企業(yè)反舞弊調(diào)查訪談與取證技巧與內(nèi)部控制其它上課時(shí)間：

• 2021/5/20至2021/5/22 上海

課程背景CourseBackground:
在公司內(nèi)部的調(diào)查活動(dòng)中，有兩個(gè)關(guān)鍵的環(huán)節(jié)起著決定性的作用：一是調(diào)查人員與相關(guān)同事的訪談詢問；一是穿插于調(diào)查整個(gè)過程的取證環(huán)節(jié)。舞弊調(diào)查訪談因其隨機(jī)性與個(gè)案性的特點(diǎn)，通常被認(rèn)為是難以掌握的調(diào)查技能；而調(diào)查取證，尤其是電子證據(jù)，是公司內(nèi)部合規(guī)調(diào)查的難點(diǎn)和痛點(diǎn)。
針對(duì)上述情況，羅仁才律師團(tuán)隊(duì)聯(lián)合法商精英會(huì)（咨詢）特推出2019年第三期內(nèi)部調(diào)查培訓(xùn)，以羅律師調(diào)查的多年經(jīng)驗(yàn)，同我們分享在過去的刑事偵查以及企業(yè)內(nèi)部合規(guī)調(diào)查中所積累的企業(yè)反舞弊調(diào)查技巧。
Duringaninvestigationagainstillegalcases,therearetwocriticalsteps:1)interviewingcolleagues;2)obtainingdigitalevidencethroughouttheinvestigation.Becausethequestionsinananti-fraudinterviewarenotstandardizedandshouldbeadaptedtospecificconditions,theinterviewisconsideredasadifficultinvestigationskill;meanwhile,asdigitalevidence,akindofunconventionalevidence,ishardtoobtain,thecollectionskillsarestilltoughtasksduringenterprisegovernment,operationandinternalcontrol.
Inresponsetotheabovesituation,Richard’slawyerteam,inconjunctionwiththeLawandCommerceEliteAssociation(W.RConsulting),haslaunchedthethirdphaseofinternalinvestigationtrainingin2019tosharewithustheanti-fraudinvestigationskillsaccumulatedinpastcriminalinvestigationandinternalcomplianceinvestigation.

課程大綱

第一部分：言詞證據(jù)的調(diào)取及風(fēng)險(xiǎn)防范
PartI:RetrievingTestimonyandRiskPrevention
一、做好取證前的準(zhǔn)備工作
Preparationworkbeforecollectingevidence
1.合理邀請(qǐng)相關(guān)部門
Reasonablyinviteconcerningdepartments
一般而言，我們要邀請(qǐng)參加談話的部門是HR和對(duì)應(yīng)談話人的管理層。但就具體事件而言，可以擴(kuò)展至安全、法務(wù)、財(cái)務(wù)及更多。
Generally,wewillinvitethecorrespondingsupervisors,HRmanagerastheinterviewer.However,inspecificcases,personnelfromsecurity,legal,financialdepartmentsandthelikemayalsobeinvitedtotheinterviewtogether.
2.仔細(xì)了解事件情況Understandtheeventcarefully
了解事件的方法（觀察、調(diào)查、走訪、咨詢）
Methodstounderstandtheevent(observation,investigation,interviewandconsultation)
需要了解的內(nèi)容Matterstobeknown
A.事件六要素Sixfactorsoftheevent
B.嫌疑人基本情況Basicinformationofthesuspect
C.證據(jù)及證明人的情況Informationabouttheevidenceandwitnesses
D.利害關(guān)系人的基本情況Basicinformationoftheinterestshares/conflicts
3.詳細(xì)分析案件情況Deliberatelyanalyzethecase
根據(jù)現(xiàn)場(chǎng)分析Investigatethescene
A.有無破壞Damage
B.有無反常Abnormality
根據(jù)行為造成的后果分析
Analyzethecaseonthebasisoftheconsequence
根據(jù)事件的特點(diǎn)和規(guī)律分析
Analyzethecaseonthebasisofthefeaturesandpatternsoftheevent
根據(jù)涉案人的家庭及自身性格特點(diǎn)分析
Analyzethecaseonthebasisofthefeaturesandpatternsoftheevent
4.訪談方案及防范設(shè)計(jì)
Establishinterviewprotocolsanddesignprecautionarymeasures
熟悉事件經(jīng)過Knowwellabouttheevent
明確目的與要求Identifypurposesandrequirements
明確步驟與重點(diǎn)Identifyproceduresandfocuses
突破口的選擇Selectcriticalpointstobreakthedeadlock
可能出現(xiàn)的辯解與解決方法(后補(bǔ)發(fā)票)
