The Business Response to Misconduct Allegations ：Playbook ( 3 )

Publication subTitle ：Playbook

Publication series ：3

Author： Thompson   John D.  

Publisher： Elsevier Science‎

Publication year： 2014

E-ISBN: 9780128009055

P-ISBN(Paperback): 9780128008416

P-ISBN(Hardback):  9780128008416

Subject： F272.9 Enterprise Administrative Management

Keyword： 劳动科学,经济计划与管理,经济

Language： ENG

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Description

The third edition of The Business Response to Misconduct Allegations is a step-by-step guide for what to do—and what not to do—in performing an investigation into claims of employee policy violations. 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.

This revised edition has been expanded to include background information for audit, facilities and building management, human resources, IT security, and other non-security business functions. Sections of this book 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 Business 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, an

Chapter

Front Cover

Front Cover

The Business Response to Misconduct Allegations

The Business Response to Misconduct Allegations

Copyright Page

Copyright Page

Contents

Contents

Executive Summary

Executive Summary

What is a Playbook?

What is a Playbook?

I: Introduction

I: Introduction

1.1 Who is this Book for?

1.1 Who is this Book for?

1.1.1 Audit Professionals

1.1.1 Audit Professionals

1.1.2 Compliance Professionals

1.1.2 Compliance Professionals

1.1.3 Facilities and Building Managers

1.1.3 Facilities and Building Managers

1.1.4 Human Resources Professionals

1.1.4 Human Resources Professionals

1.1.5 Information Technology Security Professionals

1.1.5 Information Technology Security Professionals

1.2 What Exactly do we mean by “Investigations?”

1.2 What Exactly do we mean by “Investigations?”

II: Reasons to Investigate

II: Reasons to Investigate

2.1 Legal Requirement to Investigate

2.1 Legal Requirement to Investigate

2.2 Legal “Knew or Should Have Known” Standard

2.2 Legal “Knew or Should Have Known” Standard

2.3 Formal Versus Informal Complaint

2.3 Formal Versus Informal Complaint

III: Preliminary Issues

III: Preliminary Issues

3.1 Preliminary Interviews

3.1 Preliminary Interviews

3.2 Ensure the Safety of All Concerned

3.2 Ensure the Safety of All Concerned

IV: Creation of a Need-to-Know Group

IV: Creation of a Need-to-Know Group

V: Identification of Appropriate Investigators

V: Identification of Appropriate Investigators

5.1 Special Skills

5.1 Special Skills

5.2 Attorney–Client Privilege and Attorney Work Product

5.2 Attorney–Client Privilege and Attorney Work Product

5.3 Conflicts of Interest

5.3 Conflicts of Interest

5.4 Objectivity and Pressures

5.4 Objectivity and Pressures

5.5 Matching the Investigator to the Situation

5.5 Matching the Investigator to the Situation

VI: Planning the Investigation

VI: Planning the Investigation

6.1 Minimize Witness Intimidation

6.1 Minimize Witness Intimidation

6.2 Form Investigative Team and Divide Duties

6.2 Form Investigative Team and Divide Duties

6.3 Establish the Time Frame for the Investigation

6.3 Establish the Time Frame for the Investigation

6.4 Confirmatory Memorandum

6.4 Confirmatory Memorandum

6.5 Obtain Relevant Documents

6.5 Obtain Relevant Documents

6.6 Special Investigative Techniques

6.6 Special Investigative Techniques

6.7 Determine Who to Interview

6.7 Determine Who to Interview

6.8 Interview Location

6.8 Interview Location

6.9 Interview Order

6.9 Interview Order

6.10 Prepare Opening and Closing Comments

6.10 Prepare Opening and Closing Comments

6.11 Prepare a Set of Written Questions

6.11 Prepare a Set of Written Questions

6.12 Multiple Interviews

6.12 Multiple Interviews

6.13 Written Statements

6.13 Written Statements

6.14 Taking Notes

6.14 Taking Notes

VII: General Interview Issues

VII: General Interview Issues

7.1 Procedural Issues

7.1 Procedural Issues

7.1.1 General Description of Situation

7.1.1 General Description of Situation

7.1.2 Purpose of Investigation

7.1.2 Purpose of Investigation

7.1.3 No Conclusions Reached

7.1.3 No Conclusions Reached

7.1.4 Need for Interviewee Not to Discuss Investigation

7.1.4 Need for Interviewee Not to Discuss Investigation

7.1.5 What Information Investigators Will Share

7.1.5 What Information Investigators Will Share

7.1.6 Describe Investigation Process

7.1.6 Describe Investigation Process

7.1.7 No Promises as to Outcome

7.1.7 No Promises as to Outcome

7.1.8 Organization Policies Involved

7.1.8 Organization Policies Involved

7.1.9 Seriousness of Issue

7.1.9 Seriousness of Issue

7.1.10 Penalty for Providing False Information or Noncooperation

7.1.10 Penalty for Providing False Information or Noncooperation

