Page 1 of 8. Training Menu. Course Description Duration

Transcription

1 Page 1 of 8 Training Menu Course Description Duration This SAQA accredited 3- day training course will enable management and executives on how to best detect, prevent 1 Developing a plan to combat corruption in the workplace and react to white collar crime in the workplace, both operationally and on a strategic level. By blending the legal aspects and compliance requirements of institutions (both public and private) with sound fraud and corruption risk management and relevant corporate governance principles, this training provides the best of both worlds. Highly recommended for the 3 days discerning businessman and government official. This SAQA accredited training provides 5 credits at NQF level 5. This SAQA accredited training course provides 120 credits at NQF level 7, which will - Enable attendees to understand the roles of accountants, auditors, lawyers and fraud examiners in the prevention, detection and investigation (reaction) to fraud and corruption; Enable attendees to internalise applicable regulatory frameworks and associated compliance risks that governs white- 2 Advanced Certificate in Fraud Examination for the ACFE collar crime, including common law principles; Sensitise delegates on all aspects of employee and management fraud and corruption; 10 days Expose delegates to a wide range of case studies relating to economic crime; Provide guidance on investigative techniques and tools (including rules of evidence in the workplace); Expose delegates to best practices in fraud & corruption risk management; and Assist delegates to pass the Certified Fraud Examiners exam.

2 Page 2 of 8 This SAQA accredited training course provides 15 credits at NQF level 5, encompassing - Relevant labour law legislation and case law applicable to disciplinary hearings (including pre-hearing issues such as suspension) Investigation of misconduct 3 Conduct a disciplinary hearing Reporting on investigations Proper preparation for holding hearings 5 days Conducting hearings for misconduct and/or incapacity within the ambit of the law; and Post-hearing administration. This one-stop training intervention equips delegates to ensure that disciplinary proceedings are conducted within the ambit of the law from cradle to grave, saving institutions a great amount of money, time and CCMA interventions. This 1-day workshop will enable attendees to Understand criminal Law and process, with case law customized for forensic practitioners and those tasked with 4 A basic understanding of criminal law and process for forensic investigators liaison with law enforcement agencies, to enable them to perform their daily tasks Understand and comply with law of evidence imperatives (thus mitigating the risk of illegal investigations or procedurally unfair processes, which may result in cases thrown out of court on technical issues) Effectively liaise with law enforcement agencies to facilitate justice Understand the court system in South Africa, recovery of the proceeds of crime through the criminal justice system, complainants rights in plea bargaining etc. Corruption is one of the most difficult crimes to prove. Whilst the Prevention and Combating of Corrupt Activities Act, No 12 of 2004 is considered to be a leading instrument internationally, many investigators need guidance to distinguish between all the different corrupt activities created therein. 5 Investigating Corruption: A New Approach Course outline: The Prevention and Combating of Corrupt Activities Act, No 12 of 2004 The different corrupt activities, presumptions and tools. Sources of Evidence 3 days Investigative methodologies for corruption cases (Lifestyle Audits etc.) The differences and similarities between conflict of interest, fraud, corruption, nepotism, theft and asset misappropriation, forgery and uttering etc.

3 Page 3 of 8 Understanding the impact In most organisations, compliance with corporate governance principles (specifically with regard to creating and maintaining of corporate governance an ethical environment) is no longer optional. In addition to brand damage, other negative impacts on non-compliance 6.1 on the deterrence of fraud include qualified financials, criminal prosecution, removal from office / dismissal, administrative fines etc. and corruption Forward-thinking organizations will maximize stakeholder value through regulatory compliance and the (private sector) implementation of best practice. 6.2 Understanding the impact of corporate governance on the deterrence of fraud and corruption (public sector) In most organisations, compliance with corporate governance principles (specifically with regard to creating and maintaining an ethical environment) is no longer optional. In addition to brand damage, other negative impacts on non-compliance include qualified financials, criminal prosecution, removal from office / dismissal, financial misconduct in terms of the PFMA and MFMA etc. Forward-thinking organizations will maximize stakeholder value through regulatory compliance and the implementation of best practice. A 1-day workshop providing delegates with the capacity to draft and implement policies and procedures to ensure that their institution is regulatory compliant with those governance principles relevant to any unethical conduct. The 7.1 Developing relevant policies and procedures to ensure regulatory compliance (private sector) workshop includes Should internal policies be rules or value based? The pro s and cons Do your policies comply with the regulatory framework applicable to you and your industry? Is your whistle-blowing policy compliant with the Companies Act and the Protected Disclosures Act? Is your gift policy and disclosure of interest / ethics policy compliant with the Prevention and Combating of Corrupt Activities Act, No 12 of 2004? Is your disciplinary code and procedure conducive to zero tolerance as envisaged by King III? This includes best practice in procurement and King III.

