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Getting Internal Investigations Done Right David T. Schultz Maslon Edelman Borman & Brand, LLP

Getting Internal Investigations Done Right David T. Schultz Maslon Edelman Borman & Brand, LLP. Conducting the Investigation. “ An internal investigation is worse than useless if it is not conducted properly and can cause substantial harm to a company ’ s credibility and reputation. ”

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Getting Internal Investigations Done Right David T. Schultz Maslon Edelman Borman & Brand, LLP

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  1. Getting Internal Investigations Done Right David T. Schultz Maslon Edelman Borman & Brand, LLP

  2. Conducting the Investigation “An internal investigation is worse than useless if it is not conducted properly and can cause substantial harm to a company’s credibility and reputation.” Giovanni Prezioso, Former General Counsel, SEC

  3. Considerations • Whether and When to Conduct One • Who Conducts It • How It is Conducted • What is Produced

  4. When Are Internal Investigations Necessary?

  5. Who? Inside counsel vs. Outside counsel Expense Resources Inside Knowledge Objectivity Confidentiality Integrity Motivation Independence

  6. Selection of Outside Counsel Investigator

  7. Selecting Your Outside Counsel • Assessing Competence • Technical • Independence • Reputation • Local Knowledge • Specified Knowledge

  8. Competence All told, Vinson & Elkins’“investigation” appears worthy of Inspector Clouseau. . .. they asked few real questions, failed to talk to obvious key witnesses

  9. Independence [V & E]…in 2000 billed Enron for between $27 million and $30 million.

  10. Structuring the Investigation • Internal Reporting • Defining Scope/Written Plan • Internal Communication with Employees

  11. How Do You Find the Facts? The Interview

  12. How Do You Find the Facts? • Conducting the interview • Corporate Miranda • Tape recording/court reporter • Written memos • Interference

  13. The Written Report • Whether • When • How

  14. The Written Report

  15. Dissemination of The Report • Need to Know • Controls on Report • Canary Traps

  16. Investigating the Board: What Are the Limits?

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