File #2578: "2019_Book_CorporateInvestigationsCorpora.pdf"
Text
1|Series Editor’s Preface|6
1|Preface and Acknowledgements|8
1|Praise for Corporate Investigations, Corporate Justice and Public-Private Relations|11
1|Contents|13
1|List of Figures|14
1|List of Tables|15
1|List of Boxes|16
1|1 Introduction, Theory and Research Questions|17
2|1 Introduction|17
2|2 Defining Core Concepts|23
2|3 Some Theoretical Notions on Private Security, Corporate Investigations and Private-Public Relations|27
3|3.1 The Over-Burdened State—Privatisation, Responsibilisation and Junior Partner Theory|29
3|3.2 The Growth of Mass Private Property—Multilateralisation, Nodal Theory, Anchored Pluralism and Loss Prevention Theory|30
3|3.3 An Assessment of Traditional Private Security Theories|32
3|3.4 Juridification—The Exploitation of the Dark Number of Economic Crime|33
3|3.5 Recapitulation and Beyond: A Public-Private Continuum|34
2|4 Methodology|37
3|4.1 Interviews|37
3|4.2 Observations|40
3|4.3 Case Studies|42
3|4.4 Some Methodological Reflections|43
4|4.4.1 Internal and External Validity|43
4|4.4.2 Internal and External Reliability|46
4|4.4.3 Trust—Access and Confidentiality|46
4|4.4.4 Getting Captivated—A Reflection on the Role of the Researcher|48
2|5 Book Structure|49
2|References|51
1|2 Legal Frameworks|57
2|1 Introduction|57
2|2 General Rules and Legal Frameworks for Investigations|60
3|2.1 Privacy Legislation|60
3|2.2 The Civil Code (BW) and Anti-money Laundering Legislation (Wwft)|64
2|3 Private Investigation Firms—Those with a Wpbr-Permit|66
2|4 In-House Security Departments|70
2|5 Forensic Accountants|73
2|6 Investigators with a Legal Background—Forensic Legal Investigators|79
2|7 The Selling Propositions of the Different Types of Investigators|85
3|7.1 Background and Specialist Knowledge|86
4|7.1.1 In-House Investigators|86
4|7.1.2 Private Investigation Firms|88
4|7.1.3 Forensic Accountants|91
4|7.1.4 Forensic Legal Investigators|93
3|7.2 Rules and Ethics and Position Regarding the Client|94
4|7.2.1 In-House Investigators|94
4|7.2.2 Private Investigation Firms|98
4|7.2.3 Forensic Accountants|102
4|7.2.4 Forensic Legal Investigators|104
3|7.3 The Matter of Forum Shopping|106
2|8 Discussion|108
2|References|116
1|3 Corporate Investigations|121
2|1 Introduction|121
2|2 The Setting of Corporate Investigations: Client-Centeredness|127
2|3 Preparation for the Investigations|129
2|4 Gathering Information—Investigative Methods Leading up to Confrontation|137
3|4.1 Internal Documentation|137
3|4.2 Internal Systems|138
4|4.2.1 Communications and Data Carriers|139
4|4.2.2 Other Internal Systems|141
3|4.3 Open Sources|143
3|4.4 Other Sources|143
2|5 The Interview: Confronting the Involved Person|145
3|5.1 The Interview Process|150
3|5.2 Phases in the Interview Process|153
2|6 Reporting on the Investigations|157
3|6.1 The Adversarial Principle|162
3|6.2 Complaints Procedures|166
2|7 Discussion|168
2|References|171
1|4 Corporate Settlements|174
2|1 Introduction|174
2|2 To Report or to Not Report, That’s the Question|178
3|2.1 Considerations Against Reporting to the Authorities|181
3|2.2 Considerations in Favour of Reporting to the Authorities|191
4|2.2.1 Strategic Considerations|196
4|2.2.2 Normative Considerations|201
4|2.2.3 Timing of Law Enforcement Involvement|205
2|3 The Civil Suit|207
3|3.1 The Civil Suit to Terminate a Labour Agreement|209
3|3.2 The Pro Forma Procedure|210
3|3.3 The Enterprise Court|212
3|3.4 Some Differences Between Criminal Justice and Civil Court Proceedings: The Use of Evidence|213
2|4 The Settlement Agreement: A Court-Free Arrangement|215
2|5 Internal Sanctions as a Solution|221
3|5.1 Internal Sanctions: Disciplining the Employee|221
3|5.2 Termination of the Labour Contract|223
2|6 Discussion|228
2|References|229
1|5 Public-Private Relations as Coexistence|234
2|1 Introduction|234
2|2 Formal Structures of Coexistence: Covenants and Public-Private Partnerships|236