Potentialexcusesandcountermeasures(e.g.invoicestobesupplementedlater)
可能提出的條件與回答（保密，主動(dòng)辭職）
Offersrequiredbytheinvolvedandcountermeasures(e.g.confidentialityandresign)
如何應(yīng)對(duì)談話僵局Methodstobreakdeadlock
談話中的緊急情況與處置辦法（列舉情況）Emergenciesandcountermeasures(cases)
二、言詞證據(jù)獲取技巧及風(fēng)險(xiǎn)防范
Skillsforobtainingtestimonyandriskpreventions
1.第一次談話1stinterview
第一次談話的特點(diǎn)Characteristics
A.被談話對(duì)象的特定性Specificinterviewee
B.第一談話的重要性Importance
C.第一談話的規(guī)范性Normalization
第一次談話的作用Functions
第一次談話的要求Requirements
第一次談話的步驟Steps
A.詢問基本情況Inquireaboutbasicinformation
B.告知其享有的權(quán)利Informtheintervieweeofhis/herrights
C.向其提出問題Raisequestions
第一次談話的方法Methods
A.因人而異選擇開頭方法Adaptthefirstsentencestotheinterviewee
B.掌握時(shí)機(jī)，適時(shí)切入主題Introducethesubjectattherighttime
C.結(jié)束談話，恰到好處Endtheinterviewattherighttime
2.談話突破口的選擇Selectionofpointstobreakdeadlock
從心理上突破Psychology
A.僥幸心理的突破Flukemind
B.畏罪心理的突破Fearforpunishment
C.顧慮心理的突破Worry
從情節(jié)上突破Plot
A.選擇其最擔(dān)心的情節(jié)突破Theplotthatworriestheintervieweemost
B.選擇其最放心的情節(jié)突破Theplotthatcomfortstheintervieweemost
C.選擇證據(jù)確鑿的情節(jié)突破Theplotthatfeaturesabundantevidence
D.選擇特殊行為突破Particularbehaviors
E.從個(gè)人特點(diǎn)上突破Personalcharacteristic
F.針對(duì)不同性格的人采取不同談話方法Changemethodsaccordingtopersonalities
B.作息規(guī)律，適應(yīng)性，個(gè)人特點(diǎn)等綜合分析
Analyzetheintervieweefromhis/herdailyroutine,adaptabilityandfeatures
C.從其對(duì)事業(yè)生家庭的責(zé)任感找出突破口
Evoketheinterviewee’ssenseofresponsibilitytowardscareerandfamily
D.動(dòng)機(jī)決定行動(dòng)Findoutmotives
三、常見言詞證據(jù)的印證及調(diào)查方式
Methodsforverifyingandinquiringintotypicaltestimony
1.以現(xiàn)場(chǎng)為中心調(diào)查取證Scene-basedinvestigation
保護(hù)好現(xiàn)場(chǎng)Protectthescene
及時(shí)全面收集在場(chǎng)人員名單Timelyandthoroughlycollectthelistofpeoplepresent
及時(shí)進(jìn)行現(xiàn)場(chǎng)拍照截圖Timelyphotographthescene
現(xiàn)場(chǎng)提取物品要客觀實(shí)際Objectivelyextractevidence
注意對(duì)相關(guān)現(xiàn)場(chǎng)的檢查保護(hù)Investigateandprotectrelevantscenes
2.以談話為中心調(diào)查取證Interview-basedinvestigation
根據(jù)談話的事實(shí)內(nèi)容Onthebasisoffacts
根據(jù)提供的線索Onthebasisofclues
根據(jù)被談話人的辯解Onthebasisofexcuses
與現(xiàn)場(chǎng)等其它證據(jù)結(jié)合Inconsiderationofotherevidence(e.g.scene)
3.以相對(duì)人陳述為中心調(diào)查取證Counterpart-basedinvestigation
根據(jù)陳述的情節(jié)Onthebasisofplots
根據(jù)陳述提供的線索Onthebasisofclues
與其它證據(jù)結(jié)合Inconsiderationofotherevidence
四、對(duì)幾種重要證人的調(diào)查取證
Evidencegatheringfromseveralmaterialwitnesses
1.對(duì)知情人的談話及調(diào)查取證Fromtheinformant
2.對(duì)共同涉案人的談話及調(diào)查取證Fromthecommonsuspect
3.對(duì)利益損害者的談話及調(diào)查取證Fromthevictim
了解利益相對(duì)人的心理(憤恨、報(bào)復(fù)、恐懼、羞怯)
Understandthevictim’sfeelings(e.g.anger,revenge,fear,timidity)
影響陳述真實(shí)性的客觀原因(時(shí)間、地點(diǎn)、環(huán)境、自身狀況）
Findoutfactsthataffectauthenticityofthestatement(time,place,environmentallyandpersonalconditions)
談話方法（消除不良心理，講究策略）
