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Handouts

Introductory Concepts for Investigations

• Ethics of an investigation
• Procedural fairness
• Confidentiality

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Understanding and Assessing the Report

• Issue spotting the report
• Interviewing the reporter
• Is an investigation needed?

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Planning the Investigation

• Determining the applicable standard
• Framing the investigation allegation
• Determining the investigation strategy

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Gathering Documentary Evidence

• Getting your paper trail in order
• Utilizing documents for intelligence
• Managing the relevant documents

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Conducting Interviews

• Psychology of communication
• How to prepare for the interview
• Types of interview questions
• Tips for effective interviewing
• Assessing credibility

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Interviewing the Subject of the Investigation

• Planning for the interview
• Good cop, bad cop, or both?
• International issues and concerns

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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 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.

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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 Available
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Evidence and the Legal Elements of an Investigation

• Understanding evidence concepts
• The burdens of proof and persuasion

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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

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Reaching a Conclusion

• Evaluating your proof
• Finding the truth
• Considering factors related to the misconduct

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Preparing the Investigation Report

• Key elements of a good report
• Tailoring the report to the specific audience
• Practical tips for report writing
• Workshop exercise / case study in report writing
• Dos and don’ts

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Reporting Your Findings

• Reporting to the Board, management, and employees
• Communicating with stakeholders
• Reporting to law enforcement and other agencies

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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

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Documentation Issues

• Developing policy & procedures to help manage the investigation program
• Utilizing internal investigation templates and checklists
• Advantages of using standard forms and reports

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Use of Third-Party Assistance in Investigations

• When to outsource certain elements of investigations
• Scope and legal considerations
• Managing third-party service providers

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Implicit Bias and the Investigation

• Understanding the many types of bias we are all prone to
• How implicit bias affects investigations
• Specific actions you can take to deal with implicit bias

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Common Investigation Issues

This session will involve a discussion of common problems, mistakes that are easy to make, and other obstacles encountered when conducting workplace investigations.

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After the Investigation

• Internal communications – what do you tell your employees?
• Self-disclosure to regulators
• Public relations
• Remediation plans and implementation
• Policy implications
• Could what we found be indicative of a bigger or broader issue?

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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?

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Wrap-up with Q&A

• Provide an opportunity for attendees to ask questions and provide feedback

No Presentation Available
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