP
Personal Liability 24 th Annual WCAML Forum May 4 6 2016 Panelists Stephanie Yonekura Partner- Hogan Lovells US LLP David R. Callaway - Assistant United States Attorney, Chief, Criminal Division Jonathan
More informationSECUREXCESS APPLICATION FOR AN EXCESS POLICY
SECUREXCESS APPLICATION FOR AN EXCESS POLICY NOTICE: SUBJECT TO THE PROVISIONS OF THE UNDERLYING INSURANCE, THIS POLICY MAY ONLY APPLY TO CLAIMS FIRST MADE AGAINST THE INSUREDS DURING THE POLICY PERIOD
More informationTHE HARTFORD D&O PREMIER DEFENSE sm APPLICATION (FOR EMERGING MARKET)
, a stock insurance company, herein called the Insurer THE HARTFORD D&O PREMIER DEFENSE sm APPLICATION (FOR EMERGING MARKET) NOTICE: PLEASE READ CAREFULLY. THIS IS AN APPLICATION FOR A CLAIMS-MADE AND
More informationCLAIMS MADE PUBLIC OFFICIALS AND EMPLOYMENT PRACTICES LIABILITY INSURANCE APPLICATION
CLAIMS MADE PUBLIC OFFICIALS AND EMPLOYMENT PRACTICES LIABILITY INSURANCE APPLICATION THIS IS AN APPLICATION FOR A CLAIMS MADE POLICY WHICH APPLIES ONLY TO CLAIMS FIRST MADE DURING THE POLICY PERIOD OR
More informationNEW BUSINESS APPLICATION (For Private Companies with up to 250 Employees)
NEW BUSINESS APPLICATION (For Private Companies with up to 250 Employees) BY COMPLETING THIS NEW BUSINESS APPLICATION THE APPLICANT IS APPLYING FOR COVERAGE WITH FEDERAL INSURANCE COMPANY (THE COMPANY
More informationNEW CORPORATE SENTENCING GUIDELINES PROVIDE GUIDANCE REGARDING WHAT CONSTITUTES AN EFFECTIVE CORPORATE COMPLIANCE PROGRAM
CLIENT MEMORANDUM NEW CORPORATE SENTENCING GUIDELINES PROVIDE GUIDANCE REGARDING WHAT CONSTITUTES AN EFFECTIVE CORPORATE COMPLIANCE PROGRAM On November 1, 2010, amendments to the U.S. Sentencing Guidelines
More informationAMENDMENTS TO THE FEDERAL SENTENCING GUIDELINES IMPOSE NEW STANDARDS FOR COMPLIANCE AND ETHICS PROGRAMS
AMENDMENTS TO THE FEDERAL SENTENCING GUIDELINES IMPOSE NEW STANDARDS FOR COMPLIANCE AND ETHICS PROGRAMS DECEMBER 23, 2004 The Amendments to the United States Sentencing Guidelines (the Guidelines ) for
More informationCHARTIS. Name of Insurance Company to which Application is made (herein called the Insurer ) HEDGE FUND INSURANCE APPLICATION
CHARTIS Name of Insurance Company to which Application is made (herein called the Insurer ) HEDGE FUND INSURANCE APPLICATION NOTICE: THE POLICY PROVIDES THAT THE LIMIT OF LIABILITY AVAILABLE TO PAY JUDGMENTS
More informationMiscellaneous Professional Liability APPLICATION Lawyers/Attorneys
Miscellaneous Professional Liability APPLICATION Lawyers/Attorneys THIS APPLICATION IS FOR A COVERAGE PART WRITTEN ON A CLAIMS-MADE BASIS. "CLAIMS" MUST BE FIRST MADE AGAINST ANY INSURED DURING THE "POLICY
More informationIntellectual Property Supplement
Intellectual Property Supplement Applicant: 1. List the top five (5) intellectual property clients and the client s industry, services provided by the law firm, and the percentage of the law firm billings
More informationAXIS PRO MPL SOLUTIONS APPLICATION
AXIS PRO MPL SOLUTIONS APPLICATION WHAT THE APPLICANT SHOULD KNOW ABOUT THIS APPLICATION: CLAIMS MADE POLICY This application is for a CLAIMS MADE POLICY. Claims made coverage applies only to those claims
More informationA New Tool For Extraterritorial Sanctions Enforcement
Portfolio Media. Inc. 860 Broadway, 6th Floor New York, NY 10003 www.law360.com Phone: +1 646 783 7100 Fax: +1 646 783 7161 customerservice@law360.com A New Tool For Extraterritorial Sanctions Enforcement
More informationAGENCY POLICY. IDENTIFICATION NUMBER: CCD001 DATE APPROVED: Nov 1, 2017 POLICY NAME: False Claims & Whistleblower SUPERSEDES: May 18, 2009
