Compliance &Ethics - Society of Corporate Compliance and Ethics

can be a very effective tool, by playing off thatnatural discomfort. A questioner may use silenceby simply waiting at the end of your answer, asif surely you cannot be finished, surely there ismore. Don’t play that game. Answer the questionsimply, then stop and wait for the next question.Use the silence to prepare for what is ahead, notto volunteer more of what has passed.Exceptions to the ruleThere are two general exceptions to “do notvolunteer” that a witness and his/her lawyermight want to discuss. The first is the “simplemisunderstanding” exception. If the questionerand you are not communicating and becomingbogged down because of a clear and simplemisunderstanding over a basic fact, it may beworthwhile to volunteer to correct the error.The second exception is for “core themes.”Every matter has a few key themes that youas a witness may wish to get across. The moreinvolved a witness is with the matter, particularlyas a party, the more important thesethemes become. If witness and lawyer agreeon these themes, the two of you may also wantto think about whether and when you want togo beyond the simple answer to a question andvolunteer information to support it.Testimony is serious business. Everyone inthe room has a job to do. Many of these rulesare aimed at disciplining the questioner to dohis job right—to make him/her ask clear andfair questions. “Don’t volunteer” is aimed atdisciplining witnesses to do their job right—answer the question, then stop. ✵Dan Small (dan.small @ hklaw.com) is a Partner with Holland & Knightin Boston and Miami. His practice focuses on complex civil litigation,government investigations, and witness preparation. He is the author of theABA’s manual, Preparing Witnesses (Third Edition, 2009). Robert F. Roach(robert.roach @ nyu.edu) is Chief Compliance Officer of New York University inNew York City and Chair of the ACC Corporate Compliance and Ethics Committee.Your Guide to Becomingan Effective InvestigatorThe First Information Is Almost Always Wrong:150 Things to Know AboutWorkplace InvestigationsBy Meric Craig Bloch, Esq., CCEP, PCI, CFECompliance & Ethics Professional May/June 2013Effective workplace investigationsare equal parts art and science.Meric Bloch has mastered bothaspects through years of hard-earnedexperience. In this book, he detailsthe strategies and tactics he knowswork best.Bloch_WorkplaceInvestigations_halfpage_CEPad_4c.indd 154 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977• Protect Your CareerHow to Think Like a Workplace Investigator• Protect Your CompanyHow to Integrate Your Investigationsinto Your Company’s Operations• Protect Your CaseHow to Conduct an EffectiveWorkplace InvestigationORDER ONLINE ATwww.corporatecompliance.org/FirstInformation3/22/13 3:32 PM