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Archive for: Legal Compliance
Image of Strategic HR's wheel of HR Services, including HR Strategy, Recruitment, Training & Development, Benefits & Compensation, Communications, Employee Relations, Recordkeeping & Legal Compliance, and Health, Safety & Security

How To Conduct A Workplace Harassment Investigation

Published May 5, 2021
in Employee Relations, Legal Compliance

In 2020, the EEOC reported over 24,000 claims of harassment and over 11,000 claims of sexual harassment. Harassment in the workplace impacts more than just the individuals in the situation – these conflicts (and how leadership responds) can negatively impact both the culture and the reputation of the company. You must be prepared to quickly respond to harassment claims in order to protect both your employees and the company as a whole. In order to do so, you must have well-known reporting policies and easily implemented workplace harassment investigation procedures.

The first element to consider is to ensure policies and procedures are in place, clearly communicated to employees, and are consistently applied across your organization. When a situation escalates out of an employee’s control, it’s key for them to know how to react, how to report, and who to call.

It can be challenging to uncover the details, key players, and facts in a workplace harassment investigation.  It requires an experienced and savvy interviewer to avoid risk and to provide fair and just outcomes. So what steps are important when conducting internal investigations?

Separate the Employees

When HR receives a complaint of harassment, the parties involved should be immediately separated from further contact. This may cause work disruption; however, it’s prudent to prevent any further exposure to what may be harmful interaction. Additionally, it’s important to emphasize that retaliation will not be tolerated under any circumstances.

Conduct Thorough Interviews to Understand the Facts

Conducing the workplace harassment interviews may be the most difficult part of the investigation puzzle. It takes strategic planning and a conscious effort to conduct the investigation without leading the participants in any way.  Interviewers should start with basic facts such as details of the incident, when it took place, where it took place, how often the interaction occurred, with whom, how the incident made the employee feel, and the names of witnesses or any evidence such as texts, emails, photos, etc.  If the complaining employee is willing to prepare a written statement, the statement can be used to compare interview notes and to ensure nothing was omitted and miscommunicated.

How to approach interviewing the complainant:

When interviewing the complainant, interviewers should explain that every effort will be made to protect the conversations and the individual’s privacy.  However, they must also be made aware that in order to properly conduct the investigation, the alleged harasser and other members of leadership may need to be informed.  Employees, at times, report an incident, but state that they “don’t want to get anyone in trouble” or “don’t want to get anyone fired.”  If you (the employer) are made aware of a potential situation of misconduct, the employee reporting the incident must be informed that you will investigate and take appropriate action in line with organizational policy, integrity, and federal and state laws.

The last part of the interviews should include the timeline for when you plan to conclude the investigation and share outcomes.  A best practice is to investigate and return results in no more than two weeks.  Rapid closure is the goal.

How to approach interviewing the accused harasser and witnesses:

When interviewing the alleged harasser, interviewers should provide necessary facts about the complaint and ask questions in an effort to provide the employee with an opportunity to share their perspective and/or to provide witnesses and evidence in their favor.  Keep in mind, witnesses are not always cooperative.  They may wish to stay uninvolved or attempt to protect a friend.  The interviewer must gently persuade witnesses, focusing on the importance of their role in the process.  Again, the interviewer must ask questions without leading or making any assumptions until all statements and evidence are heard and collected.  Impartiality must be maintained for the entire investigation process.

Review the Evidence

Once the investigation is complete, the interviewer should thoughtfully and completely review all notes, materials, and evidence to determine if any company policies have been violated or laws broken. This step can have wide-reaching implications – a flawed investigation can lead to poor morale and discourage employees from reporting future situations.  Therefore, the investigator’s role is imperative.

Prepare a Written Report and Concluding Actions

As the investigation wraps up, the investigator should prepare a written report, outlining the facts and violations (if any), used to determine if other action is warranted. If policy or legal violations did take place, management must decide on discipline or corrective action, keeping in mind that this action will set a precedent for future violations.

The final step in the process is to meet with the employee who reported their concerns.  The manager or investigator should inform the employee that action was taken to address the problem or that the investigation could not corroborate that company policy was violated.  It’s important to note if disciplinary action was taken, the company should not share details about the action with the accusing employee.