IDENTIFICATION NUMBER: CCD001 DATE APPROVED: Nov 1, 2017 POLICY NAME: False Claims & Whistleblower SUPERSEDES: May 18, 2009 Provisions OWNER S DEPARTMENT: Compliance APPLICABILITY: All Agency Programs
More informationCity of. Carmelita Flagpole, circa 1927
Title pages 2019 print.qnd:layout 1 8/7/18 2:13 PM Page 8 City of Carmelita Flagpole, circa 1927 City AttoRNEy/City PRoSECUtoR CITY ATTORNEY/CITY PROSECUTOR City Attorney / City Prosecutor (1.00) Legal
More informationIn an environment of heightened federal enforcement
THE GOVERNANCE COUNSELOR CAPITAL MARKETS & CORPORATE GOVERNANCE Ocean Photography/Veer Board-Driven Internal Investigations In her regular column on corporate governance issues, Holly Gregory discusses
More informationHow to Conduct an Internal Investigation
How to Conduct an Internal Investigation The Web Conference Series for Corporate Counsel September 12, 2007 Addressing Trends Sharing Solutions Today s summary in November InsideCounsel Advance copy for
More informationI. APPLICANT INFORMATION
INVESTMENT BANKING ENGAGEMENT ERRORS AND OMISSIONS INSURANCE APPLICATION This is an Application for claims made and reported Investment Banking Engagement Errors and Omissions Insurance. Please submit
More informationNational Union Fire Insurance Company of Pittsburgh, Pa. LAWYERS PROFESSIONAL LIABILITY RENEWAL APPLICATION
National Union Fire Insurance Company of Pittsburgh, Pa. (herein called the Insurer ) LAWYERS PROFESSIONAL LIABILITY RENEWAL APPLICATION NOTICE THIS IS AN APPLICATION FOR INSURANCE WRITTEN ON A CLAIMS
More informationTrade Secret Theft: Protecting the Crown Jewels March 25, 2015
Trade Secret Theft: Protecting the Crown Jewels March 25, 2015 Presented by: Dan Rubinstein Today s elunch Presenter Dan Rubinstein Litigation Chicago, Los Angeles drubinstein@winston.com 2 Trade Secret
More informationEmployment Practices Liability Insurance Application
ANV Global Services Employment Practices Liability Insurance Application This application is NOT an insurance policy and the insurance company affording coverage reserves the right to reject any application
More informationPRIVATE COMPANY SUPPLEMENTAL CLAIM FORM
PRIVATE COMPANY SUPPLEMENTAL CLAIM FORM Name of Insurance Company to which application is made INSTRUCTIONS: This form is to be completed by an Applicant who has been involved in any claim or suit during
More informationJimmy Gurule Delivered the Opening Address at the Asian Banker Conference in Singapore
Notre Dame Law School NDLScholarship NDLS in the News Faculty Scholarship 10-29-2015 Jimmy Gurule Delivered the Opening Address at the Asian Banker Conference in Singapore Jimmy Gurule Notre Dame Law School,
More informationCAMBRIDGE PROPERTY & CASUALTY SPECIAL REPORT
CAMBRIDGE PROPERTY & CASUALTY SPECIAL REPORT DON T PANIC - HOW TO HANDLE AN INVESTIGATION UNDER MIOSHA This Special Report was written by James F. Hermon, Attorney at Law. Mr. Herman is an attorney with
More informationCITY OF PASADENA CITY ATTORNEY
Page 1 of 7 MISSION STATEMENT The mission of the City Attorney/City Prosecutor s Department is to represent the City of Pasadena with the utmost professionalism and to provide the highest quality legal
More informationThe Reinvigorated Federal Agencies Under the Obama Administration
The Reinvigorated Federal Agencies Under the Obama Administration How the EEOC, DOL, OSHA, and Other Federal Agencies Are Revamping Their Investigative Process Bush-Era Employment Agencies Willing to work
More informationEmployment Practices Liability Insurance Application
