The Compliance Response To Misconduct Allegations: Playbook by John D. ThompsonThe Compliance Response To Misconduct Allegations: Playbook by John D. Thompson

The Compliance Response To Misconduct Allegations: Playbook

byJohn D. ThompsonEditorJohn D. Thompson

Paperback | March 29, 2013

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The Compliance Response to Misconduct Allegationsplaybook 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 Allegationsis 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.



  • 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

About The Author

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 compani...
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Details & Specs

Title:The Compliance Response To Misconduct Allegations: PlaybookFormat:PaperbackDimensions:90 pages, 9 × 6 × 0.68 inPublished:March 29, 2013Publisher:Elsevier Science & TechLanguage:English

The following ISBNs are associated with this title:

ISBN - 10:0124165540

ISBN - 13:9780124165540

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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