January 7 - 9, 2019
2019 January Internal Investigations Compliance Workshop
San Diego, CA, United StatesAgenda
Monday, January 7
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08:00 AM - 08:30 AMContinental Breakfast (included)
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08:30 AM - 10:00 AMIntroductory Concepts for Investigations Albert Gagne, Former Director, Ethics & Compliance, Retired - Ethics of an investigation
- Procedural fairness
- Confidentiality -
08:30 AM - 10:00 PMUnderstanding and Assessing the Report Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Issue spotting the report
- Interviewing the reporter
- Is an investigation needed? -
10:00 AM - 10:15 AMNetworking Break
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10:15 AM - 12:00 PMBreakout Sessions#S02Planning the Investigation Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.
- Determining the applicable standard
- Framing the investigation allegation
- Determining the investigation strategy
#S02-2Gathering Documentary Evidence Albert Gagne, Former Director, Ethics & Compliance, Retired- Getting your paper trail in order
- Utilizing documents for intelligence
- Managing the relevant documents
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12:00 PM - 01:00 PMNetworking Lunch (included)
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01:00 PM - 03:00 PMConducting Interviews Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Psychology of communication
- How to prepare for the interview
- Types of interview questions
- Tips for effective interviewing
- Assessing credibility -
03:00 PM - 03:15 PMNetworking Break
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03:15 PM - 04:00 PMInterviewing the Subject of the Investigation Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Planning for the interview
- Good cop / bad cop or both?
- International issues and concerns -
04:00 PM - 05:00 PMExercise: A Day in the Life of an Internal Investigator Albert Gagne, Former Director, Ethics & Compliance, Retired 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.
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05:00 PM - 06:00 PMNetworking Reception
Tuesday, January 8
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08:00 AM - 08:30 AMContinental Breakfast (included)
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08:30 AM - 09:00 AMInvestigations Roundtable Gerry Zack, CEO, SCCE & HCCA
- Discuss your most pressing questions
- Share best practices
- Collaborate on solutions to the challenges internal investigators are facing in their companies -
09:00 AM - 10:00 AMEvidence and the legal elements of an investigation Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Understanding evidence concepts
- The burdens of proof and persuasion -
10:00 AM - 11:00 AMInvestigation Pitfalls and How to Avoid Them Albert Gagne, Former Director, Ethics & Compliance, Retired
- Addressing privacy and confidentiality concerns
- Dealing with represented employees
- Understanding the attorney-client privilege
- Common situations investigators encounter -
11:00 AM - 11:15 AMNetworking Break
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11:15 AM - 12:15 PMReaching a Conclusion and Root Cause Analysis Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Evaluating your proof
- Finding the truth
- Considering factors related to the misconduct -
12:15 PM - 01:15 PMNetworking Lunch (included)
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01:15 PM - 03:15 PMBreakout Sessions#S10Preparing the Investigation Report: Part 1 Albert Gagne, Former Director, Ethics & Compliance, Retired
- Key elements of a good report
- Tailoring the report to the specific audience
- Practical tips for report writing
#S10-2Preparing the Investigation Report: Part 2 Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.Workshop exercise / case study in report writing
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03:15 PM - 03:30 PMNetworking Break
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03:30 PM - 04:15 PMReporting Your Findings Albert Gagne, Former Director, Ethics & Compliance, Retired - Reporting to the Board, management, and employees
- Communicating with stakeholders
- Reporting to law enforcement and other agencies -
04:15 PM - 05:00 PMWhat Should You Do? Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.
- 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
Wednesday, January 9
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08:00 AM - 08:30 AMContinental Breakfast (included)
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08:30 AM - 09:00 AMDocumentation Issues Albert Gagne, Former Director, Ethics & Compliance, Retired - 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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08:30 AM - 04:45 PMBreakout Sessions#POSTMPost Workshop#POSTNMPost Workshop
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09:00 AM - 10:00 AMUse of Third-Party Assistance in Investigations Gerry Zack, CEO, SCCE & HCCA - When to outsource certain elements of investigations - Scope and legal considerations - Managing third party service providers
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10:00 AM - 11:00 AMUse of Forensic Data Analytics in Investigations Gerry Zack, CEO, SCCE & HCCA - Using analytics to assess allegations - Applications of forensic data analytics during an investigation - Tools and techniques
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11:00 AM - 11:15 AMNetworking Break
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11:15 AM - 12:15 PMRoot Cause Analysis Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Do more than react to the misconduct - Understand the contributing factors that led to misconduct - Prevent recurrences by identifying weaknesses in internal controls
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12:15 PM - 01:15 PMNetworking Lunch (included)
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01:15 PM - 03:15 PMWhy Should the Boss Listen to Me? Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - How to get a seat at the table - How to control the message to your boss - Become a trusted advisor
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03:15 PM - 04:15 PMLessons Learned Albert Gagne, Former Director, Ethics & Compliance, Retired - 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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04:15 PM - 04:45 PMWrap-up with Q&A Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. Albert Gagne, Former Director, Ethics & Compliance, Retired Gerry Zack, CEO, SCCE & HCCA - Provide an opportunity for attendees to ask questions and provide feed back