The document provides guidance for managers conducting investigations as part of disciplinary and grievance processes. It discusses determining the appropriate investigator, timelines for investigations, interviewing witnesses, gathering evidence, reaching conclusions, and writing investigation reports. Key points covered include considering an investigator's experience and access to information, objectively justifying investigation timelines, explaining the purpose of interviews, allowing accompaniment during interviews, accurately capturing interview content, evaluating different types of evidence, and reviewing evidence objectively to reach conclusions.
Effective Fraud Investigations: 10 Keys to a Successful OutcomeCase IQ
A fraud investigation determines whether some scam has occurred and gathers evidence both to prove improper conduct and identify weaknesses in internal controls. A fraud investigation tends to be forensic in nature, emphasizing documentation rather than mostly witness interviews. And, of course, these investigations look to prove criminality as well as violations of internal policies.
But a fraud investigation is still a workplace investigation. The same techniques, best practices and investigator boundaries apply. A thorough and fair investigation is always more important than a quick one, and the same basic rules should apply to any type of workplace investigation.
The evidence gathering may be different, but the core of the investigation – the interview process, conclusions and reporting – should follow standard best practices.
Join Meric Bloch, Certified Fraud Examiner, expert investigator and trainer, as he outlines the 10 keys to conducting a successful fraud investigation.
The webinar will cover:
Planning the investigation
Fundamentals of evidence gathering
Interviewing the involved parties
Drawing a conclusion
Writing an effective fraud investigation report
The PEACE Model of Investigative InterviewingDaren Jay
A brief presentation covering the PEACE Model framework used by a number of jurisdictions around the world to conduct ethical interviews with suspects, victims and witnesses/
Investigation Interview Planning: What to Do Before the InterviewCase IQ
This document provides guidance on planning and conducting effective interviews. It emphasizes the importance of thorough preparation, including researching the interview subject, strategizing the location and participants, and developing an outline of topics and questions. Proper planning is key, as interviews require flexibility to adapt based on the subject's responses. The document also discusses different interview structures and techniques, such as using a scripted or outline approach. Overall, the main points are that preparation is vital for a successful interview, and the interviewer must listen carefully and think strategically in order to obtain truthful and useful information.
The document provides information on conducting incident investigations. It discusses the goal of investigations as determining why an incident occurred to prevent future occurrences. Key steps in the investigation process include: securing the scene, gathering evidence such as from witness interviews, analyzing the information, reporting results, and making recommendations. The document emphasizes proper initial response, collecting both environmental and situational factors, and applying a loss causation model to identify direct and indirect root causes. Legal requirements for reporting incidents are also reviewed.
The document discusses strategies for effective communication during organizational change. It emphasizes that change causes disruption and emotional reactions, so communication must meet both informational and emotional needs. Key strategies include developing clear messages and using trusted leaders as messengers to build understanding of decisions. Frequent, two-way communication through multiple channels is important to address concerns throughout the change process. Confidentiality and coordinating communications precisely are also vital to change success.
Surveys are used to gather standardized information from a sample of a population to describe trends, make inferences, and test hypotheses. Key considerations in planning a survey include defining objectives, sampling methodology, instrument design, and data collection methods. Common survey types include longitudinal, cross-sectional, and trend studies. Response rates can be improved through clear instructions, incentives, and follow-ups. Each data collection method, such as postal, interview, telephone, or internet-based surveys, has advantages and disadvantages related to representation, bias, and feasibility.
Effective Fraud Investigations: 10 Keys to a Successful OutcomeCase IQ
A fraud investigation determines whether some scam has occurred and gathers evidence both to prove improper conduct and identify weaknesses in internal controls. A fraud investigation tends to be forensic in nature, emphasizing documentation rather than mostly witness interviews. And, of course, these investigations look to prove criminality as well as violations of internal policies.
But a fraud investigation is still a workplace investigation. The same techniques, best practices and investigator boundaries apply. A thorough and fair investigation is always more important than a quick one, and the same basic rules should apply to any type of workplace investigation.
The evidence gathering may be different, but the core of the investigation – the interview process, conclusions and reporting – should follow standard best practices.
Join Meric Bloch, Certified Fraud Examiner, expert investigator and trainer, as he outlines the 10 keys to conducting a successful fraud investigation.
