The Business Response to Misconduct Allegations: Playbook

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, and educators with proven information for successful security and risk management programs.

Newly added material includes information for audit, facilities and building management, human resources, IT security, and non-security personnelDescribes the ethical and legal reasons for a company to follow up on and take every employee complaint seriouslyProvides a framework of best practices the investigative team can use to prepare for and conduct workplace investigationsIncludes a series of checklists and templates to aid the investigative team before, during, and after the investigation

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