Extract from Thomas Gricks’ article “Optimizing Document Review In Compliance Investigations, Part 1”
Internal/Regulatory Investigations Versus Litigation
Too many corporations approach litigation and compliance investigations the same way, using the same technology, approach and people. But your approach to managing electronic information in internal and regulatory compliance investigations should differ from the one for litigation.
Most of the discussion surrounding compliance investigations focuses on best practices for planning and conducting personnel interviews. This article addresses document review, specifically electronic document review, an equally critical component of the investigation process directed at finding what some refer to as the “truth serum” for controlling those interviews and structuring much of the investigation.
The approach to reviewing documents for an internal or regulatory investigation differs significantly from that in a typical litigation production context. Recognizing this difference and the unique challenges presented by a compliance investigation is the key to designing an efficient and effective document review protocol.