Pocket Guide to Workplace Investigations (1st ed., 2016)
$27.00
By Carmen Plaza de Jennings and Jayne Benz Chipman
1st edition, 2016
348 in stock
Description
This CPER guide provides the legal and logistical framework for conducting a workplace investigation – from inception to finish – for both public and private workplaces, nationally.
Workplace investigations are not a “one-size-fits-all” process. What is appropriate in any given case is invariably dictated by the facts of the situation, including workplace policies and procedures. Nevertheless, a general framework of best practices has developed over time, shaped by legal decisions and legislation that continues to evolve. What is critical in all cases is to conduct a full and fair investigation that is appropriate to the factual circumstances. Not only is a full and fair investigation important to all parties involved, it is crucial for employers in avoiding negligent investigation claims.
In addition to steps for employers, the Guide discusses employee rights at appropriate junctures. It also includes pertinent cases in this developing legal area, as well as a summary checklist and considerations for conducting the investigation.
Table of Contents
Contents
I. Introduction | 1 |
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II. Workplace Investigations | 3 |
A. First Stage: Preliminary Considerations and Decisions | 3 |
1. Assessing the need for an investigation | 3 |
2. Determining if a formal investigation is needed or required | 4 |
3. Choosing an investigator | 7 |
4. Interim actions | 10 |
B. Second Stage: Pre-Investigation Organization and Planning | 12 |
1. The scope of the investigation | 12 |
2. Identifying and obtaining relevant documents | 14 |
3. Identifying and classifying witnesses | 16 |
a. Deciding who should be interviewed | 16 |
b. Deciding the order of witness interviews | 16 |
4. Investigation documentation | 18 |
a. Investigator notes | 18 |
b. Tape recording | 20 |
5. Preparing for interviews | 22 |
6. Confidentiality | 24 |
C. Third Stage: Conducting the Investigation | 25 |
1. Witness interviews: common elements | 25 |
a. Opening an interview | 28 |
b. Closing an interview | 27 |
2. Interviewing the complainant | 28 |
3. Interviewing the individual who is the subject of the investigation | 30 |
a. Purpose and objective of the interview | 30 |
b. Common procedural issues encountered in interviewing the subject of the investigation |
32 |
4. Interviewing third-party witnesses | 36 |
D. Final Stage: the Investigation | 38 |
1. Standard of proof | 38 |
2. Assessing credibility | 39 |
3. Written investigation report | 41 |
a. Investigator background | 42 |
b. Applicable employer guidelines or policies | 42 |
c. Summaries of key facts | 43 |
d. Key factual findings of the investigation | 43 |
e. Conclusion | 44 |
4. Notification of investigation results | 45 |
III. Legal Rights of Employees Regarding Workplace Investigations | 46 |
A. Workplace Privacy | 46 |
B. Confidentiality | 48 |
C. Requests for Investigation Documents or Information | 49 |
1. Pre-investigative interview | 49 |
2. Prior to completion of the investigation | 51 |
3. Following completion of the investigation | 52 |
D. Appeal rights | 53 |
E. Public Safety Officers and Firefighters | 54 |
F. Community College District Employees | 56 |
IV. Cases and Additional Resources | 58 |
CASES | 58 |
A. Duty to Investigate and Adequacy of Investigation | 58 |
B. Right of Representation | 59 |
C. Confidentiality | 61 |
D. Privacy | 62 |
E. Self-Incrimination | 63 |
F. Dishonesty During Investigation | 63 |
G. Disclosure of Investigation Information and Reports | 64 |
RESOURCES | 66 |
V. Summary Checklist for Conducting the Investigation | 68 |
VI. Table of Cases | 73 |
Additional information
Weight | 0.625 lbs |
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Dimensions | 10 × 6 × 0.5 in |
Institute for Research on Labor and Employment, UC Berkeley
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