Choosepropermethodsofcommunication(easenegativeemotionsandusesuitablestrategies)
審查判斷陳述的真實(shí)性
Judgeifthestatementsauthentic

第二部分：實(shí)物證據(jù)的調(diào)取及風(fēng)險(xiǎn)防范
PartII:RetrievingPhysicalEvidenceandRiskpreventions
一、收集運(yùn)用實(shí)物證據(jù)常見問題及風(fēng)險(xiǎn)防范
Typicalproblemsaboutcollectingandusingphysicalevidence&precautionsagainstsuchproblems
1.收集證據(jù)常見問題及解決方法FAQ-Collectionofevidences
2.固定證據(jù)常見問題及解決方法FAQ-Fixingevidence
3.運(yùn)用證據(jù)常見問題及解決方法FAQ-Useofevidences
二、文檢基礎(chǔ)知識(shí)Basicknowledgeofdocumentexamination
1.筆跡檢驗(yàn)Handwritingexamination
書寫文字特征Handwrittencharactercharacteristics
文字布局特征Textstylecharacteristics
標(biāo)點(diǎn)符號(hào)特征Punctuationmark
摹仿筆跡的特征Imitatedhandwritingcharacteristics
2.文件檢驗(yàn)Documentexamination
印刷文件檢驗(yàn)Printingdocumentexamination
污損文件的檢驗(yàn)Staineddocumentexamination
3.印章檢驗(yàn)Sealexamination
第三部分：電子證據(jù)取證技巧及風(fēng)險(xiǎn)防范
PartIII:SkillsforCollectingDigitalEvidenceandRiskpreventions
一、電子證據(jù)概述Introduction
1.電子證據(jù)概念及特征Conceptsandfeatures
2.電子證據(jù)的立法狀況Legislativestatus
3.電子證據(jù)立法內(nèi)容前瞻Prospectoflegislation
二、電子證據(jù)來源和收集Sourceandcollection
1.電子證據(jù)的三方面來源Threesources
存儲(chǔ)介質(zhì)中（硬盤、U盤、光盤等）
Memories(harddisks,USBflashdisks,compactdisks)
電磁輻射中（包括顯示器輻射、通信線路輻射、主機(jī)輻射和輸出設(shè)備輻射）
Electromagneticradiation(includingradiationfromscreens,telecommunicationlines,hostcomputersandoutputdevices)
傳輸線路中（線路的監(jiān)聽截取數(shù)據(jù)，反監(jiān)聽）
Transmissionlines(monitoring&anti-monitoring)
2.電子證據(jù)收集概念Conceptofcollection
3.電子證據(jù)收集的范圍Scopeofcollection
4.電子證據(jù)收集規(guī)則Rulesofcollection
5.電子證據(jù)的收集方法Methodsofcollection
一般電子證據(jù)收集Collectingtypicalevidence
A.現(xiàn)場(chǎng)保護(hù)：封鎖現(xiàn)場(chǎng)，封鎖電腦區(qū)域，攝像監(jiān)控，切斷遠(yuǎn)程控制，封鎖涉案終端設(shè)備和物品
Sceneprotection:keepirrelevantpeopleoutofthescene,blocktheITdistrictandcamerasurveillance,cutremotecontrolandpreventunauthorizedaccesstoequipmentandobjectsinvolvedinthecase
B.現(xiàn)場(chǎng)訪問：訪問系統(tǒng)管理員，部門負(fù)責(zé)人，終端用戶及知情人
Sceneinterview:interviewsystemadministrators,departmentsupervisors,terminalusersandinformants
C.現(xiàn)場(chǎng)調(diào)查：網(wǎng)絡(luò)工作人員調(diào)查、計(jì)算機(jī)技能調(diào)查、動(dòng)機(jī)調(diào)查、網(wǎng)絡(luò)案例情況調(diào)查、特殊人員調(diào)查、周圍環(huán)境調(diào)查
Sceneinvestigation:conductinvestigationaboutnetworkpersonnel,computerskills,motives,networkcases,specialpersonnelandenvironment
特殊電子證據(jù)收集Collectingspecialevidence
A.手機(jī)短信息電子證據(jù)的收集Instantmessages
B.電子郵件形式電子證據(jù)的收集E-mails
C.網(wǎng)絡(luò)聊天類電子證據(jù)的收集Internetchattingrecords
D.數(shù)碼照片形式電子證據(jù)的收集Digitalphotos
6.電子證據(jù)收集要求Requirementsforcollection
7.電子證據(jù)收集技術(shù)Technologyforcollection
8.Windows系統(tǒng)的反取證技術(shù)
Windowsapplicationsimpedingevidencecollection
電子證據(jù)形式Form
1.證據(jù)幾種常見形式的回顧C(jī)ommonforms
2.電子證據(jù)形式界定的混亂Confusingdefinition
3.電子證據(jù)形式的發(fā)展及要解決問題Developmentandproblems
