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Handout - 2019 - National - Internal Investigations Workshop

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

Presentation 

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?

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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

Presentation 

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?

Presentation

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