2|3 Ad Hoc Relations and Traditional Theories|241
3|3.1 Junior Partner Theory Revisited|241
3|3.2 Loss Prevention Theory Revisited|246
2|4 A New Coexistence Theorisation of Corporate Investigations|248
3|4.1 Type A—Private to Public Information Transfer|250
4|4.1.1 Private and Public Involvement as a Sequence|250
4|4.1.2 Private and Public Involvement Running Parallel|254
3|4.2 Type B—Minor Mutual Information Sharing|259
3|4.3 Type C—Coordination of Actions|262
2|5 A Closer Look at Information Sharing|265
3|5.1 Ad Hoc Information Sharing with the Private Sector: The Importance of the Prosecutor|270
3|5.2 Informal Networks|275
2|6 Discussion: Public-Private Relationships and Information Sharing as a Source of Frustration|284
2|References|293
1|6 Discussion|297
2|1 Introduction|297
2|2 The Research Questions|299
3|2.1 The Modus Vivendi of the Corporate Investigation Market|299
3|2.2 Legality: The Legal Frameworks|300
3|2.3 Autonomy and Strategic Tasking|301
3|2.4 Public-Private Relations and the Interests Involved|302
3|2.5 Theoretical and Practical Consequences of Public-Private Coexistence|303
3|2.6 Central Research Question|304
2|3 Corporate Investigations as a Semi-autonomous Social Field Within a Private Legal Order|305
2|4 Forum Shopping Within and Across a Private Legal Sphere|307
2|5 Control and Accountability in the Context of a Semi-autonomous Corporate Investigation Sector|309
2|6 The Myth of Public-Private Turf Wars—The Matter of Competition Versus Separation|313
2|7 Normativity and Pragmatism in Corporate Investigations and Settlements—A Case of Non-contractual Moral Agency?|318
2|8 Legitimacy and the Common Good|320
2|9 Policy Implications|325
3|9.1 Governing Corporate Investigations—Looking Forward|325
3|9.2 Revisiting the Cooperation Mantra|330
2|10 Reflections—This Research and Beyond|332
2|References|336
1|Appendices|338
1|Appendix B: Schematic of Differences Between Corporate Investigators|339
1|Appendix C: Legislation and Case Law|341
1|References|343
1|Index|358
1|Preface and Acknowledgements|8
1|Praise for Corporate Investigations, Corporate Justice and Public-Private Relations|11
1|Contents|13
1|List of Figures|14
1|List of Tables|15
1|List of Boxes|16
1|1 Introduction, Theory and Research Questions|17
2|1 Introduction|17
2|2 Defining Core Concepts|23
2|3 Some Theoretical Notions on Private Security, Corporate Investigations and Private-Public Relations|27
3|3.1 The Over-Burdened State—Privatisation, Responsibilisation and Junior Partner Theory|29
3|3.2 The Growth of Mass Private Property—Multilateralisation, Nodal Theory, Anchored Pluralism and Loss Prevention Theory|30
3|3.3 An Assessment of Traditional Private Security Theories|32
3|3.4 Juridification—The Exploitation of the Dark Number of Economic Crime|33
3|3.5 Recapitulation and Beyond: A Public-Private Continuum|34
2|4 Methodology|37
3|4.1 Interviews|37
3|4.2 Observations|40
3|4.3 Case Studies|42
3|4.4 Some Methodological Reflections|43
4|4.4.1 Internal and External Validity|43
4|4.4.2 Internal and External Reliability|46
4|4.4.3 Trust—Access and Confidentiality|46
4|4.4.4 Getting Captivated—A Reflection on the Role of the Researcher|48
2|5 Book Structure|49
2|References|51
1|2 Legal Frameworks|57
2|1 Introduction|57
2|2 General Rules and Legal Frameworks for Investigations|60
3|2.1 Privacy Legislation|60
3|2.2 The Civil Code (BW) and Anti-money Laundering Legislation (Wwft)|64
2|3 Private Investigation Firms—Those with a Wpbr-Permit|66
2|4 In-House Security Departments|70
2|5 Forensic Accountants|73
2|6 Investigators with a Legal Background—Forensic Legal Investigators|79
2|7 The Selling Propositions of the Different Types of Investigators|85
3|7.1 Background and Specialist Knowledge|86
4|7.1.1 In-House Investigators|86
4|7.1.2 Private Investigation Firms|88
4|7.1.3 Forensic Accountants|91
4|7.1.4 Forensic Legal Investigators|93
3|7.2 Rules and Ethics and Position Regarding the Client|94
