Corporate Investigations Second Edition

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 Binding Information: Hardcover Size: 6 ✕ 9 Inches (US) 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 This book is also available as an E-book. Click here to purchase and download: 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