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課程介紹

在公司內(nèi)部的違法違規(guī)活動(dòng)調(diào)查中，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)過程的電子取證環(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；而電子證據(jù)作為一種新興的證據(jù)類型，其取證技巧目前也還是公司治理運(yùn)營(yíng)與內(nèi)部控制的操作難點(diǎn)。

名課堂特邀專為500強(qiáng)企業(yè)提供安全服務(wù)咨詢的調(diào)查專家羅仁才(Richard Luo)先生來同我們分享在過去的刑事偵查以及企業(yè)咨詢所積累的企業(yè)反舞弊調(diào)查技巧。

課程對(duì)象

首席合規(guī)官/合規(guī)總監(jiān)/合規(guī)經(jīng)理、?首席財(cái)務(wù)官/財(cái)務(wù)總監(jiān)/財(cái)務(wù)主管、?內(nèi)審/內(nèi)控總監(jiān)/經(jīng)理、?法律顧問/法務(wù)部經(jīng)理/主管、?風(fēng)險(xiǎn)管理總監(jiān)/經(jīng)理、?調(diào)查總監(jiān)/經(jīng)理、?企業(yè)調(diào)查相關(guān)人士，包括人力資源總監(jiān)/經(jīng)理等

課程大綱

第一部分：言詞證據(jù)的調(diào)取及風(fēng)險(xiǎn)防范

Part I: Retrieving Testimony and Risk Precautions

一、做好取證前的準(zhǔn)備工作

Preparation work before collecting evidence

1.合理邀請(qǐng)相關(guān)部門

Reasonably invite concerning departments

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, we will interview HR and corresponding supervisors. However, in specific cases, personnel from security, legal, financial departments and the like may also be interviewed.

2.仔細(xì)了解事件情況

Understand the event carefully

1)了解事件的方法（觀察、調(diào)查、走訪、咨詢）

Methods to understand the event (observation, investigation, interview and consultation)

2)需要了解的內(nèi)容

Matters to be known

A.事件六要素

Six factors of the event

B.嫌疑人基本情況

Basic information of the suspect

C.證據(jù)及證明人的情況

Information about the evidence and witnesses

D.利害關(guān)系人的基本情況

Basic information of the shareholders

3.詳細(xì)分析案件情況

Deliberately analyze the case

1)根據(jù)現(xiàn)場(chǎng)分析

Investigate the scene

A.有無破壞

Damage

B.有無反常

Abnormality

2)根據(jù)行為造成的后果分析

Analyze the case on the basis of the consequence

3)根據(jù)事件的特點(diǎn)和規(guī)律分析

Analyze the case on the basis of the features and patterns of the event

4)根據(jù)涉案人的家庭及自身性格特點(diǎn)分析

Analyze the case on the basis of the features and patterns of the event

4.訪談方案及防范設(shè)計(jì)

Establish interview protocols and design precautionary measures

1)熟悉事件經(jīng)過

Know well about the event

2)明確目的與要求

Identify purposes and requirements

3)明確步驟與重點(diǎn)

Identify procedures and focuses

4)突破口的選擇

Select critical points to break the deadlock

5)可能出現(xiàn)的辯解與解決方法(后補(bǔ)發(fā)票)

Potential excuses and countermeasures (e.g. invoices to be supplemented later)

6)可能提出的條件與回答（保密，主動(dòng)辭職）

Offers required by the involved and countermeasures (e.g. confidentiality and resign)

7)如何應(yīng)對(duì)談話僵局

Methods to break deadlock

8)談話中的緊急情況與處置辦法（列舉情況）

Emergencies and countermeasures (cases)

二、言詞證據(jù)獲取技巧及風(fēng)險(xiǎn)防范

Skills for obtaining testimony and risk precautions

1.第一次談話

1st interview

1)第一次談話的特點(diǎn)

