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Investigations With Intention

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HR Question:

I just received a complaint about an employee doing work for his other job on our company’s time, and it is going to require an investigation. What do I need to know before getting started?

HR Answer:

Conducting an employee investigation is a serious matter that must be handled well, utilizing a fair, consistent, and compliance-driven process to protect staff and keep companies out of legal trouble. Whether it is harassment, ethics violations, unprofessional behaviors, or even illegal activity, HR professionals must swiftly address and investigate complaints with skill and expertise. Here are some things to keep in mind as you prepare for the investigation and read about how a recent situation was specifically handled.

Who should conduct the investigation?

It is essential that you choose a qualified, neutral investigator. According to the Association of Workplace Investigators (AWI), the investigator should be professionally trained, impartial, objective, and skilled. Some organizations are able to fulfill these requirements in house, others use a neutral, external party to assure non-bias in the investigation.

In this case, the company’s HR Manager has been trained in conducting investigations. Since the employee allegedly doing other work on company time does not work under her chain of command, she will conduct the investigation. She will work with her manager, the Chief Operating Officer, to establish her interview questions and, if necessary, review the results of the interview to determine the appropriate action to take with the company’s employment attorney.

Investigate promptly

It is a priority to swiftly investigate employee allegations while being objective, thorough, and confidential. Proper preparation for the investigation is essential, so start preparing and conducting the investigation immediately after a complaint is made. A quick response shows concern for the employees involved and an intent to get to the bottom of the issue and find a resolution. This fast 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 or a month ago.

Here, our HR Manager prepared her interview questions and scheduled interviews to begin within 48 hours of the allegations being made. The goal was to complete the interviews within three days.

Follow a consistent, documented process

Your organization should have a standard procedure for conducting investigations. Follow your process, which should include getting the complaint in writing, as well as verbally. This allows you to carefully assess and dissect the allegations to determine the potential policy violations to prepare for the investigation properly. If you conduct the investigation internally, make sure all individuals involved are treated similarly and use a consistent process to get to the truth.

In order to protect employees, you may need to consider placing those involved on a temporary leave of absence or reassigning of location or job of the employees, depending upon the nature of the investigation and those involved.

In this case, the HR Manager was following the process of conducting investigations as outlined in the employee handbook.  She also had the person who reported the allegations, a co-worker of the individual, write down what they alleged happened.  They reported seeing the employee come into work at 8:00 AM one day this week and two days last week and meet with a visitor who had nothing to do with their job.  The meetings lasted 30-40 minutes and took place in the employee’s office.

Interview questions

Craft interview questions carefully and consistently for an investigation. Include questions that get to the facts, including the who, what, where, when, how, and why.

This is not the time to gather opinions about someone or something; instead, focus on getting to the facts and the behaviors that resulted in a potential policy violation. For instance, if an employee says, “He treats me differently than everyone else,” dig deeper to understand the precise actions or words that illustrate this different treatment. A specific statement like “I heard him tell Jeff he could take the rest of the day off without reporting it, whereas I must report all my time off” clarifies the real issue behind the complaint.

One of the primary goals for the complainant’s interview is to establish tangible statements or actions to investigate. Interview questions can then inquire about those details. If the investigation is related to harassment, review this article on handling those specific types of investigations.

Our HR Manager had specific questions for the coworker, the employee, and the payroll coordinator, including who the employee was meeting with, the purpose of these meetings, whether anyone else had observed them, the exact dates they occurred, and the hours the employee had recorded on their timecard.

Conducting the interview

During investigations, tone is an essential piece of the interview. All conversations should begin by outlining the process and timeline, and letting participants know that the information obtained will be kept as confidential as possible. Do not guarantee confidentiality. Proper interviews protect the privacy of individuals who are involved in the process, as much as possible. Information obtained during the interview process may need to be shared to verify or validate facts.

The actual interviews are critical to an investigation to obtain the facts and provide essential information for the proper outcome, but they can also go horribly wrong. Interviewers must be well-trained, calm, focused, and neutral or objective. Proper interview techniques can result in a positive experience for all involved. Interviewers who take a strong, very forward approach can be perceived as intimidating and potentially create an uncomfortable environment for those involved. Interviewees who 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.

Interview location

Finally, be sure to consider the timing and location of the interviews. Conduct interviews in a private location where no one else can listen in or observe from glass walls or windows.  Interviewers may want to have a neutral third party present in the interview to observe, take notes, watch for nonverbal behaviors, or ensure the safety of all parties involved. Consider whether you wish to record the interviews and use transcription or AI to help accurately record the conversations. Be sure to consider recording laws in your state as you consider how to take notes.

In our situation, the interviews were conducted in a private conference room, where no one could listen. Two other employees were identified as having witnessed the visitors in the employee’s office. The interviews were recorded, as no one else was available to be an observer or take notes, and our HR Manager wanted to be fully focused on the conversation and ensure that nothing was forgotten during the interviews.

