Upjohn warning template

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.” For more tips on preserving the privilege click here: http://winwinhr.com/workplace-investigations-tips-templates-for-preserving-the-privilege/

1. !________________________________________________________________________________________________!
!
Template!of!Upjohn1!warning!to!be!given!before!all!witness!interviews.!
!
(If+an+attorney+is+conducting+the+witness+interview+use+this+warning)+
!
!I!am!legal!counsel!for!__________!(insert!company!name)!and!am!conducting!this!
interview!to!gather!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?!
!
(If+a+non:attorney+is+assisting+the+company’s+legal+counsel+in+the+investigation+and+is+
conducting+the+witness+interview+use+this+warning)+
!
!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!!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
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. ____________________!(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?!
!