Characteristics

A.被談話對(duì)象的特定性

Specific interviewee

B.第一談話的重要性

Importance

C.第一談話的規(guī)范性

Normalization

2)第一次談話的作用

Functions

3)第一次談話的要求

Requirements

4)第一次談話的步驟

Steps

A.詢問基本情況

Inquire about basic information

B.告知其享有的權(quán)利

Inform the interviewee of his/her rights

C.向其提出問題

Raise questions

5)第一次談話的方法

Methods

A.因人而異選擇開頭方法

Adapt the first sentences to the interviewee

B.掌握時(shí)機(jī)，適時(shí)切入主題

Introduce the subject at the right time

C.結(jié)束談話，恰到好處

End the interview at the right time

2.談話突破口的選擇

Selection of points to break deadlock

1)從心理上突破

Psychology

A.僥幸心理的突破

Fluke mind

B.畏罪心理的突破

Fear for punishment

C.顧慮心理的突破

Worry

2)從情節(jié)上突破

Plot

A.選擇其最擔(dān)心的情節(jié)突破

The plot that worries the interviewee most

B.選擇其最放心的情節(jié)突破

The plot that comforts the interviewee most

C.選擇證據(jù)確鑿的情節(jié)突破

The plot that features abundant evidence

D.選擇特殊行為突破

Particular behaviors

3)從個(gè)人特點(diǎn)上突破

Personal characteristic

A.針對(duì)不同性格的人采取不同談話方法

Change methods according to personalities

B.作息規(guī)律，適應(yīng)性，個(gè)人特點(diǎn)等綜合分析

Analyze the interviewee from his/her daily routine, adaptability and features

C.從其對(duì)事業(yè)生家庭的責(zé)任感找出突破口

Evoke the interviewee's sense of responsibility towards career and family

D.動(dòng)機(jī)決定行動(dòng)

Find out motives

三、常見言詞證據(jù)的印證及調(diào)查方式

Methods for verifying and inquiring into typical testimony

1.以現(xiàn)場(chǎng)為中心調(diào)查取證

Scene-based investigation

1)保護(hù)好現(xiàn)場(chǎng)

Protect the scene

2)及時(shí)全面收集在場(chǎng)人員名單

Timely and thoroughly collect the list of people present

3)及時(shí)進(jìn)行現(xiàn)場(chǎng)拍照截圖

Timely photograph the scene

4)現(xiàn)場(chǎng)提取物品要客觀實(shí)際

Objectively extract evidence

5)注意對(duì)相關(guān)現(xiàn)場(chǎng)的檢查保護(hù)

Investigate and protect relevant scenes

2.以談話為中心調(diào)查取證

Interview-based investigation

1)根據(jù)談話的事實(shí)內(nèi)容

On the basis of facts

2)根據(jù)提供的線索

On the basis of clues

3)根據(jù)被談話人的辯解

On the basis of excuses

4)與現(xiàn)場(chǎng)等其它證據(jù)結(jié)合

In consideration of other evidence (e.g. scene)

3.以相對(duì)人陳述為中心調(diào)查取證

Counterpart-based investigation

1)根據(jù)陳述的情節(jié)

On the basis of plots

2)根據(jù)陳述提供的線索

On the basis of clues

3)與其它證據(jù)結(jié)合

In consideration of other evidence

四、對(duì)幾種重要證人的調(diào)查取證

Evidence gathering from several material witnesses

1.對(duì)知情人的談話及調(diào)查取證

From the informant

2.對(duì)共同涉案人的談話及調(diào)查取證

From the common suspect

3.對(duì)利益損害者的談話及調(diào)查取證

From the victim

1)了解利益相對(duì)人的心理(憤恨、報(bào)復(fù)、恐懼、羞怯)

Understand the victim's feelings(e.g. anger, revenge, fear, timidity)

2)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）

Find out facts that affect authenticity of the statement (time, place, environmentally and personal conditions)

3)談話方法（消除不良心理，講究策略）

Choose proper methods of communication (ease negative emotions and use suitable strategies)

4)審查判斷陳述的真實(shí)性

Judge if the statement is authentic

第二部分： 實(shí)物證據(jù)的調(diào)取及風(fēng)險(xiǎn)防范

Part II: Retrieving Physical Evidence and Risk Precautions

一、收集運(yùn)用實(shí)物證據(jù)常見問題及風(fēng)險(xiǎn)防范

Typical problems about collecting and using physical evidence & precautions against such problems

1.收集證據(jù)常見問題及解決方法

FAQ - Collection of evidences

2.固定證據(jù)常見問題及解決方法

FAQ - Fixing evidence

3.運(yùn)用證據(jù)常見問題及解決方法

FAQ - Use of evidences

二、文檢基礎(chǔ)知識(shí)

