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Document Number: 909 R 5003 Document Number: 909 R 5003 Procedure Rev: 12 Date: 1/22/13 Procedure Rev: 12 Date: 1/22/13 EMERGENCY RESPONSE PROCEDURE'S EMERGENCY RESPONSE PROCEDURES not inform anybody else that an investigation is being conducted unless your are specifically requested to do so. 2.3.11 Note the Investigators'Powers to Demand Documentation.Their powers cover private records held by individual managers and information held on 2.3.6 Ask the Investigators to Wait Until the Lawyers Have Arrived.Investigators computers.Investigators must request files reasonably clearly and cannot go on a may wait for a limited time(although not in the U.S).If your lawyer cannot be present `fishing expedition". within the time allowed,you should let the investigation begin without a lawyer. However,try to get the lawyer to join your team as quickly as possible.Try to suspend the investigation when the lawyer arrives to update him or her briefly.If 2.3.12 Do Not Volunteer Documents.Depending upon the country in which the immediate personnel attendance is impossible,try to arrange for your lawyer to investigation is taking place,investigators may not have the power to seize original speak with the investigators on the telephone. documents.Do not volunteer documents unless recommended by your lawyer. Remember that searches can last a number of days and that documents created 2.3.7 Escort the Investigators at all times.Do not issue a security pass.Do not during that time can also be subject to disclosure, leave investigators alone where there are files,computers or any other form of documents or information available. 2.3.13 Remember Legal Privilege.Communications with lawyers may be legally 2.3.8 Assemble a Team for Dealing with the Investigation.Note there maybe as privileged in which case investigators may not examine or copy them.Inform the many as six to eight investigators and that they will each simultaneously seek to investigator if a file he wishes to review is likely to contain privileged documents.Ask review the documents in relevant employee's individual offices.They may demand to to review the file to extract privileged documents prior to the investigator's review or, be shown the contents of desks and to be given access to the computers.In addition if he refuses,review the file at the same time as the investigator so that you can to your lawyer,your team should include: identify and remove privileged documents.The investigator will probably insist that • The most senior officer or manager available; you demonstrate privilege,for example,by showing the lawyer's name in the • A staff member appointed as a note-taker who must keep a verbatim record of letterhead or that the document has the word"privileged"in the header.Record any the proceedings; ob'ections to this Procedure or disputed documents.Ask that the investigators wait • An IT specialist to supervise any electronic copying or searches;. for your lawver.and consult with him or her before examining any contested • An assistant to provide help with documentation and copies requested by the documents. investigators;and • If possible,staff members to accompany each investigator,or one staff 2.3.14 Protect Legally Privileged Electronic Documents.The investigators are member posted in each office to be searched,which should observe and usually accompanied by IT specialists,who may be able to retrieve deleted files and assist the investigator and take notes of their actions. emails.Investigators may also run key-word searches on stored files and emails.If investigators ask for access to the computer system,make sure that files are 2.3.9 Preservation of Evidence.Obstruction of the investigators could violate checked for legally privileged documents first,before they are reviewed,downloaded, criminal law,so ensure that no documents or electronic files are destroyed,deleted, or printed by the investigators.A company IT specialist should perform the or altered in any way,and that not relevant materials are removed from the operations requested by the investigators on the system or at least supervise what premises.No documents should be tampered with,concealed,or destroyed. the investigators are doing.Make a copy of all files that are taken by the investigators and note the key-word searches made. 2.3.10 Treatment of Seals.In addition to preserving evidence,no seal placed by an investigator should be tampered with in any way.Great care must be taken so that 2.3.15 Ensure Relevance to Authorization Scope.When reviewing or copying no seal is broken or manipulated either intentionally or unintentionally. documents,investigators are bound by the scope of the written authorization they Document in and Settingslturankl-,ocal SettingsUemporary Inlemet FllcslContent.0utloukUQ9W31RYlCAPA Document in and SettingsltttranToeal SettingslTemporary Internet Fi1es\Con1ent..0ut1Do1,1JQ9W3I RYTAPA CCR 66265 55.doc Page 65 of 69 CCR 66265 55Aoc Page 66 of 69 Paper Coplas are Not Controlled unless srarapad in RED"Conlralled Dowrnent".Controlled Version appears In❑B9000 dateW se. Paper Copies are Not Controlled unless stamped In RED"Controlled Document.Contrailed Version appears In OSWM database. Capias without a RED"Connded Document stamp will be OBSOLETE 24 hours from 6111x20141:§7 PM Copies without a RED-Controlled 0—rnent stampwill be OBSOLETE 24 hours W.S11 tf20141:57 PM