private eye 101: investigations principles for process owners: compliance and ethics institute 2009
DESCRIPTION
This presentation includes the following topics: learning about investigations best practices, learning about how to protect yourself when your investigations comes under scrutiny or allegations of improper conduct, and learning about how to integrate the investigation with the larger business goals of your company.TRANSCRIPT
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Private Eye 101: Private Eye 101: Investigations Principles for Investigations Principles for
Process OwnersProcess Owners
Presented by Meric Craig BlochPresented by Meric Craig Bloch
VP – Compliance and Corporate VP – Compliance and Corporate InvestigationsInvestigations
Adecco Group North AmericaAdecco Group North America
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Private Eye 101Private Eye 101
Introductory thoughtsIntroductory thoughts
•Good investigations always help the bottom line.Good investigations always help the bottom line.
•Be sure you can defend how the investigation was Be sure you can defend how the investigation was conduced.conduced.
•Every organization needs a standard investigations Every organization needs a standard investigations protocol.protocol.
•The process should be fair and appear fair.The process should be fair and appear fair.
•How do investigations go astray?How do investigations go astray?
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Private Eye 101Private Eye 101
Key purposes for your investigationsKey purposes for your investigations
•You must determine the You must determine the truetrue story as well story as well as the as the backback story. story.
•Your findings must establish accountability.Your findings must establish accountability.
•Your findings must maximize the decision-Your findings must maximize the decision-making process for the business people.making process for the business people.
•Your findings must help the bigger needs of Your findings must help the bigger needs of the business.the business.
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Private Eye 101Private Eye 101
Discovering workplace problemsDiscovering workplace problems
•Gather your reports from multiple sources.Gather your reports from multiple sources.
•Once someone knows of the problem, the Once someone knows of the problem, the company legally knows.company legally knows.
•You need to determine whether an You need to determine whether an allegation is minor. Don’t assume it’s minor.allegation is minor. Don’t assume it’s minor.
•There are risks if you don’t investigate. There are risks if you don’t investigate. There are risks if you do.There are risks if you do.
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Private Eye 101Private Eye 101
Interviewing the reporterInterviewing the reporter
•Make sure you understand the report Make sure you understand the report before making the investigation plan.before making the investigation plan.
•Accept the reporter’s information, not their Accept the reporter’s information, not their characterizations.characterizations.
•Manage the reporter’s expectations. And Manage the reporter’s expectations. And never say thank you.never say thank you.
•Start considering motives and the back Start considering motives and the back story.story.
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Private Eye 101Private Eye 101
Making the investigation planMaking the investigation plan
•Determine whether you have probable Determine whether you have probable cause to begin an investigation.cause to begin an investigation.
•What is the precise allegation you are What is the precise allegation you are investigating and what exactly do you need investigating and what exactly do you need to know?to know?
•Who do you interview and in what order?Who do you interview and in what order?
•What documents do you think you will What documents do you think you will need?need?
•Are interim steps needed to “stop the Are interim steps needed to “stop the action?”action?”
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Private Eye 101Private Eye 101
Conducting workplace interviewsConducting workplace interviews
•Have a standard set of witness instructions Have a standard set of witness instructions and use them.and use them.
•Interview witnesses with the “funnel Interview witnesses with the “funnel method.”method.”
•Make a list of topics, not questions.Make a list of topics, not questions.
•Material facts must be corroborated, and Material facts must be corroborated, and contradictions should be resolved.contradictions should be resolved.
•Phone interviews are a fact of life.Phone interviews are a fact of life.
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Private Eye 101Private Eye 101
Interrogating the accused personInterrogating the accused person
•An interrogation is fundamentally different An interrogation is fundamentally different than an interview.than an interview.
•Questions are specific and leading.Questions are specific and leading.
•The implicated person has a right to The implicated person has a right to respond.respond.
•There are risks and rewards to any There are risks and rewards to any interrogation.interrogation.
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Private Eye 101Private Eye 101
Getting the right documentsGetting the right documents
•You don’t want or need every shred of You don’t want or need every shred of paper.paper.
•Every document has a different paper trail.Every document has a different paper trail.
•Emails are an investigator’s best friend.Emails are an investigator’s best friend.
•Documents play a supporting role to Documents play a supporting role to corroborate facts or pin down details.corroborate facts or pin down details.
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Private Eye 101Private Eye 101
Evaluating the evidenceEvaluating the evidence
•How do you know when you are done?How do you know when you are done?
•Review the original scope of the Review the original scope of the investigation and determine whether each investigation and determine whether each element has been satisfied.element has been satisfied.
•The burden of proof is preponderance of The burden of proof is preponderance of evidence. There is a risk to make it higher.evidence. There is a risk to make it higher.
•Are you sure there is no tip if the iceberg?Are you sure there is no tip if the iceberg?
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Private Eye 101Private Eye 101
Evaluating the evidenceEvaluating the evidence
•How do you know whom to believe?How do you know whom to believe?
•Don’t be afraid to get a second opinion.Don’t be afraid to get a second opinion.
•Recommending what should happen to the Recommending what should happen to the implicated person.implicated person.
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Private Eye 101Private Eye 101
Preparing investigation documentsPreparing investigation documents
•Prepare interviews memos. Don’t drop Prepare interviews memos. Don’t drop notes in a file.notes in a file.
•Final reports must reflect your Final reports must reflect your organization’s defined needs.organization’s defined needs.
•Format doesn’t matter if the documents Format doesn’t matter if the documents contain the right elements.contain the right elements.
•Document creation has its risks.Document creation has its risks.
•All documents generated are likely to be All documents generated are likely to be discoverable in a lawsuit.discoverable in a lawsuit.
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Private Eye 101Private Eye 101
After the investigation concludesAfter the investigation concludes
•Consider a readout to the affected Consider a readout to the affected department.department.
•The reporter must be contacted at the The reporter must be contacted at the end.end.
•Participate in the remediation process.Participate in the remediation process.
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Questions, Anyone?Questions, Anyone?
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An Insider’s Guide…An Insider’s Guide…
Visit Visit www.xlibris.comwww.xlibris.com to to order a copy of the order a copy of the book!book!
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Contact InformationContact Information
Meric Craig Bloch Meric Craig Bloch
Vice President – Compliance Vice President – Compliance
and Corporate Investigations and Corporate Investigations
Adecco Group North AmericaAdecco Group North America
(973) 768-3756(973) 768-3756
[email protected]@adeccona.com