2020 January Internal Investigations Workshop
San Francisco, CA, United StatesHandouts
Introductory Concepts for Investigations• Ethics of an investigation |
Understanding and Assessing the Report• Issue spotting the report |
Planning the Investigation• Determining the applicable standard |
Gathering Documentary Evidence• Getting your paper trail in order |
Conducting Interviews• Psychology of communication |
Interviewing the Subject of the Investigation• Planning for the interview |
Exercise: A Day in the Life of an Internal InvestigatorA case study to determine the need for an internal investigation in response to multiple anonymous calls to the Compliance Hotline 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. |
Investigations Roundtable• Discuss your most pressing questions |
Evidence and the Legal Elements of an Investigation• Understanding evidence concepts |
Investigation Pitfalls and How to Avoid Them• Addressing privacy and confidentiality concerns |
Reaching a Conclusion• Evaluating your proof |
Preparing the Investigation Report• Key elements of a good report |
Reporting Your Findings• Reporting to the Board, management, and employees |
What Should You Do?• Apply what you have learned to real-life scenarios |
Documentation Issues• Developing policy & procedures to help manage the investigation program |
Use of Third-Party Assistance in Investigations• When to outsource certain elements of investigations |
Implicit Bias and the Investigation• Understanding the many types of bias we are all prone to |
Common Investigation IssuesThis session will involve a discussion of common problems, mistakes that are easy to make, and other obstacles encountered when conducting workplace investigations. |
After the Investigation• Internal communications – what do you tell your employees? |
Lessons Learned• It’s really all about finding and fixing problems |
Wrap-up with Q&A• Provide an opportunity for attendees to ask questions and provide feedback |