The webinar will cover:
Planning the investigation
Fundamentals of evidence gathering
Interviewing the involved parties
Drawing a conclusion
Writing an effective fraud investigation report
The PEACE Model of Investigative InterviewingDaren Jay
A brief presentation covering the PEACE Model framework used by a number of jurisdictions around the world to conduct ethical interviews with suspects, victims and witnesses/
Investigation Interview Planning: What to Do Before the InterviewCase IQ
This document provides guidance on planning and conducting effective interviews. It emphasizes the importance of thorough preparation, including researching the interview subject, strategizing the location and participants, and developing an outline of topics and questions. Proper planning is key, as interviews require flexibility to adapt based on the subject's responses. The document also discusses different interview structures and techniques, such as using a scripted or outline approach. Overall, the main points are that preparation is vital for a successful interview, and the interviewer must listen carefully and think strategically in order to obtain truthful and useful information.
The document provides information on conducting incident investigations. It discusses the goal of investigations as determining why an incident occurred to prevent future occurrences. Key steps in the investigation process include: securing the scene, gathering evidence such as from witness interviews, analyzing the information, reporting results, and making recommendations. The document emphasizes proper initial response, collecting both environmental and situational factors, and applying a loss causation model to identify direct and indirect root causes. Legal requirements for reporting incidents are also reviewed.
The document discusses strategies for effective communication during organizational change. It emphasizes that change causes disruption and emotional reactions, so communication must meet both informational and emotional needs. Key strategies include developing clear messages and using trusted leaders as messengers to build understanding of decisions. Frequent, two-way communication through multiple channels is important to address concerns throughout the change process. Confidentiality and coordinating communications precisely are also vital to change success.
Surveys are used to gather standardized information from a sample of a population to describe trends, make inferences, and test hypotheses. Key considerations in planning a survey include defining objectives, sampling methodology, instrument design, and data collection methods. Common survey types include longitudinal, cross-sectional, and trend studies. Response rates can be improved through clear instructions, incentives, and follow-ups. Each data collection method, such as postal, interview, telephone, or internet-based surveys, has advantages and disadvantages related to representation, bias, and feasibility.
Accident investigation BY Muhammad Fahad Ansari 12IEEM14fahadansari131
The document provides an overview of accident investigation basics. It defines incidents and accidents, explaining that accidents are predictable and preventable events. It discusses why investigations should be conducted to prevent future incidents, identify hazards, and expose process deficiencies. The document outlines the key components of developing an accident investigation plan, including assembling an investigation kit, investigating incidents immediately, collecting facts, interviewing witnesses, and writing a report with conclusions and corrective actions. It also reviews Washington state requirements for reporting accidents to the Department of Labor and Industries.
This booklet covers Step 1 Capturing Information of the five-step documentation process (Step 1 – Capturing Information, Step 2 – Structuring Information, Step 3 – Presenting Information, Step 4 –Communicating Information, Step 5 – Storing and Maintaining Information). This booklet provides some basic tips, techniques, approaches and exercises for understanding and practicing how to capture information effectively.
To increase the effectiveness of the incident analysis in improving care, analysis can’t be addressed in isolation from incident management (the multitude of activities that take place before and after an incident). Three main topics will be covered in this module: the main steps in the incident management continuum; differentiating between incident analysis (focused on system improvement) and accountability reviews (focused on individual performance), and selecting an incident analysis method.
This document discusses how to efficiently manage meetings to avoid wasting time and money. It notes that 47% of working time is spent in meetings, with around 25% of total working time being wasted in unnecessary meetings. Both employees and employers incur costs from inefficient meetings, with an estimated 55 days per year being wasted. It provides tips for meeting organizers, such as only holding meetings when necessary, creating clear agendas, starting and ending on time, focusing on important topics first, summarizing discussions, assigning action items and responsibilities, and circulating minutes. The overall message is that meetings should be managed effectively to avoid waste and achieve goals.
The document provides an overview of interviews as a method of data collection. It discusses conceptions of interviews, purposes of interviews, types of interviews, planning interview procedures, and ethical issues. The key stages of interview research are identified as thematizing, designing, interviewing, transcribing, analyzing, verifying, and reporting. Guidance is provided on structuring questions, conducting interviews, anticipating problems, transcribing data, analyzing interviews, and verifying and reporting results.
Basicqualitytoolspresentationleanjourneyvjen 110917194351-phpapp01Md Jawed Akbar
This document provides an overview of problem solving and basic quality tools. It begins with an agenda outlining what will be covered, including what problem solving is, the PDCA problem solving methodology, and various problem solving tools. It then defines problems, problem solving, common and special causes. Various problem types like acute and chronic problems are described. The document outlines the PDCA cycle and provides examples of tools like brainstorming, cause and effect diagrams, flow charts, check sheets, scatter diagrams, and stratification. It emphasizes that effective problem solving is data-driven and these tools provide methods for analyzing data to identify and solve problems.