American Safety Insurance Services, Inc. ASIG Insurance Services (in California) 100 Galleria Parkway SE, Suite 700, Atlanta, GA 30339 Tel (800) 388-3647 Fax (770) 955-8339 Employment Practices Liability
More informationDisappearing second mortgages and other similar "creative" financing devices
Disappearing second mortgages and other similar "creative" financing devices Several years ago, our legal seminar discussed what was then a fairly new practice which we then referred to as "disappearing
More information100 William Street New Business Application New York, NY 10038
BY COMPLETING THIS APPLICATION YOU ARE APPLYING FOR COVERAGE WITH HUDSON INSURANCE COMPANY (THE COMPANY ) NOTICE: THE LIABILITY COVERAGE PART SECTIONS OF PRIVATE DEFENDER PROVIDE CLAIMS MADE COVERAGE,
More informationDOJ OPINION LIMITING THE SCOPE OF CRIMINAL ENFORCEMENT UNDER HIPAA ISSUED JUNE 1, Houston (832) (800)
DOJ OPINION LIMITING THE SCOPE OF CRIMINAL ENFORCEMENT UNDER HIPAA ISSUED JUNE 1, 2005 By: Katherine M. Layman, Esquire, Brad M. Rostolsky, Esquire 1900 Market Street Philadelphia PA, 19103 215.665.2000
More informationIn The Court of Appeals Fifth District of Texas at Dallas. No CR. ANTHONY SHANE KILLEBREW, Appellant V. THE STATE OF TEXAS, Appellee
MODIFY and AFFIRM; and Opinion Filed March 16, 2015. S In The Court of Appeals Fifth District of Texas at Dallas No. 05-13-01511-CR ANTHONY SHANE KILLEBREW, Appellant V. THE STATE OF TEXAS, Appellee On
More informationU.S. Department of Agriculture Food and Nutrition Service Administrative Review Branch Alexandria, VA 22302
U.S. Department of Agriculture Food and Nutrition Service Administrative Review Branch Alexandria, VA 22302 Ocean Live Poultry Market Appellant, v. Case Number: C0191192 Retailer Operations Division, Respondent.
More informationCOMBINED APPLICATION FOR DIRECTORS & OFFICERS LIABILITY BANKERS PROFESSIONAL LIABILITY -- EMPLOYMENT PRACTICES LIABILITY -- FIDUCIARY LIABILITY
COMBINED APPLICATION FOR DIRECTORS & OFFICERS LIABILITY BANKERS PROFESSIONAL LIABILITY -- EMPLOYMENT PRACTICES LIABILITY -- FIDUCIARY LIABILITY NOTICE: THE POLICY WHICH YOU ARE APPLYING IS A CLAIMS-MADE
More informationVICTOR HOU CLEARY GOTTLIEB STEEN & HAMILTON LLP
VICTOR HOU CLEARY GOTTLIEB STEEN & HAMILTON LLP May 7, 2015 Corruption Investigations: A U.S. Perspective on Cooperation by Individuals and Corporations Victor L. Hou Partner Cleary Gottlieb Steen & Hamilton
More informationDOJ s Catch-22: Corporate Criminal Antitrust Targets Walk A Blurry Line with Culpable Employees
theantitrustsource w w w. a n t i t r u s t s o u r c e. c o m A u g u s t 2 0 1 6 1 DOJ s Catch-22: Corporate Criminal Antitrust Targets Walk A Blurry Line with Culpable Employees Craig P. Seebald and
More informationThis Webcast Will Begin Shortly
This Webcast Will Begin Shortly If you have any technical problems with the Webcast or the streaming audio, please contact us via email at: webcast@acc.com Thank You! SEC Enforcement Trends, the Dodd-Frank
More informationIssues In Internal Investigations for Company Counsel in the Post-Enron Era September 13, 2006
Issues In Internal Investigations for Company Counsel in the Post-Enron Era September 13, 2006 2005 Morrison & Foerster LLP All Rights Reserved Overview Risks and benefits of internal investigations When
More informationPower Source SM New Business Application (for private companies with up to 250 employees)
BY COMPLETING THIS APPLICATION YOU ARE APPLYING FOR COVERAGE WITH EXECUTIVE RISK INDEMNITY INC. (THE COMPANY ) NOTICE: THE LIABILITY COVERAGE SECTIONS OF POWER SOURCE SM PROVIDE CLAIMS MADE COVERAGE, WHICH
