The Compliance Response to Misconduct Allegations

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

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

Executive Summary

What is a Playbook?

Section I. Introduction

1.1 What Exactly Do We Mean by “Investigations?”

Section II. Reasons to Investigate

2.1 Legal Requirement to Investigate

2.2 Legal “Knew or Should Have Known” Standard

2.3 Formal Versus Informal Complaint

Section III. Preliminary Issues

3.1 Preliminary Interviews

3.2 Ensure the Safety of All Concerned

Section IV. Creation of a Need-to-Know Group

Section V. Identification of Appropriate Investigators

5.1 Special Skills

5.2 Attorney–Client Privilege and Attorney Work Product

5.3 Conflicts of Interest

5.4 Objectivity and Pressures

5.5 Matching the Investigator to the Situation

Section VI. Planning the Investigation

6.1 Minimize Witness Intimidation

6.2 Form Investigative Team and Divide Duties

6.3 Establish the Time Frame for the Investigation

6.4 Confirmatory Memorandum

6.5 Obtain Relevant Documents

6.6 Special Investigative Techniques

6.7 Determine Who to Interview

6.8 Interview Location

6.9 Interview Order

6.10 Prepare Opening and Closing Comments

6.11 Prepare a Set of Written Questions

6.12 Multiple Interviews

6.13 Written Statements

6.14 Taking Notes

Section VII. General Interview Issues

7.1 Procedural Issues

7.2 Issues Unique to Public Entities

7.3 Specific Issues

7.4 Style Issues

7.5 Issues Unique to the Subject Matter

Section VIII. Taking Notes

8.1 Designate a Primary Note Taker

8.2 What to Include in Notes

8.3 Need for Completeness

8.4 Exclude Interpretation, Subjective Comments or Conclusions

8.5 Note Demeanor

8.6 Write for the Jury

Section IX. Taking Written Statements

9.1 Obtaining Voluntary Statements

9.2 Requiring Employee Statements

9.3 Identify Topics but Not Content

9.4 Elements of the Statement

Section X. Reporting Findings

10.1 Reporting Preliminary Conclusions

10.2 Inclusion of Attorney

10.3 Reporting Conclusions, Recommendations

10.4 After Consensus is Reached, Create a Summary Report

10.5 Communication Beyond the Need-to-Know Group

10.6 Attorney File Review

Section XI. Investigations in Union Environments

11.1 Handling the Press

11.2 Conclusion

Appendix A. Checklists

1 Identifying Investigators

2 Obtaining Documents

3 Planning the Investigation

4 Procedural Interview Issues

5 Technical Interview Issues

6 Taking Notes

7 Taking Written Statements

8 Reporting Findings

9 What Not to Do

Appendix B. Sample Confirmation Memorandum

Confidential

Appendix C. Investigation Matrix

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