Document your findings and take action

Treat all documentation for investigations like you are going to court…even if it is ten years from now. Yes, court proceedings take a long time, and even if “this was an easy one,” it is better to document all investigations consistently from the moment they begin. Keep detailed notes on who, what, and when it was discussed. It is also helpful to organize and review your notes upon completion to make sure they are clear after many years.

Once the interviews are complete and all information is obtained, it is time to decide on the resulting actions and move on them. Determine whether policy violations occurred based on the evidence. Take disciplinary action if appropriate and according to organization policy. Communicate with all parties involved about the results and action taken. This responsiveness shows commitment to the decision and how seriously misconduct is taken. If training is part of the recommendation, schedule or conduct it quickly as well.

Our HR Manager learned through her investigation that this employee has a part-time job outside the company. He has brought customers from this external job into their office on at least five occasions, meeting with them for at least thirty minutes.  In addition, the employee had reported on his timecard that he was working for our company and during these meetings.  The HR Manager and her COO determined the employee had violated their “Outside Employment” policy and their “Reporting Work Hours” policy in their handbook.  After reviewing the situation with their employment attorney, the employee was issued a written warning and put on a two-day unpaid suspension for these policy violations.

 

All of these items are important to ensure proper investigations are conducted, but 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.

  • Build a culture that supports doing the “right thing.”
  • Have a policy in place that allows you to act if necessary.
  • Communicate that a comfortable and confidential reporting system is 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 processes and reporting mechanisms in place, along with knowledgeable and experienced investigators.

If your organization is looking for an independent third-party to provide unbiased workplace investigations, Clark Schaefer Strategic HR is here for you. We have over 30 years of experience conducting employment investigations allowing you to focus on your daily work while we carefully conduct the investigations for you. Please visit our Outsourced HR Solutions Page for more information.

Clark Schaefer Strategic HR's wheel of HR Services, including HR Strategy, Recruitment, Training & Development, Benefits & Compensation, Communications, Employee Relations, Recordkeeping, and Health, Safety & Security

Empathy First — A Modern Approach to Conducting Not-for-Profit Layoffs with Empathy

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Two arms reaching out to one another to hold hands in empathy

Layoffs are never easy. For not-for-profits (NFPs), where mission-driven cultures and tight-knit teams are the norm, the impact of workforce reductions can feel even more personal. Yet in times of economic uncertainty, funding changes, or strategic realignment, reductions in force (RIFs) may be unavoidable. Although consideration for the necessary legal concerns related to a layoff is necessary, conducting a layoff with empathy and safeguarding your organization’s reputation and honoring the people behind the positions is equally important.

Why Empathy Matters In Lay Offs

Research shows that organizations that handle layoffs with compassion preserve trust with both departing and remaining employees. In the NFP sector, this trust extends to donors, partners, and the communities served. When people feel heard and respected, they’re more likely to speak positively about their experience, even in difficult circumstances.

Read on and discover four golden rules, to help your organization conduct a layoff by leading with empathy.

1. Communicate Clearly — and Kindly

One of the biggest mistakes leaders make is failing to communicate openly. Surprises and rumors create panic. Instead, plan announcements thoughtfully. Draft separation letters and prepare scripts for managers. Hold private meetings with affected employees and follow up with all-staff updates that reinforce the organization’s values and explain next steps.

Be prepared for questions: severance details, benefit continuation, and references are just a few concerns people may have. An FAQ sheet can help employees absorb information during an emotionally charged time.

2. Offer Meaningful Support

A layoff doesn’t have to be the end of your relationship with valued staff. Outplacement services, job placement assistance, or counseling resources can make a huge difference in how employees transition. For NFPs, tapping into sector networks to connect people with other mission-driven opportunities is a powerful way to show care beyond employment.

3. Focus on the Team That Remains

Layoffs ripple outward. Remaining employees may feel survivor’s guilt or worry about their own job security. Hold follow-up meetings to check in. Invite questions, listen actively, and share how leadership is supporting the team moving forward. Small gestures of appreciation and transparency go a long way in rebuilding morale.

4. Lead by Example

Navigating a layoff with empathy requires leaders to model grace and honesty. Prioritize respectful conversations over hurried announcements. Be available for follow-up discussions. And remember, how you treat people at their most vulnerable moments says more about your organization’s culture than any mission statement ever could.

Lean Into Empathy

Workforce reductions test the character of any organization. NFPs, in particular, have the opportunity to approach them differently — centering people first, even when making tough business decisions. By planning carefully and leading with empathy, your organization can weather change while remaining true to its mission and values.

 If your business is considering a reduction in force, the team at Clark Schaefer Strategic HR is available to help coach you through the process and decisions that will need to be made.  We are here to help you through the tough times – just contact us.

