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

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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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Presentation Transcript
slide1

Getting Internal Investigations

Done Right

David T. Schultz

Maslon Edelman Borman & Brand, LLP

conducting the investigation
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

considerations
Considerations
  • Whether and When to Conduct One
  • Who Conducts It
  • How It is Conducted
  • What is Produced
slide5
Who?

Inside counsel vs. Outside counsel

Expense Resources

Inside Knowledge Objectivity

Confidentiality Integrity

Motivation Independence

selecting your outside counsel
Selecting Your Outside Counsel
  • Assessing Competence
    • Technical
    • Independence
    • Reputation
    • Local Knowledge
    • Specified Knowledge
competence
Competence

All told, Vinson & Elkins’“investigation” appears worthy of Inspector Clouseau.

. .. they asked few real questions, failed to talk to obvious key witnesses

independence
Independence

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

structuring the investigation
Structuring the Investigation
  • Internal Reporting
  • Defining Scope/Written Plan
  • Internal Communication with Employees
how do you find the facts
How Do You Find the Facts?
  • Conducting the interview
    • Corporate Miranda
    • Tape recording/court reporter
    • Written memos
  • Interference
the written report
The Written Report
  • Whether
  • When
  • How
dissemination of the report
Dissemination of The Report
  • Need to Know
  • Controls on Report
  • Canary Traps
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