More informationOSHA: New Personnel, the General Duty Clause, and Revised Penalty Structures
Presented by: Eric E. Hobbs, Esq. Michael Best & Friedrich LLP eehobbs@michaelbest.com 414.225.4991 OSHA: New Personnel, the General Duty Clause, and Revised Penalty Structures "To those who have for too
More informationAXIS PRO MISCELLANEOUS PROFESSIONAL LIABILITY APPLICATION
AXIS PRO MISCELLANEOUS PROFESSIONAL LIABILITY APPLICATION WHAT THE APPLICANT SHOULD KNOW ABOUT THIS APPLICATION: CLAIMS MADE POLICY This application is for a CLAIMS MADE POLICY. Claims made coverage applies
More informationDOJ Issues New FCPA Corporate Enforcement Policy
November 30, 2017 DOJ Issues New FCPA Corporate Enforcement Policy Introduction On Wednesday, November 29, 2017, United States Deputy Attorney General Rod J. Rosenstein announced a new Justice Department
More informationDO S AND DON TS ALL IN-HOUSE COUNSEL SHOULD KNOW ABOUT GOVERNMENT INVESTIGATIONS
DO S AND DON TS ALL IN-HOUSE COUNSEL SHOULD KNOW ABOUT GOVERNMENT INVESTIGATIONS By Barrett Howell and Ryan Meyer I. Government Subpoenas - Introduction The receipt of a government subpoena can be an unsettling
More informationIs Voluntary Compliance Becoming Less Voluntary? A Whistleblower Case Study and Other Tax Compliance Topics
Is Voluntary Compliance Becoming Less Voluntary? A Whistleblower Case Study and Other Tax Compliance Topics Presented by Megan L. Brackney, Kostelanetz & Fink, LLP Brian W. Kittle, Mayer Brown LLP* John
More informationCHUBB PRO LAWYERS PROFESSIONAL LIABILITY RENEWAL APPLICATION
BY COMPLETING THIS APPLICATION YOU ARE APPLYING FOR COVERAGE WITH FEDERAL INSURANCE COMPANY (THE COMPANY ) NOTICE: THE POLICY PROVIDES CLAIMS MADE COVERAGE, WHICH APPLIES ONLY TO "CLAIMS" FIRST MADE DURING
More informationVIRTUE GUARD VIRTUE RISK PARTNERS
VIRTUE GUARD VIRTUE RISK PARTNERS www.virtuerisk.com RENEWAL APPLICATION FOR STORAGE TANK & ENVIRONMENTAL IMPAIRMENT LIABILITY INSURANCE This renewal application is for an insurance policy providing coverage
More informationPower Source SM New Business Application (for private companies with more than 250 employees)
BY COMPLETING THIS APPLICATION YOU ARE APPLYING FOR COVERAGE WITH EXECUTIVE RISK INDEMNITY INC. (THE COMPANY ) NOTICE: THE LIABILITY COVERAGE SECTIONS OF POWER SOURCE SM PROVIDE CLAIMS MADE COVERAGE, WHICH
More informationWhistleblower Claims on the Rise
Preventing Whistleblower Claims in the Automotive Industry Jeff Kopp 313-234-7140 jkopp@foley.com Felicia O Connor 313-234-7172 foconnor@foley.com Attorney Advertising Prior results do not guarantee a
More informationThe Dos and Don'ts of Conducting Internal Investigations
The Dos and Don'ts of Conducting Internal Investigations November 10, 2015 Booker T. Evans, Jr. Partner evansb@ballardspahr.com 602.798.5499 Denise M. Keyser Partner keyserd@ballardspahr.com 856.761.3442
More informationTen Questions About Internal Investigations
Ten Questions About Internal Investigations Robert S. Litt Arnold & Porter 202-942-6380 robert_litt@aporter.com 1. When should a company do an internal investigation? 2. What should the goals be? 3. Who
More informationFEDERAL DEFICIT REDUCTION ACT POLICY
A. Introduction. FEDERAL DEFICIT REDUCTION ACT POLICY Partnership for Children of Essex, Inc. (referred to herein as the Organization ) has instituted this Federal Deficit Reduction Act Policy as part
More informationEMPLOYER PLAN - CLAIM FOR BENEFITS EMPLOYEE STATEMENT
! "! # $ % & ' ( ) * * +, - -. % / 0 ' ( 1 2 3!. % 1 1 / % 0 ' ( ' 2 4 4 4 5 6 7 8 9 * 8 3 7 8! 8 9 7! * 5 9 EMPLOYER PLAN - CLAIM FOR BENEFITS EMPLOYEE STATEMENT (BENEFITS MAY BE DELAYED IF CLAIM FORM