Basic knowledge of document examination

1.筆跡檢驗(yàn)

Handwriting examination

1)書寫文字特征

Handwritten character characteristics

2)文字布局特征

Text style characteristics

3)標(biāo)點(diǎn)符號(hào)特征

Punctuation mark

4)摹仿筆跡的特征

Imitated handwriting characteristics

2.文件檢驗(yàn)

Document examination

1)印刷文件檢驗(yàn)

Printing document examination

2)污損文件的檢驗(yàn)

Stained document examination

3.印章檢驗(yàn)

Seal examination

第三部分：電子證據(jù)取證技巧及風(fēng)險(xiǎn)防范

Part III: Skills for Collecting Digital Evidence and Risk Precautions

一、電子證據(jù)概述

Introduction

1.電子證據(jù)概念及特征

Concepts and features

2.電子證據(jù)的立法狀況

Legislative status

3.電子證據(jù)立法內(nèi)容前瞻

Prospect of legislation

二、電子證據(jù)來源和收集

Source and collection

1.電子證據(jù)的三方面來源

Three sources

1)存儲(chǔ)介質(zhì)中（硬盤、U盤、光盤等）

Memories (hard disks, USB flash disks, compact disks)

2)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）

Electromagnetic radiation (including radiation from screens, telecommunication lines, host computers and output devices)

3)傳輸線路中（線路的監(jiān)聽截取數(shù)據(jù)，反監(jiān)聽）

Transmission lines (monitoring & anti-monitoring)

2.電子證據(jù)收集概念

Concept of collection

3.電子證據(jù)收集的范圍

Scope of collection

4.電子證據(jù)收集規(guī)則

Rules of collection

5.電子證據(jù)的收集方法

Methods of collection

1)一般電子證據(jù)收集

Collecting typical evidence

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

Scene protection: keep irrelevant people out of the scene, block the IT district and camera surveillance, cut remote control and prevent unauthorized access to equipment and objects involved in the case

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

Scene interview: interview system administrators, department supervisors, terminal users and informants

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

Scene investigation: conduct investigation about network personnel, computer skills, motives, network cases, special personnel and environment

2)特殊電子證據(jù)收集

Collecting special evidence

A.手機(jī)短信息電子證據(jù)的收集

Instant messages

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

Internet chatting records

D.數(shù)碼照片形式電子證據(jù)的收集

Digital photos

6.電子證據(jù)收集要求

Requirements for collection

7.電子證據(jù)收集技術(shù)

Technology for collection

8.Windows系統(tǒng)的反取證技術(shù)

Windows applications impeding evidence collection

三、電子證據(jù)形式Form

1.證據(jù)幾種常見形式的回顧

Common forms

2.電子證據(jù)形式界定的混亂

Confusing definition

3.電子證據(jù)形式的發(fā)展及要解決問題

Development and problems

4.電子證據(jù)的證明力

Degree of proof

四、電子證據(jù)的保全和效力

Preservation and legal effect

1.電子證據(jù)的常規(guī)保全

Normal preservation

2.電子證據(jù)的公證保全

Preservation by notarization

3.電子證據(jù)的保全原則及方法

Principles and methods for preservation

4.電子證據(jù)的保全技術(shù)

Technology for preservation

5.電子證據(jù)的效力分析

Analysis of legal effect

五、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, relevance and validity)

2.電子證據(jù)證明力認(rèn)定（可靠性、完整性）

Determination of the degree of force (reliability and completeness)

1)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）

Methods of authentication (agencies, authenticators, procedures, types and regulations)

第四部分： 盡職調(diào)查技巧及風(fēng)險(xiǎn)防范

Part IV: Skills for due diligence investigation and risk precautions

一、貪腐案件概述

Corruption

1.案件的種類及成因分析

Types and courses

1)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）

Misappropriation of assets (including payments, salaries, reimbursement, money collection and steal)

2)貪污腐敗（利益沖突、貪污賄賂、招投標(biāo)舞弊、工程舞弊）

Corruption (including conflicts of interests, bribery and corruption, and malpractices about bidding and projects)

3)財(cái)報(bào)舞弊（虛假收入、低估負(fù)債、不恰當(dāng)資產(chǎn)估值）

Financial statement fraud (including misrepresentation of incoming, understatement of liabilities and false appraisal of assets)