Week 3 additional information to help with interactiveLinda Foster
This document provides guidance for students to complete an interactive case study assignment. It outlines that the case study will include multiple choice questions that are automatically graded, so students should choose answers carefully. It also directs students to review helpful hints and complete a final project template after finishing the quiz. The document then gives directions for writing an introduction, describing the purpose and technical considerations of an assessment instrument, discussing validity, and including a conclusion paragraph and reference page for the final project.
This document provides tips for successful grant writing. It recommends carefully following all application instructions, keeping in mind that reviewers have a large workload. It suggests using visual elements like white space, bullets, and images to make the proposal appealing. The best ideas may come from combining different approaches or technologies. An effective abstract clearly outlines the overall challenge, specific challenge to be addressed, opportunity, advantages, aims, and evaluation of success. Specific aims state what will be achieved rather than how. The background, prior results, methods, budget, and other elements are also discussed.
The document discusses how cognitive biases can cause testers to miss bugs. It explains that people have two types of thinking: System 1 thinking is fast, intuitive, and prone to biases, while System 2 thinking is slower, more deliberate, and logical. Common biases that can affect testers include the representative bias, the curse of knowledge, the congruence bias, and the confirmation bias. The document recommends that testers employ more System 1 thinking through techniques like exploratory testing to leverage their intuition to find bugs. It also suggests test managers create an environment where testers feel comfortable using more System 1 thinking approaches.
This document provides guidance on facilitating a community scorecard (CSC) process. Strong facilitation is key to implementing an effective CSC. The facilitator must guide the discussion, enable participation, and create a conducive environment. The facilitation is broken into stages: opening dialogue, running performance criteria discussions, scoring, and an interface meeting. Throughout, the facilitator should listen, observe group dynamics, speak minimally but clearly, ensure participation and avoid bias. Proper preparation, notetaking, and handling of potential issues are also emphasized. The goal is to have an inclusive, impactful and sustainable process for community feedback and planning.
Career link intro to career link - section 1Ted Feller
This document provides information about Career Link, a program to help participants explore careers and job readiness. It includes an introduction to Career Link, an outline of the schedule over several days, expectations of participants to be engaged and take notes, and questions to consider about careers and soft skills. The document also discusses communication styles and lists soft skills that are important for careers.
Insights and Trends from 2021 FDA GCP Inspections.pptxMMS Holdings
The document summarizes insights and trends from the FDA's 2021 GCP inspections. It provides an overview of total inspections, top 483 observations for drugs and devices, and warning letters. Key findings include COVID-19 reducing inspections and alternative tools being used, top drug and device 483 observations relating to documentation and procedures, and most warning letters issued in March and October relating to drugs. It also discusses anticipated changes from the draft ICH E6(R3) guideline and trends for 2022, such as a potential increase in enforcement and focus on data security, quality controls, and corrective actions.
how to conduct effective meetings by Sani GandhiSunny Gandhi
This document provides guidance on how to conduct effective meetings. It discusses determining if a meeting is necessary, preparing an agenda in advance, managing the meeting, following up with action items and minutes. Tips are provided for ensuring appropriate attendees, facilitating participation, addressing different personality types, taking and distributing minutes. Overall, the document emphasizes the importance of preparation, active management, and follow up for meetings to be productive.
Investigation Report Writing: A Nuts and Bolts ApproachRandall Tam
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
Investigation Report Writing: A Nuts and Bolts ApproachCase IQ
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
This document provides guidance on conducting workplace investigations and disciplinary procedures. It discusses investigating allegations, including appointing an impartial investigating officer, considering suspension, and conducting interviews. The investigation should establish facts, not assume guilt, and conclude with a report summarizing options. For disciplinary hearings, the document outlines preparing by reviewing evidence, establishing an agenda, and ensuring procedural fairness. The goal is providing necessary information to make informed decisions while treating employees fairly.
This document discusses various information gathering tools for system analysis including review of literature, on-site observation, interviews, and questionnaires. It provides details on each tool such as reviewing procedures manuals and forms to understand current processes, observing users on-site to understand real systems, conducting interviews to understand perceptions and feelings, and distributing questionnaires to gather information from many people simultaneously. The key is to use these tools accurately and methodically to acquire information with minimal disruption to users.