4 Page 4 of 8 A 2-day workshop providing delegates with the capacity to draft and implement policies and procedures to ensure that their institution is regulatory compliant with those governance principles relevant to any unethical conduct. The workshop includes Should internal policies be rules or value based? The pro s and cons Do your policies comply with the regulatory framework applicable to you and your industry (i.e. Minimum Anti-Corruption Requirements for departments, the Construction industry Development Board s regulations for the construction industry Developing policies and etc)? 7.2 procedures for regulatory compliance Is your whistle-blowing policy compliant with the Protected Disclosures Act and other public sector regulatory measures? Is your gift policy and disclosure of interest / ethics policy compliant with the Prevention and Combating of Corrupt (public sector) Activities Act, No 12 of 2004? Is your disciplinary code and procedure conducive to zero tolerance as envisaged by King III, does is cater for financial misconduct in terms of the PFMA / MFMA and regulations issued in terms of these legislative measures and the Municipal Systems Act? Is your SCM framework compliant with the Preferential Procurement Policy Framework Act, B-BBEE imperatives, National Treasury regulations, practice notes and guidelines, PFMA, MFMA and Municipal Systems Act etc. The above benchmarks include King III. All forensic investigators, whether they be in-house or consultants; are eventually judged on what they present to their employer 8 The Art of drafting effective forensic reports / client. This one day workshop will provide delegates with the capacity to draft concise reports it includes professional, simple and concise grammar, mind-mapping when planning, etc. The outcome will be that your reports will have the quality that the evidence speaks for itself. Various interactive case studies. 9 A forensic practitioner s guide to the law of evidence (not limited to criminal admissibility, but also admissibility requirements in labour law and civil dispute resolution forums) The word forensic means court-driven. How evidence was obtained and maintained, is every bit as important as the evidence itself. Delegates will receive training in aspects of the Law of Evidence applicable in disciplinary hearings, civil and criminal courts such as the right to privacy, the impact of the Protection of Personal Information Bill on the forensic practitioner, hearsay evidence, relevance & admissibility, admissions and confessions, documentary and real evidence, search and seizure, evidence in cyber space, admissibility of polygraphy (limited to disciplinary matters), various case studies to demonstrate this practically; as well as current case law on why cases are lost and how the courts (including the Labour Court in disciplinary matters) interpret the principles.

5 Page 5 of 8 Accountants play an important role in forensic investigations. In many instances the forensic investigators are expected 10 Forensic accounting workshop to perform this role. This 2 day workshop capacitates the delegate to do just that. It entails inter alia Forensic accounting for dummies, understanding financial statements, bank statement analysis, following the money trail, lifestyle audits, the bottom line impact of fraud, fraud in financial statements etc. Capacitating delegates to understand the methodology of how to conduct a Fraud and Corruption Risk Assessment through a 11 Fraud and Corruption risk management gap-analysis approach, the limitations of controls, how to identify, assess, evaluate and weigh fraud and corruption risks, how to categorise and mitigate fraud and corruption risks, what the recommendations from a fraud risk assessment should cover and how it should be presented, monitoring the implementation plan, monitoring vis-à-vis accountability to implement (segregation as per King III). Any organisation s biggest challenge is to make itself a hard target for fraudsters and corrupt elements. The first line of 12 Fraud and Corruption awareness sessions defence is its employees / stakeholders. This session will enable learners to better understand what to be on the lookout for (i.e. fraud/corruption etc.) and its red flags in each business cycle, what to do (and not to do) when something is 5 hours suspected, and from cradle and grave regarding whistle-blowing. Training is provided on the importance of whistleblowing, ensuring organisations know: Sensitization of Who must report? 13 employees regarding whistle-blowing (roll-out What must be reported? When must it be reported? of hotlines) Why are reports necessary? How should reports be made? 14 The art of interviewing A skilled questioner requires the ability to change an approach based on the individual sitting in front of him or her. Planning, methods of questioning, various types of questions, body language, verbal and behavioural clues, how to deal with confessions and admissions and practical tips are included from lessons learnt. This is followed by an interactive case study where learners are afforded the opportunity to demonstrate newly acquired skills. Forensic investigators cannot practice effectively if they do not understand the tools of their trade. 15 White collar crimes: Defining the offences Unpacking the legal theory on the white collar crimes of fraud, theft, forgery and uttering and money laundering How courts interpret the offences The differences and similarities between conflict of interest, fraud, corruption, nepotism, theft and asset misappropriation, forgery and uttering etc.