If there are concerns with privacy, neutrality, or experienced investigators, outside resources such as HR Consultants or law firms may be engaged to conduct the investigation.

Special thanks to Angela Dunaway, SPHR-SHRM-CP, for contributing to this edition of our Emerging Issues in HR. 

Need a neutral third party to conduct internal investigations? Strategic HR can help! Visit our Workplace Investigations page to learn more. 

https://strategichrinc.com/wp-content/uploads/2021/02/LOGO-Strategic-HR-Branded-Wheel.png 450 450 strategic HR inc. https://strategichrinc.com/wp-content/uploads/2022/03/2022-SHRI-CSH-Logo.png strategic HR inc.2021-05-05 15:41:452021-05-05 15:41:45How To Conduct A Workplace Harassment Investigation
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Investigations with Intent

Last Updated July 8th, 2020
in Legal Compliance

In June 2018, the EEOC’s Select Task Force on Study of Harassment in the Workplace reconvened after two years of work on the topic. According to Victoria A. Lipnic, Acting Chair for the Task Force, the number of charges of harassment have not significantly increased, which at first glance appeared surprising as we are well into the #MeToo movement. However, upon reflection, it may show that companies and HR professionals have learned to better respond to employee claims and effectively respond to issues at the company level rather than having the issues elevated to the Department of Labor and other regulatory agencies. Whether it is harassment, ethics violations, unprofessional behaviors, or even theft, HR professionals are tasked to swiftly handle complaints and to do so with skill and expertise. As professionals, it is imperative that we keep our investigative skills top of mind and a handle on managing those difficult employee relations matters.

Quick is best.  A priority for HR professionals is to swiftly investigate employee allegations while being objective, thorough, and confidential. Although proper preparation for the meeting is essential, it is also very important to be prompt and begin the investigation quickly after a complaint is made. A quick response shows concern for the employee and an intent to get to the bottom of the issue. A quick response also allows for improved recall for the complainant and the witnesses as well as the accused. It is harder to say “you can’t remember” what happened to something that happened yesterday versus a week ago.

Prepare, prepare, prepare.  As was indicated, it is important to balance your quick response to a complaint with proper preparation. Make sure the complaint, received in writing, is carefully read and dissected into the specific allegations and prepare your questions in advance. If you conduct the investigation internally, make sure all individuals are treated similarly and use a consistent process to get to the truth. There is most likely a set of ‘go to’ questions that you will have in your list as well as specific inquiries for the allegation.

Interview questions.  It is important to craft the questions carefully for an investigation. This is not the time to gather opinions about someone or something but rather get to the facts or the behaviors resulting from those feelings. For example, “He treats me differently than everyone else.” Further probing is necessary to understand what that means. “I heard him tell Jeff he could take the rest of the day off without reporting it and I have to report all of my time off.” Another example would be, “I felt embarrassed when he spoke with me.” Although this is an important feeling, we must have the facts and resulting actions to get to the heart of the situation. It is important to probe further and ask why and what to determine the resulting behavior of the feeling or opinion. What happened, when did it happen, how many times has it happened, and what was the context? In this instance, it would be ideal to have the complainant describe the moment when they felt embarrassed and the results. “We were in a group of 4 employees (Jeff, Susie, Kyra, and Cam). He said, “X”. I was so upset I walked away from the group, went back to my office, and was crying.” These are essential pieces to good investigations. One of the primary goals for the complainant’s interview is to establish tangible statements or actions to investigate.

The interview tone.  During investigations, the most essential piece is the interview. All conversations should be started by letting participants know that the information obtained will be kept as confidential as possible. Proper interviews protect the privacy of individuals who are involved in the process, as much as possible. These actual interview meetings are critical to an investigation leading to facts and provide essential information for the proper outcome, but they can also go horribly wrong. Interviewers must be well-trained and objective. Proper interview techniques can result in a positive experience for all involved. Interviewers that take a strong, very forward approach can be perceived as intimidating and potentially create an uncomfortable environment for those involved. Interviewees that are not comfortable and become defensive are less likely to share relevant information. It is recommended that interviewers balance their approach to firm but fair, avoiding potential claims of an unfair investigation which will most likely result in external counsel becoming involved.