Best Practices for Workplace Investigations.pdfLisa Bell
Discover top workplace investigation practices for HR and managers. Expert advice on resolving issues, ensuring privacy, and maintaining legal compliance.
Documenting Your Workplace Investigation: Protect Your Case and Your Organiza...Case IQ
Investigations depend on collecting and analyzing evidence. Documentation is an important part of any workplace investigation. It is used to record who said what and when, to outline issues and investigation steps, to synthesize evidence and ensure nothing falls through the cracks. The final report is where all the pieces come together. But many investigators aren’t sure how to best document their investigations. They write notes without knowing what to record and what to leave out and cobble together reports with no plan or organization.
Join Meric Bloch as he outlines best practices for documenting workplace investigations.
Caveon Webinar Series - Exam Integrity Investigations, An Introduction to th...Caveon Test Security
In today’s high-speed, electronically connected society, exam integrity incidents occur more frequently and present greater risks to test sponsors and their examinations. When incidents occur that threaten the integrity of your exam, you must have a comprehensive investigation plan in place that your team members understand and are prepared to execute swiftly and thoroughly.
Thorough investigations of exam integrity violations are needed in response to a wide range of possible exam integrity incidents; from individual cheating, to collusion, to item harvesting. It’s important to have personnel trained and ready to respond with effective strategies to (1) detect and mitigate exam integrity vulnerabilities and (2) conduct internal exam integrity investigations when incidents occur.
Join our hosts, Marc Weinstein and Ben Mannes of Caveon Investigation Services as they discuss why a sound investigation plan is necessary, what to consider when an investigation is conducted, and why having the right resources is so important.
Accident investigation BY Muhammad Fahad Ansari 12IEEM14fahadansari131
The document provides an overview of accident investigation basics. It defines incidents and accidents, explaining that accidents are predictable and preventable events. It discusses why investigations should be conducted to prevent future incidents, identify hazards, and expose process deficiencies. The document outlines the key components of developing an accident investigation plan, including assembling an investigation kit, investigating incidents immediately, collecting facts, interviewing witnesses, and writing a report with conclusions and corrective actions. It also reviews Washington state requirements for reporting accidents to the Department of Labor and Industries.
This booklet covers Step 1 Capturing Information of the five-step documentation process (Step 1 – Capturing Information, Step 2 – Structuring Information, Step 3 – Presenting Information, Step 4 –Communicating Information, Step 5 – Storing and Maintaining Information). This booklet provides some basic tips, techniques, approaches and exercises for understanding and practicing how to capture information effectively.
To increase the effectiveness of the incident analysis in improving care, analysis can’t be addressed in isolation from incident management (the multitude of activities that take place before and after an incident). Three main topics will be covered in this module: the main steps in the incident management continuum; differentiating between incident analysis (focused on system improvement) and accountability reviews (focused on individual performance), and selecting an incident analysis method.
This document discusses how to efficiently manage meetings to avoid wasting time and money. It notes that 47% of working time is spent in meetings, with around 25% of total working time being wasted in unnecessary meetings. Both employees and employers incur costs from inefficient meetings, with an estimated 55 days per year being wasted. It provides tips for meeting organizers, such as only holding meetings when necessary, creating clear agendas, starting and ending on time, focusing on important topics first, summarizing discussions, assigning action items and responsibilities, and circulating minutes. The overall message is that meetings should be managed effectively to avoid waste and achieve goals.
The document provides an overview of interviews as a method of data collection. It discusses conceptions of interviews, purposes of interviews, types of interviews, planning interview procedures, and ethical issues. The key stages of interview research are identified as thematizing, designing, interviewing, transcribing, analyzing, verifying, and reporting. Guidance is provided on structuring questions, conducting interviews, anticipating problems, transcribing data, analyzing interviews, and verifying and reporting results.
Basicqualitytoolspresentationleanjourneyvjen 110917194351-phpapp01Md Jawed Akbar
This document provides an overview of problem solving and basic quality tools. It begins with an agenda outlining what will be covered, including what problem solving is, the PDCA problem solving methodology, and various problem solving tools. It then defines problems, problem solving, common and special causes. Various problem types like acute and chronic problems are described. The document outlines the PDCA cycle and provides examples of tools like brainstorming, cause and effect diagrams, flow charts, check sheets, scatter diagrams, and stratification. It emphasizes that effective problem solving is data-driven and these tools provide methods for analyzing data to identify and solve problems.
