San Francisco Professional Events List

Fundamentals of Conducting Internal Forensic Investigations - OAF220

May 01, 2017 - 08:30 AM - May 03, 03:00 PM
MIS Training Institute Holdings, Inc
MicroTek Computer Lab SF
655, Montgomery St

San Francisco,
ZIP: 94111

In this three-day seminar participants will learn how to conduct investigations using a systematic, logical, and comprehensive approach. The methodology followed can be applied to a wide variety of investigation types and organizations: internal and external, public/government or private sectors, large or small organizations.  

Participants will learn what differentiates an internal audit from a forensic investigation, the key legal requirements and essential elements of critical thinking to examine hypotheses and how to gather relevant evidence, and arrive at accurate conclusions. This course uses examples of actual case events to illustrate the concepts. Then through case studies and exercises, participants will practice the skills acquired and develop plans to conduct investigations, including the preparation of interrogation questions, the identification of relevant documents, proper documentation techniques, and reporting.   

Participants will leave this seminar with a solid understanding of what is required when there is a violation related to: company/professional code, corruption, fraud, customer/competitor interaction, employment law, environmental health and safety, misuse of assets/information, personnel management and employee conduct. 

Prerequisites: None
Advance Preparation: None 
Learning Level: Intermediate
Field: Auditing


Who Should Attend

Financial, Operational, Information Technology Auditors, and Human Resource Professionals

CPEs: 24
LEVEL: Basic


1. Corporate Governance
• Developing Corporate Policy
• Requirements for Public Companies
• Requirements for Ethics Hotlines
• Cooperation, self-reporting, prior compliance practices and aggravating factors

2. Forensic Investigations
• What constitutes a forensic investigation
• Understanding sources of tips and complaints
• The role of external sources
• Differences between Forensic Investigations and Internal Audits

3. Methodology
• Conducting an Investigation using the Scientific Experimentation (Case Study) Approach
• Categorize and Structure Allegations and/or Complaints
• Understand Scientific Logic
• Data Gathering Techniques, Securing Data and What to Look for

4. Critical Thinking and Reasoning
• Understand the different types of reasoning 
• Formulate an Initial Hypothesis/Theory
• Testing the Hypothesis/Theory by Gathering Evidence
• Understand the Elements of Proof
• Drawing Conclusions/Inferences to Support or Negate the Theory

5. Investigations
• Covert and overt investigations
• Team composition, timeline and the importance of responsiveness 
• Organizational risks and ways to minimize negative outcomes

6. Legal Parameters
• Requirements on Preservation of Data
• Practical Considerations when taking interview notes
• Witness protection
• Private vs. public sector

7. Evidence
• Sources and types of evidence
• Relevance and Weight
• Direct vs. Circumstantial
• Electronic and other forms of documentary evidence (Authenticated)
• Document protection, custody, and retention

8. Credibility
• Witness statements and expert testimony
• Admissions
• Hearsay

9. Interviews and Interrogations
• Preparation and critical background information
• Developing effective questions
• Assessing veracity: Listening critically and the role of body language

10. Communicating Results
• Report Preparation
• Elements of reports
• The confirmatory memorandum
• Internal vs. external communications

Event Categories
Keywords: fun, environment, Financial , Fun , government , Health , learn, Learning , Management , methodolog


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