4.電子證據(jù)的證明力Degreeofproof
電子證據(jù)的保全和效力Preservationandlegaleffect
1.電子證據(jù)的常規(guī)保全Normalpreservation
2.電子證據(jù)的公證保全Preservationbynotarization
3.電子證據(jù)的保全原則及方法Principlesandmethodsforpreservation
4.電子證據(jù)的保全技術(shù)Technologyforpreservation
5.電子證據(jù)的效力分析Analysisoflegaleffect
電子證據(jù)的認(rèn)定Determination
1.電子證據(jù)認(rèn)定（真實(shí)性、關(guān)聯(lián)性、合法性）
Determination(authenticity,relevanceandvalidity)
2.電子證據(jù)證明力認(rèn)定（可靠性、完整性）
Determinationofthedegreeofforce(reliabilityandcompleteness)
電子證據(jù)鑒定方法（鑒定機(jī)構(gòu)、鑒定人員、鑒定程序/種類及規(guī)范）
Methodsofauthentication(agencies,authenticators,procedures,typesandregulations)
第四部分：盡職調(diào)查技巧及風(fēng)險(xiǎn)防范
PartIV:Skillsforduediligenceinvestigationandriskpreventions
一、貪腐案件概述Corruption
1.案件的種類及成因分析Typesandcourses
侵占資產(chǎn)（支付舞弊、工資舞弊、報(bào)銷舞弊、收銀舞弊、盜竊舞弊）
Misappropriationofassets(includingpayments,salaries,reimbursement,moneycollectionandsteal)
貪污腐敗（利益沖突、貪污賄賂、招投標(biāo)舞弊、工程舞弊）
Corruption(includingconflictsofinterests,briberyandcorruption,andmalpracticesaboutbiddingandprojects)
財(cái)報(bào)舞弊（虛假收入、低估負(fù)債、不恰當(dāng)資產(chǎn)估值）
Financialstatementfraud(includingmisrepresentationofincoming,understatementofliabilitiesandfalseappraisalofassets)
2.證據(jù)調(diào)查及風(fēng)險(xiǎn)防范Evidenceinvestigationandriskpreventions
指示性證據(jù)Indicativeevidence
證實(shí)性證據(jù)Confirmatoryevidence
A.舞弊征兆調(diào)查Investigatingsignsoffraud
B.預(yù)警信號(hào)收集Collectingearlywarnings
3.證實(shí)性證據(jù)的調(diào)查方法Methodsforinvestigationofconfirmatoryevidence
監(jiān)控正在進(jìn)行的交易，以取得更多證據(jù)
Monitoron-goingtransactionsformoreevidence
詢問知情人，掌握更多信息
Interviewinformantstogainmoreinformation
認(rèn)真審核已經(jīng)發(fā)生的同類型交易的憑證、單據(jù)
Carefullyauditvouchersandbillsofprevioussimilartransactions
通過硬盤鏡像等手段，保全嫌疑人的電子信息
Keepthesuspect’sdatainharddisksbymakingmirrorimage
通過網(wǎng)絡(luò)查找更多信息，論壇帖子、微博、網(wǎng)絡(luò)廣告信息
CollectmoreinformationthroughtheInternet,suchasgaininginformationfromBBS,Weiboandonlineads
同第三方的面談、聯(lián)系或核實(shí)證據(jù)
Interviewandcommunicatethethirdpartyandverifytheevidence
二、匿名舉報(bào)的處理技巧及風(fēng)險(xiǎn)防范
Skillsforhandlinganonymousinformationandriskpreventions
1.接收匿名信息時(shí)應(yīng)確定的信息Informationtobedeterminedafterreceipt
信息是如何傳遞的（郵件、信件、手寫、打�。㏕ransmissionmethods(e-mail,letter,handwriting,printing)
信息發(fā)出的時(shí)間、地點(diǎn)、發(fā)給何人Time&placeofdeliveryandtheaddressee
舉報(bào)的內(nèi)容Content
為何舉報(bào)，可能的動(dòng)機(jī)Reasonsandpossiblemotives
2.決定如何調(diào)查Investigationmethods
匿名無實(shí)證的舉報(bào)Informationwithoutevidence
匿名實(shí)證的舉報(bào)Informationwithevidence
二、如何使用外部調(diào)查資源Investigationwithexternalresources
1.外部調(diào)查資源的種類（商務(wù)咨詢公司、保安服務(wù)公司、偵察社）
Typesofexternalinvestigationresources(businessconsultantscompanies,securitycompaniesanddetectiveagencies)
2.如何選擇合適的有資質(zhì)的調(diào)查公司
How-tochoosequalifiedinvestigationcompanies?
