The Compliance Response to Misconduct Allegations

The Compliance Response to Misconduct Allegations : Playbook

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Description

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.
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Product details

  • Paperback | 90 pages
  • 157.48 x 226.06 x 7.62mm | 113.4g
  • United States
  • English
  • 2nd edition
  • black & white illustrations
  • 0124165540
  • 9780124165540
  • 2,119,183

Table of contents

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
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About John D. Thompson

With over 22 years of experience addressing security matters from prevention and counseling to training and litigation, John D. Thompson is a nationally recognized expert in the area of workplace violence. He has provided consulting, counseling, training, and litigation services to the government, numerous Fortune 500 and other companies for workplace violence and related security problems. Named to the "Best Lawyers in America" list for the last 15 years, John has developed workplace violence training programs and videotapes for supervisors and managers and has tried a workplace homicide lawsuit to jury verdict. Also a member of the Security Executive Council content expert faculty, John helps develop strategic security services and products for Council members. Currently a partner with the Minneapolis law firm of Oberman Thompson, LLC, John formerly served as in house counsel for 3M Company where he advised the human resources, employee assistance, medical, and security departments. John participated in the development of 3M's progressive and proactive approach to the problem of workplace violence, including incident management and the development of a threat assessment team and other preventive techniques. He enjoys a unique career combination: that of practicing attorney and corporate development of employer workplace violence management and security programs. He holds both BA and JD degrees with honors from Georgetown University.
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