Document your findings and take action.  Treat all documentation for investigations like you are going to court…even if it’s in ten years. Yes, court proceedings take a long time, and even if “this was an easy one,” it is better to document all investigations the same and document the events from the moment they begin. Keep detailed notes of who, what, and when it was discussed. It is also helpful to organize and review your notes upon completion to make sure they would be understandable years down the road.

Once all of the information is obtained, it is important to make a decision and move on it. It should be communicated to all parties involved and swift action taken. These swift actions are essential by the company to show commitment to the decision and how seriously misconduct is taken. If training is part of the recommendation going forward, conduct that quickly as well.

All of these items are important to ensure proper investigations are conducted. It is important to note that investigations are only part of the picture. For success in dealing with difficult situations and building a culture of civility in the workplace, much more is needed. We need to have a culture that supports doing the “right thing.” We must have policy in place that allows us to take action if necessary. It is also important to have a comfortable and confidential reporting system in place so employees can have open and honest discussions about what is happening in the workplace. Human Resource professionals have the ability to make a difference in handling issues internally with proper process and reporting mechanisms in place along with knowledgeable and experienced investigators.

 

Thank you to Patti Dunham, MBA, MA, SPHR, SHRM-SCP, Director of HR Solutions at Strategic HR. for sharing her expertise in this Emerging Issues in HR. If you have any questions or would like to share your comments, contact Patti@strategicHRinc.com.

 

If your organization is looking for an independent third-party to provide unbiased workplace investigations, Strategic HR is here for you. We have 25+ years of experience conducting employment investigations allowing you to focus on your daily work while we carefully conduct the investigations for you.

https://strategichrinc.com/wp-content/uploads/2021/02/LOGO-Strategic-HR-Branded-Wheel.png 450 450 Robin https://strategichrinc.com/wp-content/uploads/2022/03/2022-SHRI-CSH-Logo.png Robin2018-07-02 16:41:512020-07-08 19:05:37Investigations with Intent
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Resources at Your Fingertips for HR Professionals

Last Updated April 25th, 2023
in Legal Compliance

by Linda Gravett, PhD, SPHR and Robin Throckmorton, MA, SPHR

“Where can I find information about…???” This is probably the most frequent question both of us receive from HR practitioners.  Therefore, this article is dedicated to sharing with you as many resources as we can think of that you may find helpful now or in the future.

Human Resources Management Books

Have you read any of these?  Many of these human resources management books will be helpful to you in no matter what type of organization you work:

        1. Built on Trust by Arky Ciancutti and Thomas Steding
          • This book describes how a high-trust organization can achieve competitive advantage. Techniques are provided to move the culture away from one in which managers rule by fear. 
        2. Creating a Culture of Competence by Michael Zwell
          • This book addresses concrete ways to assess an organization’s overall level of competence in relation to strategic objectives.  The author shares methods to ensure that employees and managers are working at full capacity to achieve the organization’s mission.
        3. All Crisp Publications
          • These are the “50-minute” series that provide content, worksheets, exercises, case studies, and more on any topic you could imagine ranging from multi-rater feedback to performance management to retention to selecting and working with consultants.  For a complete list, vist their website here.
        4. First, Break All the Rules by Marcus Buckingham and Curt Coffman
          • This totally irreverent book will shake up traditional management paradigms.  The authors describe characteristics and approaches, which are common to all great managers.  The approaches usually fly in the face of conventional wisdom.  The book is based on two Gallup studies that spanned 25 years.
        5. Fish!  A Remarkable Way to Boost Morale and Improve Results by Stephen Lundin, Harry Paul, and John Christensen
          • This unique book tells the leadership story as a fable, describing a workplace where employees have energy, passion, and joy.  The authors provide some common-sense ideas to help people really get connected to their work, coworkers, and customers.
        6. HR Champions by Dave Ulrich
          • This is the ultimate tool to help you strategically align your human resources function with the business.  Ulrich provides many tools and case studies throughout the entire book to help you deliver a value-added human resources function.
        7. HR How-to…Employee Retention by Jennifer Carsen, J.D. 
          • This is a wonderful, easy to read book with TONS of ideas and suggestions for retention, recruitment, work/life balance, employee opinion surveys, and much much more. 
        8. Who Moved My Cheese by Spencer Johnson, M.D.
          • If you haven’t read this book, you must.  It’s a quick and easy way to help your organization effectively deal with change in a productive and successful manner.
        9. Who Says Elephants Can’t Dance?  Inside IBM’s Historic Turnaround by Louis Gerstner
          • This account of IBM’s strategy for becoming a real player in the world of technology in the 1990’s is excellent.  The author describes how IBM went from being a comfortable but inflexible giant to a company with organizational agility and vision.

