1 / 15

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.

lazar
Télécharger la présentation

Internal Investigations

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  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

More Related