The Compliance Response to Misconduct Allegations book cover

The Compliance Response to Misconduct Allegations

Playbook

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.

Audience

Security managers and executives who must lead or conduct workplace investigations but haven’t received formal investigative training; human resources managers; and any others who may be the first to receive reports of wrongdoing, regulatory violations, or allegations about workforce behavior

Paperback, 90 Pages

Published: March 2013

Imprint: Elsevier

ISBN: 978-0-12-416554-0

Contents

  • 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

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