General HR Online Resources

You will find these general human resources websites contain a great deal of information including facts, best practices, tools, and more:

      1. Better Work Place Now
        • This site provides ideas and tools for creating workplaces that truly bring out the best in people.  If you haven’t seen Tom Terez’s work, you need to check out his website.  There are many free tools and resources to help you with your workplace.  Plus, his monthly newsletter is wonderful.
      2. Crisis Management International
        • This site will help you in identifying foreseeable risks, preparing for threats and hazards, and responding if an incident occurs. 
      3. Strategic Human Resources, Inc.
        • Quick, customized, answers to your human resource management questions in seven key areas:  Management Practices, HR Audits/Startups, HR Development, Managing Diversity, Compensation, Executive Coaching, and Employee Relations.  This is a fee service but your first question is FREE.
      4. Fast Company
        • On this website, you will find articles and resources on leadership, strategy and innovation, Internet and technology, education and resources, careers, human resources, marketing and branding, and sales and customer service.
      5. HR.com
        • This is a very comprehensive site containing information, resources, products, and services to help you with your human resources issues in eight areas:  Compensation and Benefits, HR Information Systems, HR Management, Labor Relations, Legal, Organizational Development, Staffing, and Training and Development.
      6. HR Guide
        • This site provides you with a magnitude of links to other human resources websites.
      7. HR Hero
        • This will become an excellent employment law resource for you with quick answers to your employment law and management questions as well as news, laws, advice, and tools.
      8. HRM Guide
        • The HRM Guide Network includes free articles and features on key human resources issues, research, and books.
      9. HR Next
        • This site provides free access to hundreds of informative articles and useful tools.  Plus, if you select to be a paid subscriber, there are even more resources available to you.
      10. HR Tools
        • This is a virtual human resources department providing a number of online resources including news and toolkits for staffing, legal compliance, training and performance, benefits and compensation, and safety.
      11. Inc.
        This website contains articles and resources on business management.  They also offer many free email subscriptions that include excellent tips and resources sent directly to you if you subscribe.
      12. KnowledgePoint
        KnowledgePoint is a provider of various software and online human resources products including performance management, job descriptions, policies, and people management.
      13. My Work Tools
        • Do you need a business tool?  This site provides sample business tools to help you complete specific business tasks related to human resources (i.e. performance reviews), marketing, legal, finance, training, and more. Plus, you can submit your tools and earn a profit when someone buys them.

Compensation & Benefits Online Resources
Too often, we need quick access to compensation and benefits data for comparison purposes.   Below is a list of online compensation and benefits resources:

  1. Benefits Link
    • Benefits Link provides employee benefits compliance information and tools.
  2. Benefits News
    • This is another great employee benefits site for news, links, and more.
  3. Economic Research Institute
    • This site offers many salary surveys, software, and other products.  Also, if you select “free analyst resources” on the top navigation bar, you’ll be taken to page of free information including links to MANY other free and paid “salary sources and surveys”. 
  4. National Compensation Survey
    • This website is a summarization of the annual survey by the US Department of Labor Bureau of Labor Statistics including data on local, regional, and national occupational earnings; quarterly changes in employer costs; annual employer cost levels; and incidence and provisions of employee benefits.
  5. Salary.com
    • This website provides compensation information including the ability to request the average salary for a title in a specific location.
  6. Wage Web
    • This is another good site for salary data.  Some of the information is provided for free, but you can subscribe to get even more data.
  7. World at Work
    • This is the website for the professional association for compensation, benefits, and total rewards.  In addition to membership, this site provides links, resources, and news related to compensation.

