Investigative Team


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Investigative Team

  1. 1. Investigative Team <ul><li>In Private Enterprise </li></ul><ul><li>Differs from Criminal Investigation </li></ul><ul><ul><li>4th amendment does not apply </li></ul></ul><ul><ul><li>No arrest is imminent </li></ul></ul><ul><ul><li>Many internal considerations involved </li></ul></ul><ul><ul><li>Ultimate goal may differ </li></ul></ul><ul><ul><ul><li>Mitigate losses </li></ul></ul></ul><ul><ul><ul><li>Employee termination </li></ul></ul></ul><ul><ul><ul><li>Protect company assets </li></ul></ul></ul>
  2. 2. Assemble the Team <ul><li>An investigative team should be assembled as early as possible in an investigation </li></ul><ul><li>Investigative team and search teams often consist of the same personel with a few exceptions </li></ul><ul><li>In addition to trained investigative personnel, the team should consist of the following personnel for numerous reasons </li></ul>
  3. 3. Security: (at the company) <ul><li>&quot;For obvious reasons” </li></ul><ul><ul><li>Potential litigation </li></ul></ul><ul><ul><li>Potential losses </li></ul></ul><ul><ul><li>Unwanted Publicity </li></ul></ul><ul><ul><li>Moral </li></ul></ul><ul><ul><li>Hamper the Investigation </li></ul></ul><ul><ul><li>? </li></ul></ul>
  4. 4. Human Resources: <ul><li>Employee issues may arise out of your investigation . </li></ul>
  5. 5. H&R Considerations <ul><li>Some companies require their H/R personnel to be involved in internal investigations of their employees. </li></ul><ul><li>In most cases H/R is required to protect or look out for the employee interest. </li></ul><ul><li>If the employee is going to be suspended/ terminated it will usually involve H/R. </li></ul>
  6. 6. Legal department: <ul><li>Legal issues dealing with employee rights </li></ul><ul><li>Protecting the civil interests of the company </li></ul><ul><li>Avoiding (minimizing) potential lawsuits </li></ul><ul><li>Coordination of press releases or related issues </li></ul>
  7. 7. Keep upper management appraised <ul><li>usually through H/R </li></ul><ul><li>or Legal </li></ul>
  8. 8. Company liability issues <ul><li>Upper or Senior Management: </li></ul><ul><li>Money issues may arise during investigation. </li></ul><ul><li>Without them on your side you may not have a case. Investigative cost reimbursement? </li></ul><ul><li>Upper management decides to report or not to report the crime. Be proactive </li></ul>
  9. 9. Identify company policy issue's <ul><li>Remember that upper management can help your case tremendously if they are on your side. </li></ul><ul><li>Communication is the key to this relationship. </li></ul>
  10. 10. Example of Investigation Involving Significant Policy Issues <ul><li>theft of Proprietary Information </li></ul><ul><li>Are documents containing the information marked &quot;proprietary or confidential ?&quot; </li></ul><ul><li>Is there a method that the company uses to color code or identify it's proprietary information? </li></ul><ul><li>Are these documents marked on every page? </li></ul>
  11. 11. Theft of Proprietary Information <ul><li>Does the company have a policy in place as to who receives or should have such documents in their possession. &quot;Proprietary information&quot; </li></ul><ul><li>Non disclosure forms signed by employees ? </li></ul><ul><li>What are the company's procedures of disclosure ? </li></ul>
  12. 12. Theft of Proprietary Information <ul><li>Is there someone responsible for reviewing releases of information to the public? Reviewing the information to insure it's not trade secrets. </li></ul><ul><li>Are employee's allowed to take proprietary information home? </li></ul>
  13. 13. Theft of Proprietary Information <ul><li>Has the employee been told that they cannot disclose company information to competitors or to the public? (by whom) </li></ul><ul><li>What is this information worth? </li></ul>
  14. 14. Theft of Proprietary Information <ul><li>What is discussed when an employee leaves the company regarding </li></ul><ul><li>Proprietary information? Does the exit interview cover proprietary information? </li></ul><ul><li>Are the employees reminded or given memos or updates regarding security or release of information. </li></ul><ul><li>Are signs posted in the company regarding security or protection of proprietary information. </li></ul>
  15. 15. BACKGROUND INFORMATION <ul><li>What is the type of proprietary information? </li></ul><ul><li>How is it used? </li></ul><ul><li>What tangible items contain the information? (different types of storage info) </li></ul><ul><li>Could a competitor improve their product with this information? </li></ul>
  16. 16. BACKGROUND INFORMATION <ul><li>How was it stolen or accessed? </li></ul><ul><li>Via telephone lines i.e.: internet or other computer software? </li></ul><ul><li>From another computer inside of company? </li></ul><ul><li>Log on Log off information (passwords) ? Most companies keep log on logs </li></ul><ul><li>. Times and dates are important. </li></ul>
  17. 17. BACKGROUND INFORMATION <ul><li>Is there a systems person that can explain in plain english how this crime happened? </li></ul><ul><li>Is the information protected from the outside? (fire wall) </li></ul><ul><li>How often are the access passwords changed? </li></ul><ul><li>Is there a policy in place about sharing or exchanging passwords? </li></ul>
  18. 18. BACKGROUND INFORMATION <ul><ul><li>Which employee's have normal access to the information? </li></ul></ul><ul><ul><li>What is the value? </li></ul></ul><ul><ul><li>Time spent in research, </li></ul></ul><ul><ul><li>ie: Man hours R/D? </li></ul></ul><ul><ul><li>Additional costs? </li></ul></ul><ul><ul><li>Marketing value? </li></ul></ul><ul><ul><li>When was the information developed? </li></ul></ul><ul><ul><li>Who developed it? (group) (Single person) </li></ul></ul><ul><ul><li>Was the information licensed to anyone or any company? </li></ul></ul>
  19. 19. The End