Supply Chain Investigations

Table Top Exercises (TTX)

Mr. Jason TeoSenior Director

Regional APAC Head of Business Continuity &

Global Head of Central Security

Infineon Technologies

WORKING TOGETHER TO ACHIEVE A RESILIENT SUPPLY CHAIN www.TAPA-APAC.org

WORKING TOGETHER TO ACHIEVE A RESILIENT SUPPLY CHAIN www.TAPA-APAC.org

Basic Investigation TechniquesTopics

What is Investigation?

General Investigation flow

How Information is obtained, and things to take note

Hypothesis

Fact findings flow

Building the storyline

Review all evidence and Hypothesis, taking necessary actions

Table-Top Exercise

Pre-exercise Preparation

Scenario

Breakout Activities (20 minutes each)

Sharing and Review

Investigation Definition

The act or process of

investigating; a careful

search or examination in

order to discover facts, etc.

Purpose

To gather facts / evidence to

assist the investigator in deciding

whether a case is valid and if

further action is required.

Investigation Flow

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Critical Information

Requires Critical Attention

Hypothesis

Rejected

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected

Information usually is obtained through the

following method :

Informer / Tips

By Accident

Internal Audit

Internal Control

External Audit

Notified by Authorities

%

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected What are the ways you will receive the

information?

Phone Call

Email

Letter (Snail mail)

SMS

Face to Face Conversation

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected

Important things to take note if you received the

info through phone call or face to face conversation

Who (try to get as much information about the

informer, accused or possible witness’s name to

the issue if received a call)

What is involved? What is the intention of the

informer?

When did you received the information… Date,

Time. When the quoted incident happened.

Why the incident happened?

How the informer knows about the issue

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

RejectedBefore Investigator starts an investigation,

he/she has to generate a Hypothesis based

on limited information available.

A hypothesis helps the investigator to focus

on the investigation and setup a respective

plan before gathering evidence/fact.

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected

Suspect

Area of Influence

No Control

Bullseye of InvestigationContrary to archery that would always aim at the center

of the bullseye, facts gathering always start from outer

ring of the bullseye to ensure

1. The suspect moral not affected if hypothesis is

overthrown

2. Sufficient evidence is available before approaching

suspect to prevent any act of sabotage or cover up

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected

Recording of statement is essential to give a

good understanding of the incident and useful

for reconciliation with suspect’s statement.

Always choose the people at the area of

concern for statement recording, do not ask for

them to step up voluntarily for a statement as

not many would come forward.

Record the statement with a witness, unless

you are just gathering information only.

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected

Review all the evidences and statements

versus the initial hypothesis.

If the hypothesis is correct, then, you are

on the right path.

If not, you will have to review the

hypothesis again, and collect more

evidence.

Once the evidences are concrete, actions

has to be taken.

General Investigation Flow

Receive of Information

Hypothesis

Gather Facts

Review Facts vs

Hypothesis

Take Action

Hypothesis Accepted

Hypothesis

Rejected Immediate action has to be taken to

contain the issue and team must be setup

to look into preventive action.

Consequence management has to be

reinforced to prevent recurrence.

Ensure proper documentation and

retention of all case files.

Table-Top Execrise

(TTX)

Purpose

To simulates an emergency situation in order to test the

readiness and awareness of participants to their roles

during an unplanned incident or crisis.

Comprise of table top exercise focusing on

communication, coordination and response.

Selected participants and controllers will participate and

be assigned to their roles.

Purpose

A tabletop exercise simulates an emergency situation in an informal,

stress-free environment.

Advantages and Disadvantages of

Tabletop Exercises

Advantages Requires only a modest commitment in

terms of time, cost, and resources

Is an effective method for reviewing plans,

procedures, and policies

Is a good way to acquaint key personnel with

emergency responsibilities, procedures, and

one another

Disadvantages Lacks realism and thus does not provide a

true test of an emergency management

system’s capabilities

Provides only a superficial exercise of plans,

procedures, and staff capabilities

Does not provide a practical way to

demonstrate system overload

Scenario 1

1. You are the regional security head for a high-tech global

company

1. On 10 Nov. 2020, you received a call from your local

logistics manager, informing you that they are investigating

in a series of short-shipment from Singapore to USA, via

Taiwan and also S. Korea. Each shipment valued at

USD50K to USD250K on average. This has been going on

for a few months and customers are getting upset. Police

reports have been lodged.

Scenario 1 (10 mins Discussion)

Within your group, please discuss the following:

1. What do you think you should be doing first?

2. What issues do you have in mind when you received

this call?

3. How would you plan your investigations?

4. How do you feel as an investigator?

Scenario 2 (10mins Discussion)

2 of your global forwarders have submitted their

investigations reports which were inconclusive where the

lost shipment could have gone. Insurance claims were

filed.

1. What do you think you should be doing first?

2. What are your hypothesis and why?

3. How would this information affect your investigations?

Scenario 3 (10mins Discussion)

Your management request that you lead the investigations

and mitigate the risk and minimise the business impact.

1. What would you do to assure your management team

2. What resources would you need?

3. What preventive measures and engagement strategies

would you recommend?

Break & We will review

the TTX Together