Corporate Investigations, Second Edition PDF eBook
- Author: Reginald J. Montgomery, William J. Majeski
- ISBN 10: 1-933264-02-0
- ISBN 13: 978-1-933264-02-8
- Copyright Date Ed: June 15, 2005
- Pages: 772 pages
- PDF eBook
What if you could find an investigative manual that handed you over 750 years of wisdom from the very top investigators in the USA? Well, you have just found it! The range of corporate investigations is extremely broad, from accounting financial fraud to executive protection, from shoplifting to international fraud. More than two dozen experts share their investigative techniques to help you navigate this complex field. This work is a must have book if your clients are corporations. To be without this hallmark work for conducting corporate investigations is like trying to conduct a surveillance without a vehicle. No other work on the market covers the complete spectrum of corporate investigations like this one does and no other work offers you the expertise of so many authors. It's like having someone open up your head and insert the combined wisdom of over one dozen experts in each type of investigation with the lifetime of experience of each author.
TOPICS INCLUDE
- FCRA and corporate investigations
- Assessing credibility: ADVA technology, voice and stress analysis
- Profiling for corporate investigators
- Surveillance
- Electronic eavesdropping and corporate counterespionage
- Voice identification: The aural/spectrographic method
- The statement as a crime scene: Low-tech tools for corporate investigations
- The art and science of communication during an investigation
- Doing business with your experts
- The changing role of law enforcement in corporate investigations
- The due diligence investigation
- Forensic accounting and financial fraud
- Net worth application in corporate investigations
- Intellectual property theft
- Investigating the sexual harassment case
- Investigating internal theft in a small business
Table of Contents
PART ONE; INVESTIGATIVE TOOLS, TECHNIQUES, AND WORKING RELATIONSHIPS
Chapter 1: The FCRA and Corporate Investigations
1.1 Introduction
1.2 Definitions
1.3 Pre-employment and Workplace Investigations
1.4 The Opinion Letter
1.5 Best Evidence Requirement
1.6 Mandated Disclosure
1.7 Civil Liability
1.8 Enforcement Powers
1.9 Consumer Reporting Agencies
1.10 Legislative Relief
1.11 Law Enforcement Issues
1.12 Attorney-Client Privilege
1.13 Protection
1.14 Outside Investigators 1.15 EEOC and Other Federal Laws
1.16 A Review of the FCRA—Consumer Reports and Investigative Consumer Reports
Chapter 2: Assessing Credibility: ADVA Technology, Voice and Voice Stress Analysis
2.1 Introduction
2.2 Deception and the Voice
2.3 Conclusions
Chapter 3: Profiling for Corporate Investigators
3.1 Criminal Personality Profiling
3.2 Prevention of Workplace Violence
3.3 Loss Prevention and Leaks of Sensitive Information
3.4 Evaluating Clients or Adversaries during Negotiations
Chapter 4: Surveillance
4.1 Introduction
4.2 The Case Activity Report
4.3 Electronic Surveillance
4.4 Case Studies
Chapter 5: Eavesdropping Detection and Counterespionage Programs: Philosophy & Implementation
5.1 Introduction
5.2 The 9-11 Analogy
5.3 Creating an Eavesdropping Detection Inspection Program
5.4 Cost of an Inspection Program
5.5 Espionage Is Preventable
5.6 Final Word
Chapter 6: Voice Identification: The Aural/Spectrographic Method
6.1 Introduction
6.2 The Sound Spectrograph
6.3 The Method of Voice Identification
6.4 History
6.5 Standards of Admissibility
6.6 Research Studies
6.7 Forensic Audio, Video, and Voice Identification
6.8 Conclusion
Chapter 7: The Statement as a Crime Scene: Low-Tech Tools for Corporate Investigations
