Pre-Conference Workshop

Workshop B | Effective Report Writing

Jan 23, 2017 12:00pm – 2:30pm

Speakers

Paul Garside
Partner
Groupe Vidocq

Mary Ellen Bench
City Solicitor
City of Mississauga

Day 1 - Tuesday, January 24, 2017

8:00
Registration Opens and Refreshments are Served
9:00
Opening Remarks from Conference Chair
9:15
Keynote Address: Creating a Whistleblower Environment
9:45
Mastering the Legal Framework for Regulatory Investigations
10:15
Networking Refreshment Break
10:30
Planning and Preparing for the Investigation
11:15
Focus on Investigative Techniques
12:00
Networking Luncheon for Delegates and Speakers
1:15
Structuring Investigations with Ethical Considerations
2:00
Improving Interview Skills
2:45
Networking Refreshment Break
3:00
Special Considerations for Joint Investigations
3:45
Panel: Regulatory Compliance Best Practices
4:30
Closing Remarks from the Conference Chair
4:45
Conference Adjourns

Day 2 - Wednesday, January 25, 2017

8:30
Refreshments are Served
9:00
Opening Remarks from Conference Chair
9:05
Keynote: Ensuring Privacy in Investigations
9:30
Investigating in a Digital Age
10:15
Networking Refreshment Break
10:30
Client Privilege Amid Regulatory Investigations
11:15
Spotlight on Administrative Monetary Penalties
12:00
Networking Luncheon for Delegates and Speakers
1:15
Preparing Investigators to Testify
2:00
Negligent Investigations: Legal Issues and Strategies
2:45
Networking Refreshment Break
3:00
Panel: Challenges and Opportunities of Harassment Legislation
3:45
Closing Keynote Address: Enforcement with Appropriate Attitude – Why We Do, What We Do
4:15
Closing Remarks from the Conference Chair
4:30
Conference Concludes

Day 1 - Tuesday, January 24, 2017

8:00
Registration Opens and Refreshments are Served
9:00
Opening Remarks from Conference Chair

Stephen Schmidt
Vice-President, Telecom Policy & Chief Regulatory Legal Counsel
TELUS Communications

9:15
Keynote Address: Creating a Whistleblower Environment

Heidi Franken
Chief, Office of the Whistleblower
Ontario Securities Commission

  • Creating an advantageous environment for informants
  • Awarding monetary compensation for eligible informants, Ontario policy versus Quebec policy
  • Ensuring confidentiality and anti-reprisal measures for informants
  • Self-policing corporations versus corporate misconduct in the hands of the regulator

9:45
Mastering the Legal Framework for Regulatory Investigations

Ken Jull
Counsel
Gardiner Roberts LLP

  • Across the Rubicon in search of due diligence, random tests and muddy waters
    • Dawn raids
    • Crossing the detention line
    • Statements from employees
    •  Continuing regulator purpose
    •  Applying the principles of natural justice to administrative investigations
  • Overlaps between the roles of administrative investigators and police investigators
  • Understanding how the investigative role differs from the function of a decision-making tribunal
    • Understanding the scope of your statutory authority
  •  Assessing the authority of regulatory agencies under the Public Inquiries Act
  • Determining standards that apply to your organization
  • Classifying the context of non-criminal, quasi-criminal or criminal

10:15
Networking Refreshment Break
10:30
Planning and Preparing for the Investigation

Paul Garside
Partner
Groupe Vidocq

Policies and regulations prescribing the manner of the investigation

  • Preparing an investigation plan
  • Who should conduct the investigation?
  • Delimiting the scope of the investigation
  • Noble cause corruption
  • Deciding what needs to be proven on each issue
  •  Identifying the individuals and organizations who have necessary the evidence
  • Experts as team investigators and witnesses
  •  The role of counsel in advising investigators
  • Medial relations
  • Setting time frames, deadlines and a budget
  • Deciding to drop an investigation or not even start one

11:15
Focus on Investigative Techniques

Paul Garside
Partner
Groupe Vidocq

  • How does the procedure for administrative investigations differ from police investigations?
  • The investigator’s toolbox
  • Data seizure and analysis
  •  Investigative interviews
  •  Surveillance
  •  Communication interceptions
  •  Undercover operations
  • Locating that hard-to-find witness
  •  Getting access to documents
  •  Privacy and licensing considerations
  • Keeping track of evidence

12:00
Networking Luncheon for Delegates and Speakers
1:15
Structuring Investigations with Ethical Considerations

Adam Orfanakos
Investigator
Ombudsman Toronto

  •  Advocacy versus investigation: are you investigating on behalf of a complainant?
  • Privacy and disclosure considerations while ensuring transparency
  • Examining procedural fairness at various stages of an investigation
  • Staying within the scope of the investigation