Week 3 additional information to help with interactiveLinda Foster
This document provides guidance for students to complete an interactive case study assignment. It outlines that the case study will include multiple choice questions that are automatically graded, so students should choose answers carefully. It also directs students to review helpful hints and complete a final project template after finishing the quiz. The document then gives directions for writing an introduction, describing the purpose and technical considerations of an assessment instrument, discussing validity, and including a conclusion paragraph and reference page for the final project.
This document provides tips for successful grant writing. It recommends carefully following all application instructions, keeping in mind that reviewers have a large workload. It suggests using visual elements like white space, bullets, and images to make the proposal appealing. The best ideas may come from combining different approaches or technologies. An effective abstract clearly outlines the overall challenge, specific challenge to be addressed, opportunity, advantages, aims, and evaluation of success. Specific aims state what will be achieved rather than how. The background, prior results, methods, budget, and other elements are also discussed.
The document discusses how cognitive biases can cause testers to miss bugs. It explains that people have two types of thinking: System 1 thinking is fast, intuitive, and prone to biases, while System 2 thinking is slower, more deliberate, and logical. Common biases that can affect testers include the representative bias, the curse of knowledge, the congruence bias, and the confirmation bias. The document recommends that testers employ more System 1 thinking through techniques like exploratory testing to leverage their intuition to find bugs. It also suggests test managers create an environment where testers feel comfortable using more System 1 thinking approaches.
This document provides guidance on facilitating a community scorecard (CSC) process. Strong facilitation is key to implementing an effective CSC. The facilitator must guide the discussion, enable participation, and create a conducive environment. The facilitation is broken into stages: opening dialogue, running performance criteria discussions, scoring, and an interface meeting. Throughout, the facilitator should listen, observe group dynamics, speak minimally but clearly, ensure participation and avoid bias. Proper preparation, notetaking, and handling of potential issues are also emphasized. The goal is to have an inclusive, impactful and sustainable process for community feedback and planning.
Career link intro to career link - section 1Ted Feller
This document provides information about Career Link, a program to help participants explore careers and job readiness. It includes an introduction to Career Link, an outline of the schedule over several days, expectations of participants to be engaged and take notes, and questions to consider about careers and soft skills. The document also discusses communication styles and lists soft skills that are important for careers.
Insights and Trends from 2021 FDA GCP Inspections.pptxMMS Holdings
The document summarizes insights and trends from the FDA's 2021 GCP inspections. It provides an overview of total inspections, top 483 observations for drugs and devices, and warning letters. Key findings include COVID-19 reducing inspections and alternative tools being used, top drug and device 483 observations relating to documentation and procedures, and most warning letters issued in March and October relating to drugs. It also discusses anticipated changes from the draft ICH E6(R3) guideline and trends for 2022, such as a potential increase in enforcement and focus on data security, quality controls, and corrective actions.
how to conduct effective meetings by Sani GandhiSunny Gandhi
This document provides guidance on how to conduct effective meetings. It discusses determining if a meeting is necessary, preparing an agenda in advance, managing the meeting, following up with action items and minutes. Tips are provided for ensuring appropriate attendees, facilitating participation, addressing different personality types, taking and distributing minutes. Overall, the document emphasizes the importance of preparation, active management, and follow up for meetings to be productive.
Investigation Report Writing: A Nuts and Bolts ApproachRandall Tam
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
Investigation Report Writing: A Nuts and Bolts ApproachCase IQ
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
This document provides guidance on conducting workplace investigations and disciplinary procedures. It discusses investigating allegations, including appointing an impartial investigating officer, considering suspension, and conducting interviews. The investigation should establish facts, not assume guilt, and conclude with a report summarizing options. For disciplinary hearings, the document outlines preparing by reviewing evidence, establishing an agenda, and ensuring procedural fairness. The goal is providing necessary information to make informed decisions while treating employees fairly.
This document discusses various information gathering tools for system analysis including review of literature, on-site observation, interviews, and questionnaires. It provides details on each tool such as reviewing procedures manuals and forms to understand current processes, observing users on-site to understand real systems, conducting interviews to understand perceptions and feelings, and distributing questionnaires to gather information from many people simultaneously. The key is to use these tools accurately and methodically to acquire information with minimal disruption to users.
Best Practices for Workplace Investigations.pdfLisa Bell
Discover top workplace investigation practices for HR and managers. Expert advice on resolving issues, ensuring privacy, and maintaining legal compliance.
