OMBUDSMAN FOR BANKING SERVICES AND INVESTMENTS
INVESTIGATIONS TRAINING: DECEMBER 8, 2011
COURSE OUTLINE
1. Principles of Excellent Investigation
Discussion of the 8 principles that underpin any investigation.
2. Investigation Planning
A brief discussion on how to plan an investigation, using the OBSI investigation template as a guide. The plan assists in identifying issues – including potentially systemic ones, pinpointing sources of evidence, anticipating and dealing with possible roadblocks, avoiding issue creep and setting realistic milestones and timelines. A good plan followed will ensure that not only will your investigation is thorough and done within a reasonable time, but also that it will be able to withstand scrutiny.
Group exercise
Separate scenarios have been prepared for the banking and investments sides of the house. Participants will divide into groups of 6 or 7 to prepare a detailed investigation plan based on the scenario provided.
Groups will present their findings.
3. Witnesses and Interviewing
An advanced level session on how to deal with witnesses and conduct interviews. This segment covers how to identify who needs to be interviewed and how to plan and execute the interview, including 6 principles that will ensure interviews are thorough and objective. We will also cover:
- how to deal with reluctant and/or uncooperative witnesses,
- assessing credibility,
- ethical considerations,
- querulants – the complainant who never gives up,
- common mistakes made by interviewers,
- recording of interviews, with an emphasis on telephone interviews
- expert witnesses,
- investigator safety,
- interviewee/ interviewer welfare
Group Exercise
Participants will return to their groups to prepare an interview of one of the characters in their scenario.
4. Physical / Digital and Documentary Evidence
A discussion on how to identify, secure and forensically process physical and digital evidence. We also cover securing, organizing and reviewing documentary evidence in a systemic and methodical fashion.
5. Assessing Evidence
How to determine if you have sufficient, credible, relevant evidence to support your conclusion or finding. How to craft recommendations that are appropriate, proportionate and realistic.
6. Report Writing
A brief review of report writing, with some tips to make the process easier.
7. Group discussion and wrap-up