 

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Mandatory Retirement: Is It Legal?

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Employee Engagement Ideas To Fit Any Budget

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HR Question:

What are some fun and interesting ways to encourage employee engagement with my team that do not take tons of time or money?

HR Answer:

We spend so much of our time with our co-workers every week, and it is important to keep things exciting and to maintain open communication among the teams. Creating an engaging workforce isn’t just copying what other organizations do. We’d all love to be Disney or Southwest, but what they do fits their culture. Creating employee engagement with your employees will even vary from employee to employee.

A few ideas that don’t take a lot of time or money include:

  • Promoting a collaborative work environment where each employee on the team takes the time to compliment each other on their accomplishments.
  • “Shout Outs” in an employee newsletter to congratulate or thank another employee.
  • Recognizing an employee that embodied a company value each week.
  • Creating a kudos board in your break room.
  • Taking team photos at random and display them on a wall in the office.
  • Celebrating special milestones as they pass for each employee, showing them special recognition.
  • Ensuring all employees have all of the resources they need to do their job. Providing the proper tools means more time for them to do great work.  
  • Getting out of the office and be social from time to time. Whether it is going out for happy hour or playing a game of soccer on a sunny day, it can really improve morale and strengthen the team.
  • Doing volunteer work together. This is a great team building activity.
  • Doing a team art project that requires the team work together to create one large piece of art to display in the office, that embodies the values of your organization.
  • Allowing your employees time to work on personal projects and to collaborate during the day. This can lead to new innovations and establish a space for creativity and exchange.
  • Quantum Workplace also gives 10 Low-Cost Employee Engagement Ideas that will fit just about any organization or budget.

The list could go on and on. The key is getting to know your employees even by asking simple questions like “What do you like most about working here; or What could we do different to make this an even better place to work?”

The important thing is to make employee engagement an ongoing project, set goals and clear objectives, make it fun and engaging, and monitor your progress regularly to see what’s working.

 

Would you like to find out how engaged your employees are? Strategic HR can help. We will create a custom survey to mirror your work environment and goals for the business, administer the survey as a neutral third party, and summarize the findings with recommendations for improvement. To learn more about our employee surveys, contact us now.

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Attendance Point System Policy

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Question:

We have an attendance point system policy for our nonexempt employees that gives points for each occurrence of absence.  It feels like people have learned to “play” the system, either by missing multiple days in a row (which count as one occurrence) or always missing Mondays or Fridays.  Do you have a suggestion on how to modify our policy so employees can’t take advantage of the system?

Answer:

Sounds like your attendance point system policy is in need of a few updates.  Below are some suggestions that could be implemented to keep your attendance point system policy from being abused.

Evaluate Your Policy: We all want regular attendance from all employees because it has a direct impact on the productivity and success of a business.  Sometimes what we create initially doesn’t always play out when implemented.  Start by re-evaluating your policy and asking:

  1. What is the purpose of the policy, and
  2. What is the end result that it should accomplish? 
  3. How specific is your policy?
  4. Does it cover the most common infractions (i.e. tardiness, early leave, excused absences, unexcused absences, no call/no show)?

In some cases a vague policy can give you flexibility, but it also can leave you in a lurch if someone takes advantage of it.  Making a specific policy will help you manage expectations in the long-run.  But, don’t get so specific you don’t have any wiggle room for the unexpected exception or even reprimand.

Require a Doctor’s Note: If an employee misses multiple days, require them to bring in a doctor’s excuse if they want the days to count as only one occurrence.  If they do not provide a doctor’s slip (for themselves or a family member), the absence counts as an occurrence for each day missed.  One caveat for these types of circumstances…don’t forget about FMLA (if applicable).

Add Specific Disciplinary Language: Review the verbiage of your policy and add or modify the verbiage to include some leniency for disciplinary action for attendance issues outside of the point system.  Language such as: When an employee exhibits a pattern of absences (consistently missing a specific day of the week or the day before or after holidays or scheduled vacations) the performance is unacceptable.  The Company can, at its sole discretion, address these absences outside of the point policy as performance discipline.  Adding language similar to this may be able to help those individuals taking advantage of the program.

The Bottom Line: An attendance policy should be strict enough to allow the employer to discipline those employees whose absences cause problems, yet flexible enough that the employer does not have to terminate good employees who are absent infrequently.

 

Having easy to read and understand policies and procedures can help alleviate a lot of problems in the workplace. Not only do they set the stage for what is deemed inappropriate, they can also provide guidelines for what is considered acceptable, and even expected, behavior. Strategic HR receives numerous requests to review and rewrite employee handbooks on a regular basis, especially with the number of recent federal guideline changes. If you haven’t updated your handbook in the last few years, now may be a good time. For more information on how we can help you with your employee handbook, please visit our Employee Relations page.