The Law To Know

War Room · Crisis room

The Dawn Raid

Investigators at reception at 08:55 with a warrant, and a day of decisions that cannot be undone.

It is Tuesday, 08:55. You are the partner in charge of regulatory matters at the firm that advises Tarn & Hollis, a freight and logistics company with about 400 staff. The receptionist has just phoned the general counsel, Marguerite Osei, in a panic: six officers from the trade regulator are in the lobby, led by an inspector named Colm Deverell, and they have handed her a document called a warrant. The general counsel phones you from the lobby. The inspection can last until 18:00. Whatever the company does today will be examined later.

Who is on the call

  • Marguerite Osei, General counsel (your client contact)
  • Colm Deverell, Lead inspector
  • Kwesi Adair, Head of IT
  • Annika Berg, Chief executive
  • A junior sales manager, Staff, asked to attend an interview

The Marland Investigations Act (invented): what applies in this exercise

You do not need any outside knowledge. This is the rule you must apply, and it is printed beside every step.

  • The inspectors may enter and search only as the warrant allows, which names the premises, the subject and the period it covers.
  • A company must not obstruct an inspection, and must not destroy, hide or alter documents or data that may be relevant. Doing so is an offence, separate from the investigation itself.
  • Documents that are confidential legal advice between a lawyer and the company are privileged and may not be taken, if the company claims privilege and identifies them. A disputed document is sealed and decided later.
  • The inspectors may copy electronic data, and may ask staff for explanations of documents; staff are not obliged to answer questions about the subject of the inquiry beyond explaining documents and where things are kept.
  • The company may have a lawyer present; the inspectors should wait a reasonable time for counsel to arrive, but may begin to secure premises.
  • Personal devices of staff are not covered unless the warrant says so or the device is used for company business.
  • The company should keep its own record of what is taken, copied and said.

What can be lost

  • Standing with the regulator: Whether the company looks cooperative and in control, not obstructive.
  • Privilege and rights: Whether legal advice and staff rights are protected.
  • Staff and the company: Whether staff are looked after, and the business keeps working.