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Upjohn Memo Template

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Upjohn warnings are named after Upjohn v. United States, 449 U.S. 383 (1981), the case in which the Supreme Court made clear that the corporate attorney-client privilege applied to a much wider group of Constituents than the corporation’s “control group.” See more about preserving attorney-client privilege at blog at www.WinWinHR.com

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Upjohn Memo Template

  1. 1.   ________________________________________________________________________________________________     Template  of  Upjohn1  memorandum  to  be  given  to  all  non-­attorneys  assisting   legal  counsel  in  an  internal  investigation.     To:                Non-­‐Attorney  Assisting  Legal  Counsel  in  an  Internal  Investigation   From:    Legal  Counsel   Date:         Re:      I  am  legal  counsel  for  __________  (insert  company  name)  and  have  been  retained  to   provide  legal  counsel  to  the  company  regarding  ______________.    I  have  asked  that  you   assist  me  in  gathering  relevant  facts  in  order  for  me  to  provide  such  legal  advice.    In   gathering  such  relevant  facts,  you  will  at  all  times  be  working  at  my  direction  and     your  communications  with  me  are  protected  by  the  attorney-­‐client  privilege.       The  attorney-­‐client  privilege  belongs  solely  to  the  Company  and  not  you.  That     means  that  only  the  Company  may  elect  to  waive  the  attorney-­‐client  privilege     and  reveal  our  discussion  to  third  parties.       In  order  for  this  discussion  to  be  subject  to  the  privilege,  it  must  be  kept  in     confidence.    All  of  your  communications  with  me  regarding  this  investigation  should   be  marked  “Prepared  at  Request  of  Counsel.    Attorney-­‐Client  Privileged.    Attorney   Work  Product.”    All  documents  related  to  this  investigation  should  be  retained  in  a   separate  location  and  treated  with  confidence.    You  should  not  discuss  this   investigation  with  anyone  other  than  me  without  my  pre-­‐approval.     You  should  advise  all  individuals  you  interview  during  the  gathering  of  relevant   facts  of  the  attorney-­‐client  privilege.    Specifically,  you  should  advise  all  individuals   interviewed  as  follows:                                                                                                                     1  Upjohn  warnings  are  named  after  Upjohn  v.  United  States,  449  U.S.  383  (1981),  the   case  in  which  the  Supreme  Court  made  clear  that  the  corporate  attorney-­‐client   privilege  applied  to  a  much  wider  group  of  Constituents  than  the  corporation’s   “control  group.”      
  2. 2. I  am  working  at  the  direction  of  the  Company’s  legal  counsel  and  am  conducting  this   interview  to  gather  facts  to  give  to  the  Company’s  lawyer.    The  Company’s  lawyer  will   rely  on  these  facts  in  order  to  provide  legal  advice  for     ____________________  (insert  name  of  company).  This  interview  is  part  of  an  investigation   to  determine  the  facts  and  circumstances  of  _____(insert  brief  description  of   allegation(s))  in  order  to  advise  the  company  how  best  to  proceed.       Your  communications  with  me  are  protected  by  the  attorney-­client  privilege.       The  attorney-­client  privilege  belongs  solely  to  the  Company  and  not  you.  That     means  that  only  the  Company  may  elect  to  waive  the  attorney-­client  privilege     and  reveal  our  discussion  to  third  parties.       In  order  for  this  discussion  to  be  subject  to  the  privilege,  it  must  be  kept  in     confidence.  In  other  words,  with  the  exception  of  your  own  attorney,  you  may     not  disclose  the  substance  of  this  interview  to  any  third  party,  including  other     employees  or  anyone  outside  of  the  company.  You  may  discuss  the  facts  of  what     happened  but  you  may  not  discuss  this  discussion.       Do  you  have  any  questions?       Are  you  willing  to  proceed?    

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