1. Preparing for Investigations
Session #1001

2. Overview Investigation Types Triggers of Investigations
Establishing Response plan(s)
Establishing Response team(s)
Firm Selection Considerations
Initiating The Plan
Potential Proactive Measures
Julie- 1min

3. DISCLAIMER The following slides and associated discussion represent the work and opinions of the author(s). The opinions expressed and materials provided do not constitute official positions of their respective companies or firms.
Julie- 1 min

4. Speakers
Tom Morrissey- Sr. Director, Legal Operations & eDiscovery, Purdue Pharma
Lisa Ripley- Director, eDiscovery and Information Governance, Oracle
Chris Kopeck- Senior Manager, Legal Administration, Walgreens
Richard Westling- Partner, Waller Lansden Dortch & Davis, LLP
Julie Richer- Legal Operations & Discovery Manager, AEP- Moderator
Julie- to save time, Julie is just going to run through list rather than having each person intro..

5. Types Of Investigations
Criminal
Civil
Administrative
Richard to kickoff- 5 mins-

6. Potential Triggers of an investigation:
Response to an investigation may depend on how the investigation got started. Several different plans may make sense for different scenarios
Whistleblower
Compliance
Government investigation
Private suit
Raid
Self- reporting
Internal audit
Suspicious transaction report
Accident
Corporate security
Subpoena (Grand Jury vs. 3rd party)
Vendors/Customers
Media
10 mins (5 each)
Tom- first Column
Chris Column

7. Establish Response Plan Before You Have a Problem

8. Establish Response Plan(s)
Who will lead/guide the team(s) (GC?)
Identify Response Team(s)
Identify & Document Roles & Responsibilities
Ensure contact information and plans are stored offsite where response team members can reference the information away from work. Treat it like BCP/DR
Communication plan(s)/Strategy
Teach team now about privilege considerations
Face to face or phone is best- /IM should be secondary
Document strategy
Lisa to kickoff- 10 mins

9. Internal Response Team Considerations
Legal GC
Practice Area/Attorney assigned to the investigation
Discovery Manager
Compliance
CCO, other Compliance Management
Privacy Office
Corporate Communications
Corporate leaders and corporate board
Affected business unit leader(s) IT
Security (Corporate, IT, or both)
Government Relations
Chris Kickoff- 5 mins

10. Should External Parties Be Involved?
Julie- 1 min

11. External Response Team Considerations
Outside Counsel
PR/Communications/Media Consultant
Financial/Accounting/Securities Consultant
Outside forensic collection consultant/vendor
How to keep others not in the core team up to date
Richard to kickoff- 5 mins

12. 3rd Party Selection Considerations
Experience/Reputation
Conflicts
Corporate/Institutional knowledge
Industry and Subject matter expertise
Government contacts and experience
Strength of Firm IT Security Program/Procedures
Tom to kickoff- 5 mins

13. Now You Have An Investigation…
Julie
Now You Have An Investigation…

14. Initiate Response Plan
Initiate Response team meeting
Evaluate known facts & identify type of response team needed.
Establish Scope
Establish timeline
Privilege- will the investigation work be protected under privilege?
Communication Plan
Talk with employees to get their support for the investigation? Do they want to get their own outside counsel or talk to the government directly?
Are Witness/Custodian interviews needed?
Is there data that should be secured? If so who is involved and how will it be done?
Lisa to kickoff- Chris to support- 10 mins

15. Proactive Measures
Establish annual compliance certification where employees have to certify they do or do not know if any corporate compliance issues.
Items to consider:
Do you have a system in place to follow up on the responses and escalate as needed?
Resources
Teach employees to get legal involved asap when a triggering event occurs
Update your response plan and composition of your internal/external response teams as the organization changes
Run through mock audit/investigation response- sort of like a DR run. Good idea to prepare people for the real deal
Julie to kick off to team

16. Supporting Materials
Anatomy of an effective corporate investigation (2015)
In House Defense Quarterly, Fall “Production of Documents to Federal Agencies”
Sterling Miller- LinkedIn- Ten Things: Getting Internal Investigations Right