The Compliance Response to Misconduct Allegations, 2nd Edition

  • Published By:
  • ISBN-10: 012416563X
  • ISBN-13: 9780124165632
  • DDC: 658.314
  • Grade Level Range: College Freshman - College Senior
  • 90 Pages | eBook
  • Original Copyright 2013 | Published/Released May 2014
  • This publication's content originally published in print form: 2013

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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.

Table of Contents

Front Cover.
Half Title Page.
Title Page.
Copyright Page.
Executive Summary.
1: Introduction.
2: Reasons to Investigate.
3: Preliminary Issues.
4: Creation of a Need-to-Know Group.
5: Identification of Appropriate Investigators.
6: Planning the Investigation.
7: General Interview Issues.
8: Taking Notes.
9: Taking Written Statements.
10: Reporting Findings.
11: 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.