7.1 Introduction
7.2 Historical Perspective
7.3 Behavioral Profiling
7.4 Form Variance Analysis: "The Common Man’s Lie Detector"
7.5 Content Analysis
7.6 The Key Considerations and Questions in Content Analysis
7.7 The Statement: The First Step, Not the Last
7.8 Key Questions for Detecting Truth and Deception
7.9 E-mails Analyzed
7.10 Statement Analysis in Other Languages?
7.11 Using Third-Party Experts
7.12 Summary
Chapter 8: The Art and Science of Communication During an Investigation
8.1 Introduction
8.2 The Importance of Communication
8.3 Conducting the Interview
8.4 Understanding the Use of Polygraph in the Corporate Culture
8.5 Conclusion
Chapter 9: Doing Business with Your Experts
9.1 Introduction
9.2 What Is an Expert?
9.3 Need
9.4 The Expert’s Credentials
9.5 Retaining the Expert
9.6 Selecting the Appropriate Expert
9.7 Professional Conduct
9.8 Legal Considerations
9.9 Reports
9.10 Maintaining a Professional Reputation
9.11 Testimony
9.12 Summary
Chapter 10: The Changing Role of Law Enforcement in Private Security
10.1 Introduction
10.2 Historical Overview
10.3 Strengthening the Security Sector
10.4 The Security Sector in the Twenty-first Century
10.5 Toward an Enterprise Security Sector
PART TWO: DUE DILIGENCE AND FORENSIC ACCOUNTING
Chapter 11: The Due Diligence Investigation
11.1 Introduction
11.2 Business and Investment Losses
11.3 Case Studies
11.4 Standards of Care
11.5 The Due Diligence Program
11.6 Terminology
11.7. The Due Diligence Team
11.8 The Investigation
11.9 Caveat Actor
11.10 Conclusion
Chapter 12: Forensic Accounting, Financial Fraud and Financial Statement Fraud
12.1 The CFE Study
12.2 Reconstructing Financial Records
12.3 Common Scams Perpetrated Against Companies
12.4 Investigating Front Company Scams
12.5 General Procedures
12.6 Tax-Related Issues
12.7 Kickbacks
12.8 Checklists to Identify Potential Financial Motives to Commit Arson
12.9 Financial Statement Fraud
Chapter 13: Net Worth Applications in Corporate Investigations
13.1 Introduction
13.2 What Is Net Worth?
13.3 What Are Assets?
13.4 What Are Liabilities?
13.5 Net Worth versus Income
13.6 Adjustments to the Net Worth Computation
13.7 How to Apply to Corporate Investigations
13.8 Summary
PART THREE: TYPES OF CORPORATE RISKS
Chapter 14: Environmental Business Risks: A Legal Investigator’s Consultant Role
14.1 Introduction
14.2 The Usefulness of an Environmental Consultant: Four Examples
14.3 Due Diligence
14.4 Protective Measures
14.5 The Agency Visit or Inspection
14.6 Corporate Response Plan
14.7 Corporate Liability
Chapter 15: Intellectual Property Theft
15.1 Introduction
15.2 The Law
15.3 Patents
15.4 Patent Investigations
15.5 Copyrights
15.6 Copyright Investigations
15.7 Trademarks
15.8 Trademark Investigations
15.9 Trade Secrets
15.10 Trade Secret Investigations
15.11 Other Intellectual Property
15.12 Targeting
15.13 Conclusion
Chapter 16: Investigating the Sexual Harassment Case
16.1 Introduction
16.2 The Civil Rights Act of 1964 (CRA)
16.3 The Supreme Court Decisions of 1998
16.4 "The Letter"