2.證據(jù)調(diào)查及風(fēng)險(xiǎn)防范

Evidence investigation and risk precautions

1)指示性證據(jù)

Indicative evidence

2)證實(shí)性證據(jù)

Confirmatory evidence

A.舞弊征兆調(diào)查

Investigating signs of fraud

B.預(yù)警信號(hào)收集

Collecting early warnings

3.證實(shí)性證據(jù)的調(diào)查方法

Methods for investigation of confirmatory evidence

1)監(jiān)控正在進(jìn)行的交易，以取得更多證據(jù)

Monitor on-going transactions for more evidence

2)詢問知情人，掌握更多信息

Interview informants to gain more information

3)認(rèn)真審核已經(jīng)發(fā)生的同類型交易的憑證、單據(jù)

Carefully audit vouchers and bills of previous similar transactions

4)通過硬盤鏡像等手段，保全嫌疑人的電子信息

Keep the suspect's data in hard disks by making mirror image

5)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

Collect more information through the Internet, such as gaining information from BBS, Weibo and online ads

6)同第三方的面談、聯(lián)系或核實(shí)證據(jù)

Interview and communicate the third party and verify the evidence

二、匿名舉報(bào)的處理技巧及風(fēng)險(xiǎn)防范

Skills for handling anonymous information and risk precautions

1.接收匿名信息時(shí)應(yīng)確定的信息

Information to be determined after receipt

1)信息是如何傳遞的（郵件、信件、手寫、打印）

Transmission methods (e-mail, letter, handwriting, printing)

2)信息發(fā)出的時(shí)間、地點(diǎn)、發(fā)給何人

Time & place of delivery and the addressee

3)舉報(bào)的內(nèi)容

Content

4)為何舉報(bào)，可能的動(dòng)機(jī)

Reasons and possible motives

2.決定如何調(diào)查

Investigation methods

1)匿名無實(shí)證的舉報(bào)

Information without evidence

2)匿名實(shí)證的舉報(bào)

Information with evidence

三、如何使用外部調(diào)查資源

Investigation with external resources

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）

Types of external investigation resources (business consultants companies, security companies and detective agencies)

2.如何選擇合適的有資質(zhì)的調(diào)查公司

How to choose qualified investigation companies?

3.如何防范使用調(diào)查公司帶來的風(fēng)險(xiǎn)

How to prevent risks from engaging investigation companies?

4.如何有效追訴刑事法律責(zé)任？

How to pursue the criminal responsibility?

羅老師

羅先生現(xiàn)任世界著名安全服務(wù)公司營(yíng)運(yùn)總監(jiān)，負(fù)責(zé)客戶的安全及調(diào)查事務(wù)、重大安保項(xiàng)目的安全防范設(shè)計(jì)，在公司資產(chǎn)防損，商務(wù)調(diào)查，安全及調(diào)查隊(duì)伍組建等方面有近20年運(yùn)作經(jīng)驗(yàn)。客戶主要為世界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(guó)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。

羅先生曾擔(dān)任某國(guó)際物流公司高級(jí)安全調(diào)查專員、獨(dú)立負(fù)責(zé)華南區(qū)各項(xiàng)調(diào)查及安全事務(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，實(shí)施風(fēng)險(xiǎn)防范工作。此后，羅先生還曾擔(dān)任國(guó)際一流零售巨頭的區(qū)域風(fēng)險(xiǎn)防范部經(jīng)理，負(fù)責(zé)監(jiān)督區(qū)域的法律風(fēng)險(xiǎn)防范工作，指導(dǎo)各城市門店規(guī)范安全預(yù)案，提高調(diào)查水平，規(guī)劃法律預(yù)案，根據(jù)門店、人力資源部門實(shí)際需求提供法律解決方案，監(jiān)督、指導(dǎo)、協(xié)調(diào)和激勵(lì)各風(fēng)險(xiǎn)防范和內(nèi)控部門做好配合工作。

羅先生畢業(yè)于中國(guó)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(guó)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、索尼愛立信、美的等多家大型中外企業(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(chéng)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)。

我要報(bào)名

在線報(bào)名：企業(yè)反舞弊調(diào)查訪談、取證技巧及內(nèi)部控制全面指導(dǎo)(上海)

其他城市內(nèi)部控制培訓(xùn)

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