More informationJune 8, Free Speech for People is a national campaign to combat unconstitutional
June 8, 2011 By Electronic and First Class Mail (Attorney.General@State.DE.US) The Honorable Beau Biden Attorney General, State of Delaware Carvel State Office Building 820 N. French Street Wilmington,
More informationDISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS
DISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS REASONS FOR DECISION In the matter of: Stephen Jeremy Bache Heard on: 27 July 2015 Location: Committee: Legal Adviser: Persons
More informationEnforcement of State Wage and Hour Laws: A Survey of State Regulators
Enforcement of State Wage and Hour Laws: A Survey of State Regulators Jacob Meyer, Esq. Robert Greenleaf, Esq. EXECUTIVE SUMMARY In an effort to determine the extent and nature of state enforcement of
More informationAXIS PRO MULTIMEDIA LIABILITY COVERAGE RENEWAL APPLICATION FOR INSURANCE
AXIS PRO MULTIMEDIA LIABILITY COVERAGE RENEWAL APPLICATION FOR INSURANCE I. GENERAL INFORMATION 1. First Named Insured (including DBAs): Gibson Overseas, Inc. NOTE: First Named Insured is responsible for
More informationRichard P. Donoghue United States Attorney Eastern District of New York
Richard P. Donoghue United States Attorney Eastern District of New York FOR IMMEDIATE RELEASE CONTACT: JOHN MARZULLI Monday, January 28, 2019 TYLER DANIELS WWW.JUSTICE.GOV/USAO/NYE (718) 254-6323 PRESS
More informationRevisions to Whistleblowing Policy
Policy, Program, Development & Intergovernmental Relations Committee Board Action Item III-A July 8, 2010 Revisions to Whistleblowing Policy Page 3 of 21 Washington Metropolitan Area Transit Authority
More informationIN THE COURT OF CRIMINAL APPEALS OF TENNESSEE AT KNOXVILLE Assigned on Briefs March 22, 2005
IN THE COURT OF CRIMINAL APPEALS OF TENNESSEE AT KNOXVILLE Assigned on Briefs March 22, 2005 STATE OF TENNESSEE v. EARL D. MILLS - July 5, 2005 Direct Appeal from the Criminal Court for Knox County No.78215
More informationPRIVATE COMPANY INSURANCE POLICY RENEWAL APPLICATION
PRIVATE COMPANY INSURANCE POLICY RENEWAL APPLICATION NOTICE: THE LIABILITY COVERAGE SECTIONS OF THIS POLICY APPLY ONLY TO CLAIMS OR, IF THE PENSION AND WELFARE BENEFIT PLAN FIDUCIARY LIABILITY COVERAGE
More informationAXIS BUSINESS INTERRUPTION & DATA RESTORATION- SYSTEM FAILURE SUPPLEMENTAL APPLICATION
AXIS Insurance Telephone: (678) 746-9000 111 S. Wacker Dr., Ste. 3500 Toll-Free: (866) 259-5435 Chicago, IL 60606 Facsimile: (678) 746-9315 Website: www.axiscapital.com/en-us/insurance/us#professional-lines
More informationNo CR. RICHARD HARRIS, Appellant. vs. THE STATE OF TEXAS, Appellee APPELLANT S BRIEF
No. 05-11-01006-CR IN THE COURT OF APPEALS FOR THE FIFTH DISTRICT OF TEXAS AT DALLAS, TEXAS 5th Court of Appeals FILED: 02/01/2012 14:00 Lisa Matz, Clerk RICHARD HARRIS, Appellant vs. THE STATE OF TEXAS,
More informationCardinal McCloskey Community Services. Corporate Compliance. False Claims Act and Whistleblower Provisions
Cardinal McCloskey Community Services Corporate Compliance False Claims Act and Whistleblower Provisions Purpose: Cardinal McCloskey Community Services is committed to prompt, complete and accurate billing
More informationADMINISTRATION OF JUSTICE Homework Exam Review WHITE COLLAR CRIME NAME: PERIOD: ROW:
ADMINISTRATION OF JUSTICE Homework Exam Review WHITE COLLAR CRIME NAME: PERIOD: ROW: UNDERSTANDING WHITE COLLAR CRIME 1. White-collar crime is a broad category of nonviolent misconduct involving and fraud.