4|7.2.1 In-House Investigators|94
4|7.2.2 Private Investigation Firms|98
4|7.2.3 Forensic Accountants|102
4|7.2.4 Forensic Legal Investigators|104
3|7.3 The Matter of Forum Shopping|106
2|8 Discussion|108
2|References|116
1|3 Corporate Investigations|121
2|1 Introduction|121
2|2 The Setting of Corporate Investigations: Client-Centeredness|127
2|3 Preparation for the Investigations|129
2|4 Gathering Information—Investigative Methods Leading up to Confrontation|137
3|4.1 Internal Documentation|137
3|4.2 Internal Systems|138
4|4.2.1 Communications and Data Carriers|139
4|4.2.2 Other Internal Systems|141
3|4.3 Open Sources|143
3|4.4 Other Sources|143
2|5 The Interview: Confronting the Involved Person|145
3|5.1 The Interview Process|150
3|5.2 Phases in the Interview Process|153
2|6 Reporting on the Investigations|157
3|6.1 The Adversarial Principle|162
3|6.2 Complaints Procedures|166
2|7 Discussion|168
2|References|171
1|4 Corporate Settlements|174
2|1 Introduction|174
2|2 To Report or to Not Report, That’s the Question|178
3|2.1 Considerations Against Reporting to the Authorities|181
3|2.2 Considerations in Favour of Reporting to the Authorities|191
4|2.2.1 Strategic Considerations|196
4|2.2.2 Normative Considerations|201
4|2.2.3 Timing of Law Enforcement Involvement|205
2|3 The Civil Suit|207
3|3.1 The Civil Suit to Terminate a Labour Agreement|209
3|3.2 The Pro Forma Procedure|210
3|3.3 The Enterprise Court|212
3|3.4 Some Differences Between Criminal Justice and Civil Court Proceedings: The Use of Evidence|213
2|4 The Settlement Agreement: A Court-Free Arrangement|215
2|5 Internal Sanctions as a Solution|221
3|5.1 Internal Sanctions: Disciplining the Employee|221
3|5.2 Termination of the Labour Contract|223
2|6 Discussion|228
2|References|229
1|5 Public-Private Relations as Coexistence|234
2|1 Introduction|234
2|2 Formal Structures of Coexistence: Covenants and Public-Private Partnerships|236
2|3 Ad Hoc Relations and Traditional Theories|241
3|3.1 Junior Partner Theory Revisited|241
3|3.2 Loss Prevention Theory Revisited|246
2|4 A New Coexistence Theorisation of Corporate Investigations|248
3|4.1 Type A—Private to Public Information Transfer|250
4|4.1.1 Private and Public Involvement as a Sequence|250
4|4.1.2 Private and Public Involvement Running Parallel|254
3|4.2 Type B—Minor Mutual Information Sharing|259
3|4.3 Type C—Coordination of Actions|262
2|5 A Closer Look at Information Sharing|265
3|5.1 Ad Hoc Information Sharing with the Private Sector: The Importance of the Prosecutor|270
3|5.2 Informal Networks|275
2|6 Discussion: Public-Private Relationships and Information Sharing as a Source of Frustration|284
2|References|293
1|6 Discussion|297
2|1 Introduction|297
2|2 The Research Questions|299
3|2.1 The Modus Vivendi of the Corporate Investigation Market|299
3|2.2 Legality: The Legal Frameworks|300
3|2.3 Autonomy and Strategic Tasking|301
3|2.4 Public-Private Relations and the Interests Involved|302
3|2.5 Theoretical and Practical Consequences of Public-Private Coexistence|303
3|2.6 Central Research Question|304
2|3 Corporate Investigations as a Semi-autonomous Social Field Within a Private Legal Order|305
2|4 Forum Shopping Within and Across a Private Legal Sphere|307
2|5 Control and Accountability in the Context of a Semi-autonomous Corporate Investigation Sector|309
2|6 The Myth of Public-Private Turf Wars—The Matter of Competition Versus Separation|313
2|7 Normativity and Pragmatism in Corporate Investigations and Settlements—A Case of Non-contractual Moral Agency?|318
2|8 Legitimacy and the Common Good|320
2|9 Policy Implications|325
3|9.1 Governing Corporate Investigations—Looking Forward|325
3|9.2 Revisiting the Cooperation Mantra|330
2|10 Reflections—This Research and Beyond|332
2|References|336
1|Appendices|338
1|Appendix B: Schematic of Differences Between Corporate Investigators|339
1|Appendix C: Legislation and Case Law|341
1|References|343
1|Index|358