Documenting Your Workplace Investigation: Protect Your Case and Your Organiza...Case IQ
Investigations depend on collecting and analyzing evidence. Documentation is an important part of any workplace investigation. It is used to record who said what and when, to outline issues and investigation steps, to synthesize evidence and ensure nothing falls through the cracks. The final report is where all the pieces come together. But many investigators aren’t sure how to best document their investigations. They write notes without knowing what to record and what to leave out and cobble together reports with no plan or organization.
Join Meric Bloch as he outlines best practices for documenting workplace investigations.
Caveon Webinar Series - Exam Integrity Investigations, An Introduction to th...Caveon Test Security
In today’s high-speed, electronically connected society, exam integrity incidents occur more frequently and present greater risks to test sponsors and their examinations. When incidents occur that threaten the integrity of your exam, you must have a comprehensive investigation plan in place that your team members understand and are prepared to execute swiftly and thoroughly.
Thorough investigations of exam integrity violations are needed in response to a wide range of possible exam integrity incidents; from individual cheating, to collusion, to item harvesting. It’s important to have personnel trained and ready to respond with effective strategies to (1) detect and mitigate exam integrity vulnerabilities and (2) conduct internal exam integrity investigations when incidents occur.
Join our hosts, Marc Weinstein and Ben Mannes of Caveon Investigation Services as they discuss why a sound investigation plan is necessary, what to consider when an investigation is conducted, and why having the right resources is so important.
Ran a Fraud Investigation session online for The Institute of Chartered Accountants of Pakistan. These are slides for day 2. Link for session 1 slides at the bottom of the description. These slides cover considerations for fraud interviews, report writing, legal considerations during investigations, roles and responsibilities, some input on understanding fraud prevention and fraud risk management (another link below for a detailed slide deck on this topic), some nuances of modern fraud investigations, and selected specific fraud and corruption scenarios. The last topic was covered in the session for the audiences where I shared some interesting aspects; will probably cover those in a blog post soon for wider sharing.
Links:
Fraud Investigations Session 1 slides: https://www.slideshare.net/ZeeshanShahid1/fraud-investigations-session-1-slides
Fraud Risk Management - High level perspective
https://www.slideshare.net/ZeeshanShahid1/fraud-risk-management-high-level-perspective-for-the-board-of-directors
HR Webinar: Unraveling HR Investigations: They don’t have to be a mysteryAscentis
The document discusses best practices for conducting HR investigations, including organizing the investigation process, planning interviews and document review, assessing credibility, determining appropriate actions, and managing risks. It provides tips for setting goals, identifying impartial investigators, asking questions during interviews, reviewing relevant documents and technology, and preparing findings without recommendations. The presentation aims to help unravel the mystery of HR investigations and ensure they are conducted properly.
This document provides information on case studies, including how to develop, analyze, and present them. It defines a case study as an in-depth analysis of a person, group, or situation over time. The document outlines steps for developing a case study such as defining objectives and identifying key players. It also discusses different types of data collection and analysis for case studies, including qualitative and quantitative methods. Finally, it provides guidance on how to effectively solve and present the findings of a case study.
This document provides information on case studies, including how to develop, analyze, and present them. It defines a case study as an in-depth analysis of a person, group, or situation over time. The document outlines steps for developing a case study such as defining objectives and identifying key players. It also discusses different types of data collection and analysis for case studies, including qualitative and quantitative methods. Finally, it provides guidance on how to effectively solve and present the findings of a case study.
This document discusses various methods for collecting data during the system analysis stage of a project: interviews, questionnaires, observation, record searching, and document analysis. It provides details on planning and conducting interviews, designing questionnaires, performing structured observation, using record searching to obtain quantitative information, and analyzing documents to understand how information is organized in a system. The goal of collecting data is to understand the current system, identify problems and user needs, and gather facts to help develop solutions.
This document provides guidance for G4S employees on effective recruitment practices. It emphasizes the importance of strategic resourcing to meet organizational needs. The recruitment process involves defining job requirements, attracting suitable candidates, and selecting the best person through a fair process. Interviewers must prepare thoroughly, ask behavioral questions, remain unbiased, and comply with equal opportunity laws. With inclusive recruiting, a diverse workforce can be achieved that reflects the community and enhances business objectives.
This document provides an overview of evaluation in human-computer interaction. It discusses what evaluation is, the different types of evaluation (formative and summative), what can be evaluated (e.g. students, teachers), and methods for evaluation (e.g. checklists, questionnaires, interviews). It also presents the DECIDE framework for guiding evaluation, which includes determining goals, exploring questions, choosing approaches/methods, considering practical and ethical issues, and evaluating/interpreting data. The document provides examples and discusses the pros and cons of various evaluation techniques.
