The book provides a simple but effective method for carrying out internal investigations based on a BASIC approach that follows five main steps: Beginning the Investigation (Setting the Context, Defining the Agreed Sponsor, Setting the Terms of Reference, Establishing Resources), Assessing the Issues (Outline Planning, Interviewing, Recording, Ensuring Consistency), Substantiating the Claims (Outline Planning, Techniques, Gathering Sound Evidence, Arriving at Conclusions), Investigating the Implications (Outline Planning, Compliance and Blame Issues, Learning Lessons, Focus on Risk Management), Communicating the results (Outline Planning, Giving Briefings, Reporting, Closing the Investigation). Using the basic approach, all more senior employees and associates will be able to use this book to develop an important new skills-set that will help them conduct a credible internal investigation, as and when required.
Book Details:
- Author: K. H. Spencer Pickett
- ISBN: 9780470743102
- Year Published: 2008
- Pages: 214
- BISAC: BUS003000, BUSINESS & ECONOMICS/Auditing
About the Book and Topic:
The book provides a simple but effective method for carrying out internal investigations based on a BASIC approach that follows five main steps: Beginning the Investigation (Setting the Context, Defining the Agreed Sponsor, Setting the Terms of Reference, Establishing Resources), Assessing the Issues (Outline Planning, Interviewing, Recording, Ensuring Consistency), Substantiating the Claims (Outline Planning, Techniques, Gathering Sound Evidence, Arriving at Conclusions), Investigating the Implications (Outline Planning, Compliance and Blame Issues, Learning Lessons, Focus on Risk Management), Communicating the results (Outline Planning, Giving Briefings, Reporting, Closing the Investigation). Using the basic approach, all more senior employees and associates will be able to use this book to develop an important new skills-set that will help them conduct a credible internal investigation, as and when required.
It is common for internal investigations to be poorly conducted, and for results to be unreliable. There is a lack of training and support available to help people carry out reviews of specific problems in their organization such as complaints, staff grievances, errors, systems failures, unexplained losses, poor performance and allegations against employees and/or associates. Moreover, there doesnt appear to be any user-friendly material amongst the available technical books that tend to focus on complex forensic work or specialist health and safety investigations. There is a major gap in the market for a helpful and straightforward guide to ensure the many thousands of everyday internal investigations are carried out to an acceptable standard.
AUTHOR REPUTATION: well-known in the field, with unit sales of his twelve Wiley books totaling around 20,000 copies KEY SUBJECT: There are no up-to-date books in this area. Many existing publications focus on compliance and forensic fraud work and this is seen as a specialist area outside the remit of general and finance managers. USER FRIENDLY: easy to use guide containing a set of basic standards that can be employed by anyone whenever they are asked to investigate and report back.
About the Author
KH Spencer Pickett (Surrey, UK), Author of 12 books published by John Wiley and Sons (Inc and UK), lecturer in internal auditing, risk management and investigations, member of ACCA Corporate Governance and Risk Management Committee, member of ACCA Internal Audit Members Network, executive committee member of the UKs Control Risk Self Assessment Forum.