June 17 - 19, 2019
2019 June Internal Investigations Compliance Workshop
Orlando, FL, United StatesAgenda
Monday, June 17
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08:00 AM - 08:30 AMRegistration and Continental Breakfast (included)
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09:00 AM - 09:45 AMIntroductory Concepts for Investigations Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Ethics of an investigation - Procedural fairness - Confidentiality
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09:45 AM - 10:30 AMUnderstanding and Assessing the Report Albert Gagne, Former Director, Ethics & Compliance, Retired - Issue spotting the report - Interviewing the reporter - Is an investigation needed?
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10:00 AM - 10:15 AMNetworking Break
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10:45 AM - 12:30 PMBreakout Sessions#S02JPlanning the Investigation Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.
- Determining the applicable standard
- Framing the investigation allegation
- Determining the investigation strategy
Breakout#S02J-2Gathering Documentary Evidence Albert Gagne, Former Director, Ethics & Compliance, Retired- Getting your paper trail in order
- Utilizing documents for intelligence
- Managing the relevant documents
Breakout -
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
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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
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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, June 18
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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 Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Discuss your most pressing questions - Share best practices - Collaborate on solutions to the challenges internal investigators are facing in their companies
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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
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10:15 AM - 11:15 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
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11:00 AM - 11:15 AMNetworking Break
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11:15 AM - 12:15 PMReaching a Conclusion Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. - Evaluating your proof - Finding the truth - Considering factors related to the misconduct
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12:15 PM - 01:15 PMNetworking Lunch (included)
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01:15 PM - 02:15 PMPreparing the Investigation Report 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 - Workshop exercise / case study in report writing
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02:15 PM - 03:00 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
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03:15 PM - 03:30 PMNetworking Break
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03:15 PM - 04:00 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
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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?
Wednesday, June 19
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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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09:00 AM - 10:00 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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10:15 AM - 12:00 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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11:00 AM - 11:15 AMNetworking Break
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01:00 PM - 02:00 PMUse 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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02:00 PM - 03:00 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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04:15 PM - 04:45 PMWrap-up with Q&A Albert Gagne, Former Director, Ethics & Compliance, Retired - Provide an opportunity for attendees to ask questions and provide feed back
Agenda subject to change.