Analyzing Qualitative Data for_ ResearchNirmalPoudel4
This document provides guidance on analyzing qualitative data collected through evaluations. It discusses that qualitative analysis involves identifying themes and patterns in non-numerical data sources like interviews and documents. The analysis can help understand how an intervention was implemented and its unexpected impacts. It emphasizes accurately capturing qualitative information, identifying common themes across data sources, and controlling for bias by having multiple analysts review the data.
Orlando 210876-v1-kat shrm presentation - solving the mystery behind conducti...ncfshrm
This document discusses best practices for conducting workplace investigations from an HR attorney's perspective. It addresses what constitutes a complaint, the duty to investigate, who should conduct the investigation, how to properly conduct interviews and prepare a report, and common mistakes to avoid. The attorney emphasizes the importance of conducting a thorough, impartial and well-documented investigation to determine the facts and credibility of witnesses, while avoiding bias or promises of confidentiality. A proper investigation can help employers address complaints fairly and potentially limit liability.
Does your organization run internal audits regularly? Prepare for a regulator to come knocking at your door by catching areas of non-compliance before the inspector can. Internal audits allow you to identify gaps in your existing EHS programs and improve processes before an official inspection, so you can be confident in your audit-readiness.
Internal Audits and Other Tactics to Improve Your EHS Program
Investigation Guidance
1. Extract from Managers Toolkit – Example of work
The following pages show an extract of a management toolkit that I produced to
support the implementation of new disciplinary & grievance policies where
managers were beginning to be upskilled to handle situations without hands-on
HR involvement.
The full toolkit was accessible via the organisation's intranet via flowcharts
detailing each step of the process. It enables managers to select the specific step
in the process that they are involved with so that they can obtain pointed direction
on that step. It can also be used to train new line managers on the full process.
Each step in the process had its own intranet page which included a full guidance
document (as shown here) plus other resources such as scripts, template letters,
bite-sized tip sheets, checklists and links to policies or other useful information.
These documents were branded to match other documents connected with
cultural change. All branding has been removed from this example of my work
2. Who is the right person to investigate?
How quickly should an investigation be
completed?
Beginning an investigation
Investigation Guidance
Where you see this symbol
more detailed guidance can be
found
Generic guidance applicable to disciplinary, grievance and safety matters
Interviewing witnesses
Gathering other evidence
Reaching your conclusion
Writing an investigation report
Can people asked to be accompanied?
Capturing what is said during interviews
3. Who is the right person to investigate? (1)
There is no single answer for this as the circumstances of the
case need to be considered. Things to take account of
include:
•
How much operational/technical knowledge is required
•
How serious is the matter
•
Is there a need for an independent person to examine the
evidence
•
How much time will the investigation take
Where it is not clear who should be the investigating
manager, discuss this with your line manager to take advice.
4. Who is the right person to investigate? (2)
Investigating managers should:
•
Be part of a management team – team members shouldn’t be
asked to carry out investigations
•
Have sufficient time to complete the investigation – take
account of workloads and planned holidays etc.
•
Have experience of carrying out investigations – an
inexperienced manager can be supported by an experienced
manager as a development process
•
Have access to the relevant data – if confidential data needs to
be examined, ensure the manager can be given access
•
Fully understand the need for confidentiality and impartiality
•
Be prepared to reach difficult conclusions
5. How quickly should an investigation be completed?
(1)
The nature and complexity of the issue will dictate how
much time it will take to complete an investigation.
Unnecessary, unreasonable or unacceptable delays can:
•
Cause distress to those involved
•
Undermine the fairness of any formal procedures
•
Expose the Trust to risk if corrective measures are not
quickly adopted
•
Impact on people’s ability to proper recall events
•
Impact on obtaining other evidence
6. How quickly should an investigation be completed?
(2)
The length of time an investigation takes must be objectively justified.
Keep records of any delays. Acceptable reasons for delay may include:
•
Key witnesses being unavailable
•
Reports being requested from external sources
•
Where there is a lot of data to examine and analyse
•
Sickness absence of key individuals where they are unfit to
participate
It is accepted that not all work commitments can be put on hold while
the investigation takes place but simply saying that an investigation
couldn’t be completed due to work priorities would not be considered
reasonable.
