1. Managing a Successful Investigation
ACC Panel Discussion October 2016
Managing a Successful Investigation

2. Panel Members Stuart Altman Andrew Bassak Andria Jones Rick Ostiller
Director, Corporate Legal Investigations
Intel Corporation
Andrew Bassak
Partner
Manatt, Phelps & Phillips, LLP
Andria Jones
Senior Corporate Counsel
Symantec Corporation
Rick Ostiller
Managing Director
Navigant
Debra Zumwalt
Vice President and General Counsel
Stanford University

3. Investigation Process
Investigation Sources
Managing the Client
Keys to a Successful Investigation
Challenges
Reporting Results

4. Sources of Investigations
Investigation is Initiated
Regulator Questions (SEC, DOJ, FDIC)
Internal Audit Findings
Concerns Raised by Employees
Investigations are brought to legal through a number of different reporting channels.

5. The Client Board of Directors Decides: Internal/External Investigation
Internal Investigation:
Company Management
External Investigation:
Audit/Special Committee

6. Keys to a Successful Investigation
Understanding the Business Environment
Develop a Work Plan
Undertake Electric Data Preservation, Collection and Review
Conduct Interviews
Perform Analytics
Summarize and Report Findings
Following these steps will help to effectively manage an investigation from beginning to end.

7. Conducting Interviews
Upjohn Warning
Handling Difficult Employees
Who Should Participate?
Requests for Separate Counsel

8. The Yates Memo Individual Accountability
Provide DOJ with facts of individuals Involved.
Criminal and civil attorneys should routinely communicate.
Corporate cases must not be resolved without plans to resolve individuals cases.
No corporate resolution will provide protection from criminal or civil liability for any individuals.
Civil attorneys focus on individuals and evaluate whether to bring suit against an individual based on considerations beyond that individual’s ability to pay.
Individuals from inception.
6 keys to create more Individual accountability

9. Challenges Possible Litigation Waivers Resources Electronic Discovery
External Audit Demands

10. International Investigations
FCPA Exposure
Language Issues
Local Rule of Law
Access to Data

11. Avoiding Scope Creep Follow Leads Without Boiling the Ocean
Meet Regularly to Discuss Expectations
Reduce Scope Quarterly vs. Annually

12. Reporting Results Oral vs. Written Content:
Background and Circumstances
Scope (Initial and Changes)
Work Performed
Key Findings
Remediation
Recommendations
Team Coordination