More informationOffice of Inspector General. Regional Enforcement Efforts and Priorities in Florida. South Atlantic Regional Conference January 28, 2011
Office of Inspector General Regional Enforcement Efforts and Priorities in Florida Health Care Compliance Association South Atlantic Regional Conference January 28, 2011 Felicia Heimer, Esq. Office of
More informationA. GENERAL INFORMATION. Year Applicant s business was established (yyyy): B. SPECIFIC INFORMATION
Travelers Casualty and Surety Company of America Broad Form PLUS+ Directors and Officers Liability Coverage Application NOTICE ANY LIABILITY COVERAGE FOR WHICH APPLICATION IS MADE APPLIES, SUBJECT TO ITS
More informationConstruction Safety: Occupation Safety and Health
Construction Safety: Occupation Safety and Health 1. Explain the differences between temporary disability and permanent disability claims. What are some theories that are used in handling permanent and
More informationAPPLICATION FOR: Requested Limit
APPLICATION FOR: PRIVATE COMPANY PROTECTION PLUS DIRECTORS AND OFFICERS & PRIVATE COMPANY LIABILITY INSURANCE EMPLOYMENT PRACTICES LIABILITY INSURANCE FIDUCIARY LIABILITY INSURANCE NOTICE: THIS POLICY
More informationAXIS Staffing Insurance Solutions SM
AXIS Staffing Insurance Solutions SM A LIABILITY POLICY FOR TEMPORARY HELP AND PERMANENT PLACEMENT ORGANIZATIONS PLEASE CONSULT AND REVIEW THE COVERAGE PARTS OF THIS POLICY TO DETERMINE WHICH ARE AFFORDED
More informationCommercial Bribery and the New International Norms
The Catholic University of America From the SelectedWorks of Don R Berthiaume Fall October 8, 2009 Commercial Bribery and the New International Norms Don R Berthiaume Available at: https://works.bepress.com/don_berthiaume/6/
More informationObjectives. Agenda. What to expect from an OSHA inspection: 8/22/2017. Tips for Producers
What to expect from an OSHA inspection: Tips for Producers Objectives Describe employer rights and responsibilities under the Occupational Safety and Health Act Understand how OSHA chooses inspection sites
More informationThe Practice and Pitfalls of Internal Investigations:
The Practice and Pitfalls of Internal Investigations: How to Keep Both Your License and Your Sanity Mark Bartlett Davis Wright Tremaine LLP 1 When Do You Need to Investigate? Red Flags Questionable accounting
More informationAPPLICATION FOR IDL INSURANCE
Home Office: One Nationwide Plaza Columbus, Ohio 43215 Administrative Office: 8877 North Gainey Center Drive Scottsdale, Arizona 85258 1-800-423-7675 APPLICATION FOR IDL INSURANCE UNLESS OTHERWISE PROVIDED
More informationDoes a Taxpayer Have the Burden of Showing Intent to Divert Corporate Funds as Return of Capital?
Michigan State University College of Law Digital Commons at Michigan State University College of Law Faculty Publications 1-1-2008 Does a Taxpayer Have the Burden of Showing Intent to Divert Corporate
More informationv. MISDEMEANOR INFORMATION
Case 3:13-cr-00154-JO Document 1 Filed 04/05/13 Page 1 of 7 Page ID#: 1 FILED 5 ~: '1315:jjj)DC-DRP UNITED STATES DISTRICT COURT DISTRICT OF OREGON PORTLAND DIVISION UNITED STATES OF AMERICA Case ~o~l~3~c~~--_l_s_
More information