16.5 What Is Sexual Harassment?
16.6 What Is a Hostile Work Environment?
16.7 Who Has to Comply?
16.8 Who Enforces these Laws and Rules?
16.9 Accepting the Assignment
16.10 The Preliminary "To Do" List
16.11 Discussion of the Appendix )
16.12 History of Prior Claims against the Corporation
16.13 The Current Case
16.14 Investigation Tips
16.15 Cultural Differences
16.16 Conducting the Interviews
16.17 Additional Tips
16.18 Preparing the Report
16.19 Conclusion
Chapter 17: Computer Forensics
17.1 Introduction
17.2 Hiring Process
17.3 Communication
17.4 Description of Equipment
17.5 Procedure for Copying Information Forensically
17.6 Forensic Copying
17.7 Examining the Data
17.8 Conclusion
17.9 Addendum
Chapter 18: Investigating Internal Theft in a Small Business
18.1 Introduction
18.2 The Initial Conference with the Client
18.3 Initial Investigative Steps
18.4 Undercover Operations
18.5 Electronic Surveillance
18.6 Surveillance
18.7 Interviews and Interrogations
18.8 Summary
Chapter 19: Product Diversion
19.1 Introduction
19.2 Diversion Is Not Theft
19.3 How Diversion Occurs
19.4 Diversion versus Other Forms of Product Abuse
19.5 The Four Areas of Diversion
19.6 Indicators of Diversion
19.7 The Role of the Investigator
19.8 Countermeasures
19.9 Examples
19.10 Prevention
Chapter 20: Investigating Embezzlement and Other Employee Crimes
20.1 Emerging Trends in Fraud Prevention
20.2 Employee Crime
20.2 What Can Be Done?
20.3 Making the Process Work
20.4 Conclusion
Chapter 21: Retail Loss Prevention
21.1 Introduction
21.2 Shrinkage in the Supermarket Industry
21.3 Conclusion
Chapter 22: Corporate Conferences—Asset Protection, Loss Prevention, Access Control
22.1 Introduction
22.2 Coordination
22.3 Identification Badges (ID)
22.4 General Sessions
22.5 Breakout Rooms
22.6 Special and Social Events
22.7 Visiting Dignitaries
22.8 Laptops
22.9 Audio Visual (AV)
22.10 Alcohol
22.11 Miscellaneous
22.12 Conclusion
Chapter 23: Investigating "Bust-Out" Fraud
23.1 "Bust-Out" Defined
23.2 The Investigation
23.3 Conclusion
Chapter 24: Parking Lot Investigations
24.1 Key Components to a Successful Investigation
24.2 The Incident Investigation
24.3 The Accident Investigation
24.4 The Cash or Asset Audit
24.5 Conclusion
Chapter 25: Security Liability
25.1 Introduction
25.2 Keys to Successful Litigation Defense
25.3 The Impossibility of Absolute Security
25.4 The Security Plan and Civil Case Examples
25.5 Conclusion
Chapter 26: Corporate Responsibilities and Identity Theft
26.1 Introduction
26.2 Corporate Responsibility
26.3 Methods of Obtaining Personal Information
26.4 Uses of Personal Information
26.5 Methods to Thwart Identity Theft
26.6 After Theft Is Discovered
26.7 Wi-Fi
26.8 Phishing
26.9 Conclusion
Chapter 27: Investigation of Breach of Contract Cases
27.1 Introduction
27.2 A Short Course in Contracts
27.3 The Investigation
27.4 Summary
27.5 Examples of Various Contractual Investigations
PART FOUR: DEALING WITH THREATS AND VIOLENCE
Chapter 28: Corporate Executive Protection
28.2 Threat Assessment Techniques
28.3 Planning a Protection Operation
28.4 Sample Report
28.5 Conclusions
Chapter 29: Intelligence and the Risk Assessment Process
29.1 Introduction
29.2 Defining Terrorists and Terrorist Activity
29.3 Approaches to Intelligence Gathering
29.4 Threat Assessment Worksheet
29.5 Trend Analysis Worksheet
29.6 Risk Assessment
Chapter 30: Background Investigations
30.1 Introduction
30.2 National (Domestic) Background Investigations
30.3 International Background Investigations
30.4 Applicable Laws
30.5 Disclaimers
30.6 Budget Constraints
30.7 Conclusion
Chapter 31: Conducting a Threat Vulnerability Assessment
31.1 Introduction
31.2 Layers of Protection
31.3 Interview Process
31.4 Crisis Management
31.5 Five Phases of Crisis Management
31.6 Crisis Response Outline
PART FIVE: GEOGRAPHICS AND CULTURAL CONSIDERATIONS
Chapter 32: Latin Investigations
32.1 Surnames
32.2 Significant Dates
32.3 National Identity Cards: Cedulas
32.4 Identifying U.S. Citizens in Latin America
32.5 Public Record Research
32.6 Verification of Employment, Education, and Criminal and Civil Records
32.7 Business Terms
32.8 A Word about the Police
Chapter 33: Conducting Global Investigations and International Due Diligence
33.1 Introduction
33.2 Globalization Brought Changes
33.3 Key Controls Are Weakened
33.4 Merger and Acquisition (M&A) Activities
33.5 Limiting Your Risk
33.6 Due Diligence
33.7 Mergers
33.8 Acquisitions
33.9 Conclusions