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Webinar - Working with Whistleblowers and confidential Informants
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Webinar - Working with Whistleblowers and confidential Informants

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Tips for handling whistleblower complaints and working with whistleblowers and confidential informants in workplace investigations.

Tips for handling whistleblower complaints and working with whistleblowers and confidential informants in workplace investigations.

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Webinar - Working with Whistleblowers and confidential Informants Webinar - Working with Whistleblowers and confidential Informants Presentation Transcript

  • Working with Whistleblowers Tim Reddick, Managing Director, Desert Thunder Investigations
  • Tim Reddick, CPP, PCI, CFE 25+ years of investigative experience Extensive education background including Masters in Criminology and FBI National Academy Certified Fraud Examiner of the Year, 2011 ASIS International Professional Certification Board International Award of Excellence, 2007 ASIS International Investigations Council Member Life Member, International Association of Chief of Police
  • Overview • Definitions • Why are Whistleblowers Important? • Policy • Finding and Vetting • Handling Issues • Protecting Whistleblowers/sources • Incentives
  • Definitions • Whistleblower – Numerous laws and definitions – Expansion under Lawson v FMR LLC – Dept of Homeland Security v. MacLean • Cooperating Witness • Confidential Informant
  • Initial Detection of Occupational Frauds 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Median Loss and Median Duration by Detection Method 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Impact of Hotlines 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Frequency of Anti-Fraud Controls 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Detection Method by Size of Victim Organization 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Frequency of Anti-Fraud Controls by Size of Victim Organization 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Quote “If you fail to plan, you plan to fail.” Benjamin Franklin
  • Policy • Fully vetted PRIOR to needed • Include How to document – Maintain Whistleblower protections – CI credibility • Know and Follow Policy • Fully Document Exceptions • Include Legal issues in policy (criminal activity of WB/CI, false info from CI, etc.)
  • Policy Issues • Other policies that may apply (FBI FCPA Example-not recording all conversations between CI and defendant) • Other Agency, no policy on working with CI’s, Whistleblowers or recording of conversations but comprehensive policy on what you can or can’t wear on casual Fridays • Note on recording (Controversial, Legal Issues, Include in Policy)
  • Finding WB/CI/CW • Encouraging Reporting – Cultural obstacles • Hotlines – 24 hour access – Live operator – Follow-up Mechanism • Who could be a WB/CI/CW?
  • Source of Tips 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Others to Consider “Any person an investigator comes into contact with during the course of an examination is a potential informant”*  Administrative Assistants  Bookkeepers  Ex-spouses, Ex-girlfriends/boyfriends  Doorman  Mail carriers  Janitors  Security Guards  Servers  Merchants *Informants & Whistleblowers, The good, the bad and the ugly. Martin T. Biegelman, CFE, ACFE Fellow, CCEP, Fraud Magazine, March/April 2014
  • Vetting and Assessment • Background • Previous experience • In a position to know or have access? • Expertise • Motivations
  • Common Motivations  Doing what is right  Honest Person  Repentance  Elimination of Competition  Money or reward  Police/Investigation Buffs  Trust Relationship with Investigator  Eccentrics  Revenge  Jealousy  Fear of Jail  Resolution of Criminal Charge  Working off a case  Good Citizenship  Ordinary Citizen  Doing civic duty
  • Handling Issues • Whistleblower complaints – “Procedurally Fair” • Whistleblower retaliation (and Trends) • Communications between Investigator and WB/CI • Independent Verification
  • Independent Verification Use independent sources of information Complete honesty Look for intentional withholding of information Primary purpose is to assess truthfulness and reliability
  • Handling Issues (Cont’d) • Criminal involvement or misconduct by WB/CI • Pitfalls
  • Some Pitfalls  Making promises you can’t keep  Lying to the WB/CI  Allowing WB/CI to do illegal acts  Not maintaining professional relationship  Personal entanglements with WB/CI  Everything you say is subject to Review  Document, Document, Document  Loss of Objectivity  WB/CI’s may say anything  Failure to test information  Not delineating specific CI latitude (what they can and can’t do)  Continuing to use an unreliable WB/CI  Allowing WB/CI to control investigation  Disclosing other cases or witnesses
  • What Makes a Story? PEOPLE ACTIVITIES OBJECTS LOCATIONS TIME
  • Protecting Sources
  • Protecting Sources • Can they remain anonymous? • Team discussions and outside agencies • During investigation and interviews • Methods of communication • Tasking and collecting information • Reports • Follow-on legal proceedings
  • Copyright 2003 Kevin Duffy (www.kenvinduffy.net). Used with permission.
  • Incentives Should companies offer incentives?
  • Incentives “Having a hotline, having fraud training for employees and, to some extent, having rewards for whistleblowers, are critical aspects of an anti-fraud program.” - John Warren, J.D., CFE, ACFE Vice President and General Counsel •Payments to WB/CI’s – 26% reduction in median loss and – 33% reduction in median duration •Qui Tam incentives
  • Frequency of Anti-Fraud Controls 2014 Report to the Nations on Occupational Fraud and Abuse. Copyright 2014 by the Association of Certified Fraud Examiners, Inc.
  • Questions?
  • Thank-you for participating If you have any questions, please feel free to contact: Tim Reddick, CPP, PCI, CFE Managing Director, Desert Thunder Investigations Phone: 602-341-5121 dti@usa.net Joe Gerard, Vice President Marketing and Sales j.gerard@i-sight.com