Epstein Becker Green Webinar with Attorney Richard W. Westling - White-Collar Crash Course Webinar Series - October 31, 2017. Discussion Points: * Why you can’t ignore internal complaints * Early signs that you may be under investigation * The first five things to do in response to an investigation http://www.ebglaw.com/events/signs-you-may-have-a-problem-white-collar-crash-course-webinar-series/ Take a coffee break every Tuesday in October at 2 p.m. ET to join us for a 15-minute webinar covering white-collar and criminal enforcement issues! These materials have been provided for informational purposes only and are not intended and should not be construed to constitute legal advice. The content of these materials is copyrighted to Epstein Becker & Green, P.C. ATTORNEY ADVERTISING.

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Signs You May Have a Problem
White-Collar Crash Course
October 31, 2017

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This presentation has been provided for informational
purposes only and is not intended and should not be
construed to constitute legal advice. Please consult your
attorneys in connection with any fact-specific situation under
federal, state, and/or local laws that may impose additional
obligations on you and your company.
Cisco WebEx can be used to record webinars/briefings. By
participating in this webinar/briefing, you agree that your
communications may be monitored or recorded at any time
during the webinar/briefing.
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Presented by
Richard W. Westling
Member of the Firm
rwestling@ebglaw.com
Tel: 629-802-9251
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4. © 2017 Epstein Becker & Green, P.C. | All Rights Reserved. | ebglaw.com
Overview
 Assessing risk: Where to look and what to look for?
 Complaining Employee: Whiner or Whistleblower?
 Government Questions: What do they mean?
 How do you respond?
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Assessing Risk
 Know your industry’s legal and compliance risk
• Who are your regulators? What regulations are involved?
 Know your company’s specific risks
• Differences based upon whether local, national or international platform
• Differences based upon business form, model, not-for-profit v. for- profit, etc.
 Monitor trends in enforcement and compliance
• Health Care - OIG Work Plan
• Following settlements in your industry and related enforcement actions
• Review OIG Corporate Integrity Agreements or Corporate Monitor Agreements
 Harness the work being done by operations
• Quality Improvement; Internal Audit; Outside consultants
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Complaining Employee
 Evaluate the complaint not the complainer
• Problems often sent to HR without adequate compliance review
• Credit the allegations until you have established they are not credible
• Avoid seeing complaints as employee “crying wolf” – remember that in the end
there was a wolf
 Encourage employees to come forward
• Thank the complainer
• Ensure there is no retaliation
• Your compliance efforts will only succeed in a “see something, say something”
world
 Find a way to keep complaining employee informed about your efforts
• Silence is seen as inaction
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Government Questions
 Information request from an auditor – ZPIC, UPIC, OIG Officer of Audit
Services, etc.
 News that a former employee has been contacted by a government agent
 Your company and/or its employees are contacted by government agents
 Information request from a regulator/enforcer:
• OIG Request for Information or Assistance
• OIG Subpoena
• Civil Investigative Demand – Department of Justice
• HIPAA Subpoena – Department of Justice
• Grand Jury Subpoena
 Search Warrant
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How to Respond
 The First Step is Knowing you have a Problem
• Important to recognize the warning signs
• Once you do, consider what help you need to respond
• Ensure that you look for the right experience
 Remember the Hippocratic Oath – First Do No Harm
• Given the signs you may have a problem be sure you don’t make it worse
• Protect information and documents
• Be thoughtful about communications with all constituencies
• Remember: Often the cover-up is the only crime.
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Questions?
Richard W. Westling
Member of the Firm
rwestling@ebglaw.com
Tel: 629-802-9251
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10. © 2017 Epstein Becker & Green, P.C. | All Rights Reserved. ebglaw.com
Thank you.
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