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.
Key Features
- 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
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
About the Author
About Elsevier’s Security Executive Council Risk Management Portfolio
Industry Applicability Validation
- Process of Investigation, 3e, Sennewald, 9780750679503, $77.95, 344 pp., 5/2006
- Contemporary Security Management, 3e, Fay, 9780123815491, $64.95, 466 pp., 11/2010
- Domestic Violence Spills Over into the Workplace (Proven Practices), Jackson, 9780124165519, $74.95, 22 min., 3/2013
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
