The Compliance Response to Misconduct Allegations

Playbook

John D. Thompson

• Publisher: Elsevier
• Year: 2013
• Edition: 2
• eBook ISBN:
  9780124165632
• Topic: Business
• Subtopic: Human Resource Management
• Index: Business

The Compliance Response to Misconduct Allegations playbook is a step-by-step guide for what to do—and what not to do—in performing an investigation into claims of violations of employee policies. It has been created for corporate professionals who are often the first to be contacted during a suspected employee-related claim, and who may not have investigative training. Sections of this playbook address the decision whether to investigate, the naming of investigators, investigation planning, interview techniques and issues, the importance of taking notes and written statements, investigations in union settings, and much more. Also included are a series of checklists and templates to aid the investigative team before, during, and after an investigation. This playbook is an excellent risk management resource for audit professionals, human resources managers, site or facility managers, small business owners, or anyone who may be the first to receive reports of wrongdoing, regulatory violations, or prohibited workforce behavior. The Compliance Response to Misconduct Allegations is a part of Elsevier's Security Executive Council Risk Management Portfolio, a collection of real world solutions and "how-to" guidelines that equip executives, practitioners, and educators with proven information for successful security and risk management programs. - Describes the ethical and legal reasons for a company to follow up on and take every employee complaint seriously - Provides a framework of best practices the investigative team can use to prepare for and conduct workplace investigations - Includes a series of checklists and templates to aid the investigative team before, during, and after the investigation

Appendix A

Checklists

1 Identifying Investigators

Are special skills required?

Should an attorney conduct the investigation?

Are there actual or potential conflicts of interest that should be addressed?

Are the proposed investigators objective and resistant to pressure?

Will any party claim the proposed investigators are biased?

Are the proposed investigators the individuals who can maximize the information obtained in interviews?

2 Obtaining Documents

Personnel files

Telephone records

Expense account records

Personnel information on computer

Appointment calendars

Time cards

Building entrance/exit records

Computer/word processing disks (and hard drive memory)

Electronic mail records

Voice mail records

3 Planning the Investigation

Minimize witness intimidation

Form investigative team and divide duties

Establish a time frame for completion of the investigation

Prepare confirmatory memorandum to complainant

Obtain and review relevant documents

Consider special investigative techniques

Identify interviewees

Establish an interview location

Arrange interview order

Prepare opening and closing comments

Prepare set of...

Table of contents

• Cover image
• Title page
• Table of Contents
• Copyright
• Executive Summary
• Section I. Introduction
• Section II. Reasons to Investigate
• Section III. Preliminary Issues
• Section IV. Creation of a Need-to-Know Group
• Section V. Identification of Appropriate Investigators
• Section VI. Planning the Investigation
• Section VII. General Interview Issues
• Section VIII. Taking Notes
• Section IX. Taking Written Statements
• Section X. Reporting Findings
• Section XI. Investigations in Union Environments
• Appendix A. Checklists
• Appendix B. Sample Confirmation Memorandum
• Appendix C. Investigation Matrix
• About the Author
• About Elsevier’s Security Executive Council Risk Management Portfolio
• Industry Applicability Validation