7.1.11 Protection from Retaliation

7.1.11 Protection from Retaliation

7.1.12 Obtain Identity of Potential Witnesses

7.1.12 Obtain Identity of Potential Witnesses

7.1.13 Identify and/or Obtain Documents

7.1.13 Identify and/or Obtain Documents

7.2 Issues Unique to Public Entities

7.2 Issues Unique to Public Entities

7.3 Specific Issues

7.3 Specific Issues

7.3.1 Recording of Interviews

7.3.1 Recording of Interviews

7.3.2 Presence of Attorneys or Third Parties

7.3.2 Presence of Attorneys or Third Parties

7.3.3 Interviewing Nonemployees

7.3.3 Interviewing Nonemployees

7.3.4 Requiring the Cooperation of Employees

7.3.4 Requiring the Cooperation of Employees

7.3.5 Privacy Considerations

7.3.5 Privacy Considerations

7.3.6 Assume Attorney Involvement

7.3.6 Assume Attorney Involvement

7.3.7 Assume Verbatim Recording of Interviews

7.3.7 Assume Verbatim Recording of Interviews

7.3.8 Discussion of Investigator Opinions and Conclusions

7.3.8 Discussion of Investigator Opinions and Conclusions

7.3.9 Divulging Information Unnecessarily

7.3.9 Divulging Information Unnecessarily

7.3.10 Assessing Demeanor

7.3.10 Assessing Demeanor

7.3.11 Avoiding Terms with Criminal Law Implications

7.3.11 Avoiding Terms with Criminal Law Implications

7.3.12 Avoiding Terms with Legal Implications

7.3.12 Avoiding Terms with Legal Implications

7.3.13 Ask Open-Ended Questions, Then Press for Details

7.3.13 Ask Open-Ended Questions, Then Press for Details

7.3.14 Hearsay and Rumor

7.3.14 Hearsay and Rumor

7.4 Style Issues

7.4 Style Issues

7.4.1 Professionalism

7.4.1 Professionalism

7.4.2 Objectivity

7.4.2 Objectivity

7.4.3 Listening

7.4.3 Listening

7.4.4 Building Trust

7.4.4 Building Trust

7.5 Issues Unique to the Subject Matter

7.5 Issues Unique to the Subject Matter

7.5.1 Determine Whether a Violation of the Organization’s Policy Has Occurred

7.5.1 Determine Whether a Violation of the Organization’s Policy Has Occurred

7.5.2 Determine Whether the Complainant Made a Contemporaneous Complaint

7.5.2 Determine Whether the Complainant Made a Contemporaneous Complaint

7.5.3 Examine the Complainant’s Conduct as well as That of the Alleged Harasser

7.5.3 Examine the Complainant’s Conduct as well as That of the Alleged Harasser

7.5.4 Determine Whether a Hostile Work Environment Exists

7.5.4 Determine Whether a Hostile Work Environment Exists

VIII: Taking Notes

VIII: Taking Notes

8.1 Designate a Primary Note Taker

8.1 Designate a Primary Note Taker

8.2 What to Include in Notes

8.2 What to Include in Notes

8.3 Need for Completeness

8.3 Need for Completeness

8.4 Exclude Interpretation, Subjective Comments or Conclusions

8.4 Exclude Interpretation, Subjective Comments or Conclusions

8.5 Note Demeanor

8.5 Note Demeanor

8.6 Write for the Jury

8.6 Write for the Jury

IX: Taking Written Statements

IX: Taking Written Statements

9.1 Obtaining Voluntary Statements

9.1 Obtaining Voluntary Statements

9.2 Requiring Employee Statements

9.2 Requiring Employee Statements

9.3 Identify Topics but Not Content

9.3 Identify Topics but Not Content

9.4 Elements of the Statement

9.4 Elements of the Statement

X Reporting Findings

X Reporting Findings

10.1 Reporting Preliminary Conclusions

10.1 Reporting Preliminary Conclusions

10.2 Inclusion of Attorney

10.2 Inclusion of Attorney

10.3 Reporting Conclusions, Recommendations

10.3 Reporting Conclusions, Recommendations

10.4 After Consensus Is Reached, Create a Summary Report

10.4 After Consensus Is Reached, Create a Summary Report

10.5 Communication Beyond the Need-to-Know Group

10.5 Communication Beyond the Need-to-Know Group

10.6 Attorney File Review

10.6 Attorney File Review

XI: Investigations in Union Environments

XI: Investigations in Union Environments

11.1 Handling the Press

11.1 Handling the Press

11.2 Conclusion

11.2 Conclusion

Appendix A: Checklists

Appendix A: Checklists

1. Identifying Investigators

1. Identifying Investigators

2. Obtaining Documents

2. Obtaining Documents

3. Planning the Investigation

3. Planning the Investigation

4. Procedural Interview Issues

4. Procedural Interview Issues

5. Technical Interview Issues

5. Technical Interview Issues

6. Taking Notes

6. Taking Notes

7. Taking Written Statements

7. Taking Written Statements

8. Reporting Findings

8. Reporting Findings

9. What Not to Do

9. What Not to Do

Appendix B: Sample Confirmation Memorandum

Appendix B: Sample Confirmation Memorandum

Appendix C: Investigation Matrix

Appendix C: Investigation Matrix

About the Author

About the Author

About Elsevier’s Security Executive Council Risk Management Portfolio

About Elsevier’s Security Executive Council Risk Management Portfolio

Industry Applicability Validation

Industry Applicability Validation

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