Workplace Investigations : A Step-by-Step Guide

by Guerin, Lisa

• ISBN13: 9780873379823
• ISBN10: 0873379829
• Format: Paperback
• Copyright: 2004-05-01
• Publisher: Nolo

Summary

Thorough, fair-minded and practical information for employees, managers and business owners. Paula Brantner, Program Director, Workplace Fairness

Author Biography

Lisa Guerin is an employment attorney

Table of Contents

PART ONE Investigation Basics
1 Workplace Investigations: An Overview
A. Ten Steps to a Successful Investigation	1/6	(1)
1. Decide Whether to Investigate	1/7	(1)
2. Take Immediate Action, If Necessary	1/7	(1)
3. Choose an Investigator	1/8	(1)
4. Plan the Investigation	1/8	(1)
5. Interview	1/9	(1)
6. Gather Documents and Other Evidence	1/9	(1)
7. Evaluate the Evidence	1/10	(1)
8. Take Action	1/10	(1)
9. Document the Investigation	1/11	(1)
10. Follow Up	1/11	(1)
B. Common Investigation Mistakes-and How to Avoid Them	1/13	(1)
1. Failing to Investigate	1/14	(1)
2. Delay	1/16	(1)
3. Inconsistency	1/17	(1)
4. Retaliation	1/19	(1)
5. Half-Hearted Efforts	1/20	(1)
6. Too Much Talk	1/20	(1)
7. Losing Objectivity	1/22	(1)
8. Strong-Arm Interview Tactics	1/23	(1)
9. Invading Employee Privacy	1/23	(1)
10. Using Polygraphs Improperly	1/25	(1)
2 Getting Started
A. Discovering Workplace Problems	2/3	(1)
1. Formal Complaints	2/4	(1)
2. Anonymous Complaints	2/5	(1)
3. Reports by Managers and Supervisors	2/6	(1)
4. Indirect Complaints	2/6	(1)
5. Information From Departing Workers	2/6	(1)
6. Workplace Observation	2/7	(1)
7. Third Party Reports	2/7	(1)
B. Decide Whether to Investigate	2/7	(1)
1. Are the Facts in Dispute?	2/9	(1)
2. How Serious Is the Problem?	2/9	(1)
3. How Have Similar Problems Been Handled in the Past?	2/9	(1)
C. Take Immediate Action, If Necessary	2/10	(1)
D. Choose the Investigator	2/11	(1)
1. Experience	2/12	(1)
2. Impartiality	2/13	(1)
3. Professionalism	2/15	(1)
4. Hiring an Outside Investigator	2/16	(1)
E. Plan the Investigation	2/19	(1)
1. Start With What You Know	2/19	(1)
2. Figure Out What You Need to Know	2/20	(1)
3 Gathering Information
A. Get Started Right Away	3/2	(1)
B. Conducting Interviews	3/3	(1)
1. Tips on Conducting Effective Interviews	3/3	(1)
2. Interviewing the Complaining Employee	3/17	(1)
3. Interviewing the Accused Employee	3/21	(1)
4. Interviewing Witnesses	3/24	(1)
C. Gathering Other Evidence	3/26	(1)
1. Documents	3/27	(1)
2. Other Evidence	3/30	(1)
3. Clues From the Scene	3/31	(1)
D. Follow-Up Interviews	3/31	(1)
4 Make and Document Your Decision
A. Evaluate the Evidence	4/2	(1)
1. Look at the Facts	4/2	(1)
2. Assess Credibility	4/4	(1)
3. Put It All Together	4/5	(1)
B. Decide Whether Misconduct Occurred	4/7	(1)
C. Take Action	4/9	(1)
1. No Misconduct	4/10	(1)
2. Inconclusive Results	4/11	(1)
3. Misconduct	4/12	(1)
D. Document Your Decision	4/14	(1)
1. Prepare an Investigation Report	4/15	(1)
2. Where to Keep Investigation Records	4/19	(1)
E. Follow Up	4/19	(1)
1. Meet With Employees	4/20	(1)
2. Verify Corrective Actions	4/20	(1)