2:00
Improving Interview Skills

Sandy Boucher
Senior Manager, Specialist Advisory Services
Grant Thornton LLP

  • How interviewing skills for regulatory investigations differ from police or internal investigations
  • Knowing and understanding the goals of the interview
  • Designing appropriate questions to suit your needs
    •  Considerations when interviewing a subject who may be charged with an offence
    •  Allowing for the fact that the problem may be more widespread than you know
  • Are witnesses entitled to have someone present during interviews?
  • Establishing rapport with subjects and minimizing their anxiety
  • Interviewing alleged victims, overzealous interviewees, and reluctant/uncooperative interviewees

2:45
Networking Refreshment Break
3:00
Special Considerations for Joint Investigations

Alexandra S. Clark
Director, Enforcement Litigation
Investment Industry Regulatory Organization of Canada (IIROC)

Usman M. Sheikh
Partner
Gowling WLG

  • Cooperating with and/or obtaining information from other regulators
  • Restrictions on sharing information
  • Issues relating to the sequence of proceedings and self-incrimination

3:45
Panel: Regulatory Compliance Best Practices

Josephine A.L. Palumbo
Deputy Commissioner of Competition
Competition Bureau Canada

Gillian Slaughter
Director, Professional Conduct
College of Dental Hygienists of Ontario

  • Distinguishing between inspections, inquiries and investigations
  •  Adhering to regulatory requirements – compliance, enforcement and administration
  • Actions for preventing and detecting non-compliance
  • The fairness issue

4:30
Closing Remarks from the Conference Chair
4:45
Conference Adjourns

Day 2 - Wednesday, January 25, 2017

8:30
Refreshments are Served
9:00
Opening Remarks from Conference Chair
9:05
Keynote: Ensuring Privacy in Investigations

David Goodis
Assistant Commissioner
Information and Privacy Commissioner of Ontario

9:30
Investigating in a Digital Age

Kevin Lo
Managing Director
Froese Forensic Partners

  •  Surfing the web for investigative information and using social media
  • Maintaining security and confidentiality when converting paper records to digital format
  • Accessing confidential information from remote locations and ensuring secure network communications

10:15
Networking Refreshment Break
10:30
Client Privilege Amid Regulatory Investigations

Stephen Schmidt
Vice-President, Telecom Policy & Chief Regulatory Legal Counsel
TELUS Communications

  • Explaining and differentiating key types of privilege, including traditional solicitor-client privilege and litigation privilege
  • Strategies for claiming – and resisting – privilege over materials in the context of an investigation
  • Preserving confidentiality over audits

11:15
Spotlight on Administrative Monetary Penalties

David J. Potts
City Solicitor
The Corporation of the City of Oshawa

  • Defining Administrative Monetary Penalties (AMPs) and their applications
  • Delineating the differences between civil investigations and criminal investigations
  • Issuing Notice of Violation (NOVs) and the legal issues arising when under review

12:00
Networking Luncheon for Delegates and Speakers
1:15
Preparing Investigators to Testify

Owen Wigderson
Lawyer
Wigderson & Associate

  • How to prepare to testify effectively
  • How to testify effectively
  • Common traps and common mistakes

2:00
Negligent Investigations: Legal Issues and Strategies

Natalijia Popovic
Senior Enforcement Counsel
Investment Industry Regulatory Organization of Canada (IIROC)

  • Development of the concept of a negligent investigation
  • Treatment in case law
  • Considerations in fair investigations
  • Proactive measures to reduce potential for negligence

2:45
Networking Refreshment Break
3:00
Panel: Challenges and Opportunities of Harassment Legislation

Mary Rozenberg
Human Dynamics Professional
InterLinkx

Jennifer White
Workplace Investigator and Trainer
Rubin Thomlinson LLP

A comparison of Ontario workplace harassment legislation to the federal legislation under Part II of the Canada Labour Code – scope, definitions and selection of a workplace investigator.

3:45
Closing Keynote Address: Enforcement with Appropriate Attitude – Why We Do, What We Do

Ken Beaman
Solicitor
City of Niagara Falls

  • Understanding the importance of Duty to Enforce, the scope and extent of the duty and using that duty
  • Setting the goal, knowing what you want to achieve, and asking, “Have I done my duty?”
  • Defining success and finding the regulatory win-win result

4:15
Closing Remarks from the Conference Chair
4:30
Conference Concludes

Workshop B | Effective Report Writing

Jan 23, 2017 12:00pm – 2:30pm

Paul Garside
Partner
Groupe Vidocq

Mary Ellen Bench
City Solicitor
City of Mississauga

What is it about?

(Registration opens at 11:30 a.m.)
  • Identifying the target audience of your report
  • Ensuring your report is useful to the reader – style tips and appropriate use of language
  • Making compelling recommendations
  • Appropriate use of personal information in reports
  • Avoiding common mistakes in report writing