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Internal Investigations

Internal Investigations. Challenges and Best Practices Bernard J. Ford, Partner Ernst & Young LLP. Triggers to An Investigation. Routine Audit Hotline Complaint Competitor Under Investigation Lawsuit or Enforcement Action. B of D. Audit Committee. Stakeholders. CEO. VP IA. GC. CFO.

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Internal Investigations

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

  2. 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. Investigative & Dispute Services Challenges: Resources • Speed • Knowledge • Sufficiency

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

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

  14. 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

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