- Chapter
- The Legal Audit—An Overview
- Investigations: Types, Purposes, and Consequences
- Supervising the Investigation
- The Role of Counsel
- Investigation Procedures
- The Legal Status Audit
- The Legal Audit in the Compliance Context
- Specialized Audits
- Protecting the Confidentiality of Investigative Documents
- Special Aspects of the Legal Audit
- Post-Investigation Procedures
- Fee Arrangements, the Lawyer’s Stance and Collaboration in Auditing
- Documents
Appendix - Sample SEC Consent Decree Mandating Special Review Committee Investigation of Questionable Political Contributions and Other Payments
- Sample SEC Consent Decree Mandating Special Counsel Investigation of Misappropriation of Corporate Assets
- Sample Board Resolution Authorizing Audit Committee Investigation of Management Remuneration and Perquisites
- Sample Board Resolution Authorizing Retention of Law Firm to Conduct Internal Investigation
- Form of General Checklist for Acquisition of a Business: Prepared by Purchaser
- Preliminary Audit Information
- Form of General Statement of Business for Small Businesses
- Form of Audit List of Legal Problem Areas
- Sample Checklists Derived from Accounting Concepts
- Form of Statutory Checklist for Employment Audit
- Form of Checklist of Court-Developed Obligations for Employment Audit
- Form of Function-Tracking Checklist for Employment Audit
- Form of Document Review Checklist for Employment Audit
- Legal Audit Questionnaire for Nonprofit Organizations (Excerpts)
- Example of Inspection Checklist and Flowchart
- Form of Product Safety Audit Checklist
- Sample Excerpts from Questionnaire Concerning Questionable Payments
- Form of Questionnaire for Legal Status Report
- Transmittal Letter for Questionnaire for Legal Audit of Business
- Sample Record Retention Manual
- Environmental Surveillance Report
- Accounts Receivable
- Notes Receivable
- Accounts Payable
- Notes Payable
- Summary Chart
- Employment Audit Questionnaire
- Antitrust Compliance Manual
- "Safe" Job Application Form
- Sections from Form of Personnel Audit Checklist
- Questionnaire Mailed to Members of an Association (with Results and Summary of Oral Presentation to the Respective Association)
- Survey of Certain Dispute Problems in a Large Corporation
- A New Direction in Preventive Law: The Litigation Audit
- United States Sentencing Commission Guidelines
- A Letter to the Client
- Proposed Organizational Sentencing Guidelines for Environmental Offenses
- EPA Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations
- EPA Small Business Compliance Policy
- Cal/EPA Policy on Incentives for Self-Evaluation
- Pennsylvania Environmental Audit Policy
- Publication of OIG Compliance Program Guidance for Clinical Laboratories
- Legal Auditing Guidelines
- HHS Compliance Program Guidance for Hospitals
- HHS Self-Disclosure Protocol
- Building a Partnership for Effective Compliance: A Report on the Government-Industry Roundtable
- Evaluation of "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations" Policy Statement, Proposed Revisions, and Request (Excerpt)
- DOJ Principles of Federal Prosecution of Business Organizations
- Policy Concerning the Occupational Safety and Health Administration’s Treatment of Voluntary Employer Safety and Health Self-Audits
- Program Description of the National Environmental Achievement Track
- NCPL’s Corporate Compliance Principles
- SEC Standards for Evaluating Corporate Cooperation
- Table of Cases
- Index
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