7. Beginning an investigation
Before beginning an investigation, it is important that you are clear
what you are investigating. While any investigation may reveal other
things, you still need to reach a conclusion that addresses the initial
matter. Try devising an investigation plan before beginning:
•
Who would you want to speak to and in which order?
•
What information might help you understand what happened?
•
Think about the questions you need answering
•
What assumptions can you make and still be objective?
•
What assumptions can’t you make without affecting your
objectivity?
•
Clear sufficient time in your diary
Be prepared to revise any planned approach as your investigation
progresses.
8. Interviewing witnesses
It is likely that you will need to carry out at least one interview as part of your
investigation:
•
Explain what you are investigating – where sensitive or confidential
matters are involved, make a judgement as to what is appropriate to share
•
Explain why you are speaking with them – if a disciplinary hearing might
be a recommendation, be clear whether their evidence will be used
•
If an individual may face a disciplinary hearing as a result of the
investigation, be clear about this at the start
•
Be clear it is a fact-finding exercise and not a hearing of any sort
•
Try to put the person at ease – people may be feeling very anxious
•
Try not to give reassurances unless you are absolutely certain of the
outcome
Use our interview checklist for further tips
Further information about witness evidence is available
9. Can people asked to be accompanied?
There is no requirement under legislation or our policy to allow people
to be accompanied or represented at an investigation meeting.
But, if it can be arranged quickly and easily so as not to impact on the
timescales for completing the investigation, there is no reason why you
shouldn’t let someone join them during any meetings. It can often help
to address an individual’s anxieties.
In most cases, it should be an internal colleague or Trades Union
representative unless there are exceptional reasons for allowing an
individual to be accompanied by an external party. Please take further
advice if this is requested.
The accompanying person should not be involved in the answering the
questions or try to influence the manner of information that is
discussed in any way.
10. Capturing what is said during interviews
Taking an accurate note of what is said to you is crucial to any
conclusions you draw. Here are some key points:
•
Ask someone to take notes for you
– Ensure that they are clear on the confidentiality of the process
– Ensure that are not likely to be involved in any other part of the
process
•
Type up the notes as soon after the meeting as possible
•
Try to avoid using a laptop to type notes as this can create a physical
barrier which prevents people from opening up
•
Ask the interviewee to review your notes to confirm accuracy – put
deadlines for comments and amend so it doesn’t delay things
•
It isn’t appropriate to use any recording equipment in any employee
meetings – the notes do not need to be verbatim
11. Gathering other evidence (1)
It is unlikely witness statements alone will be sufficient to conclude
your investigation thoroughly. Typical types of evidence could be:
•
Phone records – obtain copies of phone bills to identify who
contacted who, when, how long and how often
•
Outlook calendar meetings – to help demonstrate where an
individual was on a certain day
•
Copies of e-mails
•
GPS reports – these can help demonstrate patterns of work and
where individuals were at any given time
•
Web usage – obtain reports on general activity
•
Safety documents such as method statements and risk assessments
•
Financial reports
12. Gathering other evidence (2)
•
Timesheets, overtime claims and expense submissions
•
Copies of rotas
•
Customer or employee correspondence – be careful to
remove personal or sensitive data (including names as
appropriate) and be clear about who it will be shared with
•
Team meeting notes – to help establish what was covered and
who was present
•
Performance Review forms and records or other 1-2-1
meetings or discussions
•
Self-certifications or medical certificates
•
Training records
•
Evidence of working practices
13. Reaching your conclusion
Once you have gathered all of the evidence, you need to review everything and
decide what your recommendations will be:
•
Think about the original issue you were investigating
– Does the evidence gathered give you enough information to reach a definite
conclusion?
•
Challenge yourself to look at the evidence objectively
– Don’t make assumptions about what each piece tells you in isolation
– Take into account how individuals’ emotions may have impacted on their
evidence
– Look at the collective picture
– Does it support or undermine a particular set of circumstances
– Review evidence on the balance of probabilities
•
Consider carefully evidence that you were not able to find
– Does the lack of evidence available point to a different conclusion
– Would it be reasonable to expect to find evidence to support a particular set of
circumstances?
14. Writing an investigation report
The style of your report depends on the purpose of your investigation:
•
A template disciplinary report is available to act as a guidance
rather than to be followed rigidly
•
In grievance situations, it may not always be necessary to compile a
full report. This will depend on:
– What investigations were required
– How you are feeding back the outcome
– Whether a report is required to advise managers only on where
improvements are needed
•
Safety investigations may require specific formats depending on the
type of incident being investigated. Speak to the Safety team for
further guidance
More tips for report writing are available