Internal Investigations Compliance Workshop
January 7 – 9, 2019 | San Diego, CA
CEU Application | Conference Brochure
MONDAY
Introductory Concepts for Investigations
- Ethics of an investigation
- Procedural fairness
- Confidentiality
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Understanding and Assessing the Report
- Issue spotting the report
- Interviewing the reporter
- Is an investigation needed?
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Planning the Investigation
- Determining the applicable standard
- Framing the investigation allegation
- Determining the investigation strategy
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Gathering Documentary Evidence
- Getting your paper trail in order
- Utilizing documents for intelligence
- Managing the relevant documents
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Conducting Interviews
- Psychology of communication
- How to prepare for the interview
- Types of interview questions
- Tips for effective interviewing
- Assessing credibility
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Interviewing the Subject of the Investigation
- Planning for the interview
- Good cop / bad cop or both?
- International issues and concerns
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Exercise: A Day in the Life of an Internal Investigator
A case study to determine the need for an internal investigation in response to multiple anonymous calls to the Compliance Hot Line alleging conflicts of interest by a Senior Management Official in the Organization. Attendees will review and analyze a set of facts, assumptions, and perceptions related to the allegations; and develop an investigation action plan focusing on evidence to be obtained from internal documents and witness accounts. The session concludes with verbal report-outs and interactive discussion among attendees.
Handout will be available onsite
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
TUESDAY
Investigations Roundtable
- Discuss your most pressing questions
- Share best practices
- Collaborate on solutions to the challenges internal investigators are facing in their companies
No presentation or handouts available
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association
Evidence and the Legal Elements of an Investigation
- Understanding evidence concepts
- The burdens of proof and persuasion
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Investigation Pitfalls and How to Avoid Them
- Addressing privacy and confidentiality concerns
- Dealing with represented employees
- Understanding the attorney-client privilege
- Common situations investigators encounter
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Reaching a Conclusion and Root Cause Analysis
- Evaluating your proof
- Finding the truth
- Considering factors related to the misconduct
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Preparing the Investigation Report: Part 1
- Key elements of a good report
- Tailoring the report to the specific audience
- Practical tips for report writing
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Preparing the Investigation Report: Part 2
- Workshop exercise / case study in report writing
No presentation or handouts available
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Reporting Your Findings
- Reporting to the Board, management, and employees
- Communicating with stakeholders
- Reporting to law enforcement and other agencies
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
What Should You Do?
- Apply what you have learned to real-life scenarios
- Get practical guidance for responding to specific situations
- Be ready when the unexpected issue pops up
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
WEDNESDAY
Documentation Issues
- Developing Policy & Procedures to help manage the Investigation Program
- Utilizing internal investigation templates and checklists
- Advantages of using standard forms and reports
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Use of Third-Party Assistance in Investigations
- When to outsource certain elements of investigations
- Scope and legal considerations
- Managing third party service providers
Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association
Use of Forensic Data Analytics in Investigations
- Using analytics to assess allegations
- Applications of forensic data analytics during an investigation
- Tools and techniques
Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association
Root Cause Analysis
- Do more than react to the misconduct
- Understand the contributing factors that led to misconduct
- Prevent recurrences by identifying weaknesses in internal controls
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Why Should the Boss Listen to Me?
- How to get a seat at the table
- How to control the message to your boss
- Become a trusted advisor
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Lessons Learned
- It’s really all about finding and fixing problems
- Identifying poor internal controls, systemic problems, and lack of controls
- Where do we go from here?
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Wrap-up with Q&A
- Provide an opportunity for attendees to ask questions and provide feed back
No presentation or handouts available
Albert Gagne, MBA, CCEP, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Meric Bloch, JD, CCEP-F, CFE, PCI, Vice President, Global Investigations, Booking Holdings Inc.
Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association
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