Human Resources Development Resources

When you need assistance with a training and development project, you may find some of these resources beneficial:

  1. American Society for Training & Development
    • This is the website for the professional association providing resources on workplace learning and performance issues including information, research, conferences, publications and more.
  2. HR Hub
    • This is an excellent resource for human resources related products, suppliers, and news including free newsletters, free trade publications, and online training.
  3. Performance Assessment Network
    • This is a web-based system that you can use to assist you with the distribution, administration, and analysis of professional assessments, tests, and surveys.
  4. International Telework Association Council
    • This site provides research, educational events, publications, and information about telework. Plus, the organization assists businesses and the public in optimizing the advantages of working remotely.

Legislative Online Resources

“Is it legal to…?”  When you have a legal question, you may find some of these resources helpful in determining the solution to your issue:

  1. AHI Employment Law Resource Center
    • This is a compliance resource center that includes publications and reports on various legislative issues.
  2. Employment Law Information Network
    • This is a free legal resource that contains information on federal and state laws including news, articles, forms, policies, an employment lawyer directory, and discussion forums.
  3. Fair Measures 
    • On this site, you will find management law training programs and online policies and checklists to help both employers and employees avoid costly lawsuits.
  4. Job Accommodation Network
    • This site provides free information about the Americans with Disabilities Act (ADA) including job accommodations and the employability of people with disabilities.
  5. Legal Information Institute
    • This is a collection of state legal materials for the fifty states, District of Columbia, and Puerto Rico including constitutions, statutes, regulations, and judicial opinions.
       

Recruiting Online Resources

This number of recruiting resources available online is unlimited and constantly changing. Below are a few sample resources that you may find helpful if you have any recruitment needs:

  1. Advantage Services, Inc.
    • This site provides pre-employment background checks for large and small companies in the U.S. and Canada including verification of employment, education, references, professional licenses, driving records, drug screening, credit history, civil history, criminal background checks and more.
  2. CareerBuilder
    • This site contains a job posting board and resume bank.
  3. Dice
    • This site contains a job posting board and resume bank for technical positions.
  4. Flipdog.com
    • This site contains a job posting board and resume bank.
  5. Human Resources Careers
    • This site contains a job posting board and resume bank for human resources positions.
  6. Monster.com
    • This site contains a job posting board and resume bank.
  7. Recruiters Network
    • This site contains multiple free resources to help you with recruitment.
  8. Recruiter Resources
    • This site provides a comprehensive list of job posting boards and resume banks plus multiple other resources to help you in recruiting.
  9. Search Firm
    • This is a free directory of executive search firms around the world specializing in over 50 particular areas of interest, including biotechnology, legal, healthcare, technology, marketing and telecommunications.

As we learn everyday, the resources available online and in print are growing and changing daily.  Hopefully, this list will give you a start to some of the available resources.  You may want to save a copy of this list and continue adding to it as you identify more resources.

Robin Throckmorton, M. A., SPHR, a Senior Human Resources Management Consultant is President of Strategic Human Resources, Inc. (www.strategicHRinc.com). Dr. Linda Gravett, Ph.D., SPHR is with Gravett & Associates (www.Gravett.com). If you have any questions or wish to share your comments, you can contact Robin at Robin@strategicHRinc.com.

https://strategichrinc.com/wp-content/uploads/2021/02/LOGO-Strategic-HR-Branded-Wheel.png 450 450 Robin https://strategichrinc.com/wp-content/uploads/2022/03/2022-SHRI-CSH-Logo.png Robin2013-03-13 10:51:392023-04-25 09:52:19Resources at Your Fingertips for HR Professionals

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We can manage some or all of your HR, without adding headcount!

Call us at 513.697.9855 or Contact Us to see how we can help.

Sign up for Newsletters

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Cincinnati, OH 45242

513-697-9855
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