3. Consider the Big Picture	4/20	(1)
PART TWO Investigating Common Workplace Problems
5 Investigating Discrimination
A. What Is Discrimination?	5/3	(1)
1. Protected Characteristics	5/3	(1)
2. Legal Claims of Discrimination	5/12	(1)
B. Ten Steps to an Effective Discrimination Investigation	5/19	(1)
1. Decide Whether to Investigate	5/21	(1)
2. Take Immediate Action, If Necessary	5/24	(1)
3. Choose the Investigator	5/25	(1)
4. Plan the Investigation	5/27	(1)
5. Interviews 5/29
6. Gather Documents and Other Evidence	5/42	(1)
7. Evaluate the Evidence	5/43	(1)
8. Take Action	5/45	(1)
9. Document the Investigation	5/49	(1)
10. Follow Up	5/49	(1)
6 Investigating Harassment
A. What Is Harassment?	6/3	(1)
1. Harassment: The Basics	6/4	(1)
2. Sexual Harassment	6/7	(1)
3. Legal Liability for Harassment	6/10	(1)
B. Ten Steps to a Successful Harassment Investigation	6/14	(1)
1. Decide Whether to Investigate	6/14	(1)
2. Take Immediate Action, If Necessary	6/16	(1)
3. Choose the Investigator	6/18	(1)
4. Plan the Investigation	6/20	(1)
5. Interviews	6/23	(1)
6. Gather Documents and Other Evidence	6/33	(1)
7. Evaluate the Evidence	6/34	(1)
8. Take Action	6/34	(1)
9. Document the Investigation	6/36	(1)
10. Follow Up	6/37	(1)
7 Investigating Workplace Theft
A. How Employees Steal	7/3	(1)
1. Stealing Money 7/5
2. Stealing Property	7/11	(1)
3. Fake Disbursements	7/14	(1)
4. Conflicts of Interest	7/17	(1)
B. Ten Steps to a Successful Theft Investigation	7/18	(1)
1. Decide Whether to Investigate	7/19	(1)
2. Take Immediate Action, If Necessary	7/20	(1)
3. Choose the Investigator	7/24	(1)
4. Plan the Investigation	7/27	(1)
5. Gather Documents and Other Evidence	7/33	(1)
6. Interviews	7/35	(1)
7. Evaluate the Evidence	7/42	(1)
8. Take Action	7/43	(1)
9. Document the Investigation	7/44	(1)
10. Follow Up	7/44	(1)
8 Investigating Threats and Violence
A. Threats and Violence in the Workplace	8/3	(1)
1. Types of Workplace Violence	8/3	(1)
2. Warning Signs of Violence	8/10	(1)
3. Employer Liability for Violence	8/11	(1)
B. Ten Steps to a Successful Investigation of Violence	8/14
1. Decide Whether to Investigate	8/15	(1)
2. Take Immediate Action, If Necessary	8/17	(1)
3. Choose the Investigator	8/23	(1)
4. Plan the Investigation	8/25	(1)
5. Interviews	8/26	(1)
6. Gather Documents and Other Evidence	8/34	(1)
7. Evaluate the Evidence	8/35	(1)
8. Take Action	8/38	(1)
9. Document the Investigation	8/42	(1)
10. Follow Up	8/42
APPENDIX A Workplace Policies
Complaint Policy
Open-Door Policy
Antidiscrimination Policy
Antiharassment Policy
Antiviolence Policy
APPENDIX B Forms and Checklists
Ten Steps to a Successful Investigation
Avoiding Common Investigation Mistakes
Sample Complaint Reporting Form
Document Checklist
Credibility Checklist
Discipline Checklist
Investigation Report Checklist
APPENDIX C Resources
State Laws Prohibiting Discrimination in Employment
Agencies That Enforce Laws Prohibiting Discrimination in Employment
State Occupational Safety and Health Offices
State Workers' Compensation Offices
INDEX