1. Internal Investigations
Investigative & Dispute Services
Internal Investigations
Challenges and Best Practices
Bernard J. Ford, Partner
Ernst & Young LLP

2. Triggers to An Investigation
Investigative & Dispute Services
Triggers to An Investigation
Routine Audit
Hotline Complaint
Competitor Under Investigation
Lawsuit or Enforcement Action

3. Investigative & Dispute Services
B of D
Audit
Committee
Stakeholders
CEO
VP IA GC
CFO
CCO
Business Operations
DOJ
State
AGs
OIG
HHS
CMS
FDA

4. Investigative & Dispute Services
Challenges
Scope
Resources
Data
Cooperation
Communications

5. Investigative & Dispute Services
Challenges: Scope
Dictated by Trigger
Fear of Opening Pandora’s Box
Get it Over with All at Once
Cost
Time

6. Investigative & Dispute Services
Best Practices: Scope
GC/CCO/VP IA work closely with Outside Counsel and Advisors to create scope
Weekly Project Status calls/meetings with periodic deliverables

7. Challenges: Resources
Investigative & Dispute Services
Challenges: Resources
Speed
Knowledge
Sufficiency

8. Best Practices: Resources
Investigative & Dispute Services
Best Practices: Resources
Hire the right attorney
Best-in-class companies devote significant budget to the Office of Compliance and Internal Audit
Supplement/complement IA and CCO staff with outside expertise early in the process

9. Investigative & Dispute Services
Challenges: Data
Data You Have
Data You Don’t Have
Data You Don’t Know About

10. Investigative & Dispute Services
Best Practices: Data
GCO and IT jointly develop “disaster plans” to manage discovery
Use of sophisticated data search, mining, and management tools for large litigation

11. Challenges: Cooperation
Investigative & Dispute Services
Challenges: Cooperation
Denial
Fear
Guilt
Turf

12. Best Practices: Cooperation
Investigative & Dispute Services
Best Practices: Cooperation
GCO sets tone and expecta- tions, VP IA provides front line support to Outside Counsel and Advisors to conduct the inves- tigation, and CCO facilitates cross-functional activities and feeds the results back to the business.

13. Challenges: Communications
Investigative & Dispute Services
Challenges: Communications
To Whom
By Whom
When
What

14. Best Practices: Communications
Investigative & Dispute Services
Best Practices: Communications
Clearly documented and under- stood Policies and SOPs around investigations and reporting of violations
Clear control by the GCO of the process and understanding by operations on how things get done

15. Investigative & Dispute Services
Final Thoughts
Create a process and stick to it for triaging problems and investigating issues
Assume the worst and hope you’re wrong
Keep your eyes on the competition