6 Page 6 of 8 The procurement and supply chain functions (including contract management) are more often than not the highest risk areas for fraud and corruption, simply because someone (the supplier) wants something badly. This workshop will enable 16 Corruption, fraud and other offences in the procurement and supply chain cycle (public sector) attendees to understand corruption, fraud and other compliance risks in the procurement and supply chain functions, how to investigate, prevent and detect it. We delve into the numerous forms of manipulation of procedures, and tailor the programme between regulatory frameworks applicable to local government (MFMA, Systems Act and Structures Act), and other organs or State (PFMA); Treasury Regulations issued in terms of these legislative measures, and the implications of the Promotion of Administrative Justice Act on public sector procurement. We also include a short tailored section for procurement in the construction industry (public sector infrastructure where the Standard For Uniformity applies to all 3 days organs of state and delegates in the construction industry). Our programme includes recovery of ill-gotten gains and numerous practical, real case studies. 17 Money Laundering This practical session focuses on capacitating investigators with regard to money-laundering, and what criminal offences are committed and includes the process of money-laundering from cradle to grave (from layering up to re-introduction) and includes numerous practical, real case studies of how money is and can be laundered. 18 Corruption, fraud and other offences in the procurement and supply chain cycle (private sector) The procurement and supply chain functions (including contract management) are more often than not the highest risk areas for fraud and corruption, simply because someone (the supplier) wants something badly. This workshop will enable attendees to understand corruption, fraud and other compliance risks in the procurement and supply chain functions, how to investigate, prevent and detect it. We delve into the numerous forms of manipulation of procedures like accounts payable and refer to the regulatory framework applicable to private sector entities. Our programme includes recovery of ill-gotten gains and numerous practical, real case studies Recovering ill-gotten gains: How to get your money back public sector Your organisation has lost money due to the dishonesty or mere negligence of another person. Learn what the best and most cost-effective way is to recover funds, dependant on the circumstances of each case. It includes various different civil actions at your disposal, recovery through the criminal justice system, AoD s, recoveries through Pension Funds or per contract etc. The course includes specific clauses in the public sector regulatory framework pertaining to the duty to recover funds, and how it can be recovered. It includes various practical case studies. 5 hours Recovering ill-gotten Your organisation has lost money due to the dishonesty or mere negligence of another person. Learn what the best and 19.2 gains: How to get your money back private most cost-effective way is to recover funds, dependant on the circumstances of each case. It includes various different civil actions at your disposal, recovery through the criminal justice system, AoD s, recoveries through Pension Funds etc. It sector includes various practical case studies.

7 Page 7 of 8 The do s and don ts of This session provides guidance to delegates to enable them to testify in various legal proceedings (including criminal law / civil 20 testifying in legal / disciplinary proceedings and any quasi-judicial proceedings). The course includes preparation, what you should and should proceedings not do, what the concept independence and objectivity really means, followed by a MOOT court interactive case study. A two day workshop specifically designed for criminal prosecutors by prosecutors, enabling them to direct investigations Prosecuting under the under the PFMA and the MFMA, and to draft charge sheets accordingly. The duties of officials under the act(s), the various 21 MFMA and the PFMA in criminal offences under the act(s), how to analyse and interpret evidence etc. Learn who you can prosecute, for what, criminal forums when and how. 22 Acting as a trustee for a medical aid scheme The duties of a trustee under a medical aid scheme avoiding the pitfalls. What are the legal requirements and what is fit and proper? How are the medical aids applying this? The current interpretation in case law. 3 hours 23 Planning a forensic Investigation This session provides forensic practitioners with the capacity to plan an investigation, draft investigation plans, allocate responsibility and time lines based on best practice and lessons learnt. This is followed by an interactive case study allowing delegates the opportunity to demonstrate their skills. 24 Forensic Accounting 25 Bank Statement Analysis This is a forensic accounting lecture provided to non-accountants to provide them with the capacity to understand the basics of accounting as the language of business. This includes explanations of the different branches of accounting, accounting versus bookkeeping, annual financial statements and recording of transactions. This forensic accounting lecture provides delegates the capacity to understand what bank statements can tell you in a forensic investigation. This includes methods to establish income and locate assets, preparation of Net Worth Analysis, identify and locate illegally obtained funds, How to interpret what is NOT on the bank statements. This lecture can be separate, or may be included in a forensic accounting workshop. 26 Profiling of white collar criminals Effective intelligence is the determining factor in a successful forensic investigation. This lecture demonstrates how to profile a suspect and what sources may legally be used. Delegates will learn what information is available in the public domain, and how to legally obtain these various information, for use during any investigation. This lecture details the various investigative tools such as polygraphs, search and seizure, intercepting and monitoring, 27 Investigative tools and the right to privacy handwriting analysis and document examination, confessions and admissions, IT investigations and cell phone analysis demonstrating the do s and don ts as interpreted through relevant case law. This is measured against the employee s constitutional right to privacy.

8 Page 8 of 8 28 Incident Response Handling This enables delegates to correctly react to a report of alleged unethical conduct in the workplace. They will know what initial steps to take, and not to take, in order manage the employer s risk, reputation and assets; and understand the difference between a suspicion and proof. This course will enable the learner to understand and conceptualize the South African regulatory framework Fraudulent Investment applicable to these types of schemes, different schemes structures and modi operanda of scheme operators, sources of 29 Schemes (Ponzi/Pyramid evidence and how to secure it, analysis of evidence (including cash flow analyses / quantification of important data / figures / Schemes) numbers), recourse to interim and final measures in terms of the applicable regulatory framework with the objective to prevent dissipation of assets and continuance of the scheme etc. Investigating unethical This 1-day course is specifically tailored to capacitate role-players in the medical aid industry to effectively detect and 30 conduct in the medical aid investigate corruption, fraud and other unethical behaviours in the medical aid industry. It includes identifying industry specific offences, reporting requirements, recovery of ill-gotten gains and sanctions. FOR ENQUIRIES, CONTACT Riaan Moolman at (riaan@nexustrain.co.za) Kristi van der Mast at (kristi@nexustrain.co.za) info@nexustrain.co.za Visit our website