3.如何防范使用調(diào)查公司帶來的風(fēng)險(xiǎn)
How-topreventrisksfromengaginginvestigationcompanies?
4.如何有效追訴刑事法律責(zé)任？
How-topursuethecriminalresponsibility?

課程主講

RichardLuo羅仁才
羅先生現(xiàn)任上海漢盛律師事務(wù)所高級(jí)合伙人，中國反舞弊聯(lián)盟調(diào)查專家，長期負(fù)責(zé)客戶的安全及調(diào)查事務(wù)、在公司資產(chǎn)防損，商務(wù)調(diào)查，安全及調(diào)查隊(duì)伍組建等方面有超過20年運(yùn)作經(jīng)驗(yàn)�？蛻糁饕獮槭澜�500強(qiáng)企業(yè)，曾在北京、上海、廣州等地，幫助IT、物流和零售等國際公司成功解決調(diào)查過程中遇到的難題。在此之前，他在中部某市公安部門工作，指導(dǎo)刑警大隊(duì)重案組，負(fù)責(zé)重大案件偵破。
羅先生曾在多家國際知名500強(qiáng)公司工作，多年從事合規(guī)調(diào)查業(yè)務(wù)，包括對(duì)公司高管開展背景調(diào)查，啟動(dòng)內(nèi)部反舞弊調(diào)查，監(jiān)督區(qū)域的法律風(fēng)險(xiǎn)防范工作，監(jiān)督、指導(dǎo)、協(xié)調(diào)和激勵(lì)各風(fēng)險(xiǎn)防范和內(nèi)控部門做好配合等。
羅先生畢業(yè)于中國人民公安大學(xué)，后繼續(xù)學(xué)習(xí)并獲得法學(xué)碩士。近年來，先后在北京、上海、深圳等地和國際知名培訓(xùn)機(jī)構(gòu)合作，舉辦超過200次培訓(xùn)，受眾近萬人。并受邀為家樂福、復(fù)星集團(tuán)、美的等幾十家大型中外企業(yè)舉辦內(nèi)訓(xùn)，其扎實(shí)的專業(yè)知識(shí)和豐富的實(shí)操案例，誠懇的敬業(yè)精神，受到培訓(xùn)機(jī)構(gòu)與學(xué)員的高度評(píng)價(jià)。
Mr.LuoiscurrentlyaseniorpartnerofShanghaiHanshengLawFirmandanexpertofChinaAnti-FraudAlliance.Hehasbeenresponsibleforcustomersafetyandinvestigationaffairsformorethan20years.Hehasbeenengagedinassetprotection,businessinvestigation,andsafetyandinvestigationteamformation.Customersaremainlythetop500companiesintheworld.TheyhavebeeninBeijing,Shanghai,GuangzhouandotherplacestohelpinternationalcompaniessuchasIT,logisticsandretailsuccessfullysolvethedifficultiesencounteredintheinvestigationprocess.Beforethat,heworkedinthePublicSecurityDepartmentofacityinthecentralpartofChina,directedtheseriouscasesgroupofthecriminalpolicebrigade,andwasresponsibleforthedetectionofmajorcases.
Mr.Luohasworkedinseveralinternationallyrenownedtop500companiesformanyyears.Hehasengagedincomplianceinvestigationbusiness,includingconductingbackgroundinvestigationoncompanyexecutives,launchinginternalanti-fraudinvestigation,supervisingregionallegalriskprevention,supervising,guiding,coordinatingandencouragingvariousriskpreventionandinternalcontroldepartmentstocooperatewell.
Mr.LuowasgraduatedfromPeople'sPublicSecurityUniversityofChinaandobtainedLLMthroughcontinuouseducation.Inrecentyears,hehasheldmorethan200trainingsandtaughtnear10,000peoplewiththecooperationwithinternationalfamousinstitutionsinBeijing,Shanghai,Shenzhen,etc.HewasinvitedbyseverallargeandmediumenterpriseslikeCarrefour,Fosun,Mideafortrainingandwashighlypraisedbythetraininginstitutionsandstudentswithsoundprofessionalknowledge,practicalcaseandsincerededication.