Internal investigations are a vital part of Control and Security Program. It's a serious matter when an employee is alleged to be violating company rules. So-called 'insider threats' can cause as much damage as thieves outside. These threats come in many different forms which include:

  • Accounting fraud
  • Outright theft of physical assets
  • Unauthorized access, to manipulate data or to sell it
  • Threats, sexual harassment or other inappropriate forms of behavior or communication.

Course Objectives:

Internal investigations aim to uncover the truth about alleged misconduct within the organization. But a good internal investigation must do so without compromising the relationship with innocent employees or unnecessarily damaging anyone's reputation. The course is therefore intended to impart good planning, consistent execution, analytical skill, sensitivity, and a solid grasp of the legalities involved in Internal Investigations

Learning Objectives:

  • At the end of this session, participants will be able to:
  • Define fraud and identify types of frauds and other violations that exist in various departments of  an organization;
  • Identify causes of fraud and other violations in an organization;
  • Select appropriate tools and methods to investigate frauds and other violations
  • Write a lucid and elucidatory internal investigation report. 

Course Timeline:
The course will cover three lessons, and it begins with the definition and introduction of Investigations. It opens up with Common Investigation Mistakes and discusses the steps in preparing for an Investigation. A Case study about James Castelluccio vs IBM was discussed for practical purpose. Review of Document and examination of Chronology of events were also discussed . 10 Common Investigation Mistakes • Preparing for an Investigation • Case study: James Castelluccio vs IBM • Document Review • Chronology of events • Q: What steps should be undertaken at the outset of an internal investigation? • Collect documents and evidence • Consider the need for forensic investigative techniques • What departments or skills sets are likely to be required? • What about detecting and investigating financial fraud specifically?
Lesson 2 covers the following topics and discussions: • Is it typically worthwhile to set up an employee hotline, allowing anonymous accusations? • What tools can help with the computer aspect of evidence-gathering? • Forensics tools • Other tools • How do I interview a suspect? • Is it reasonable to include hidden cameras in my surveillance effort? • What investigation tactics and common mistakes clearly should be avoided? • How to Conduct Interviews
Lesson 3 which is the last lesson in this course covers a breath-taking topics which include: • 8 important steps in conducting internal investigations • Cost containment • Issue a Hold • Define the Scope • Focus the Investigation • Build a Team • Collect and Review Documents • Interview Witnesses • Mind the Privilege • Time Any Disclosures • Whatever form that credit takes can vary widely. • 47 Quick Tips for Better Investigation Interviews • Objectivity • General demeanor during the interview • Questions • Develop the facts • Summarize and review (during the interview) • Note-taking during the interview • Signed statements • Hostile witness • Investigative Recommendations • Standard of proof • Conflicting evidence • Two (or more) conflicting stories • Who to believe? • Drawing a conclusion • The investigation report
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