HR Webinar: Unraveling HR Investigations: They don’t have to be a mystery
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The document discusses best practices for conducting HR investigations, including organizing the investigation process, planning interviews and document review, assessing credibility, determining appropriate actions, and managing risks. It provides tips for setting goals, identifying impartial investigators, asking questions during interviews, reviewing relevant documents and technology, and preparing findings without recommendations. The presentation aims to help unravel the mystery of HR investigations and ensure they are conducted properly.
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HR Webinar: Unraveling HR Investigations: They don’t have to be a mystery
- 1. Organize. Humanize. Maximize. Unraveling HR Investigations They don’t have to be a mystery April 21, 2020 Kate Bischoff
- 2. Organize. Humanize. Maximize. 2 Recruiting & Onboarding Talent Management HR & Benefits Payroll Time & Attendance Ascentis Ascentis provides: • A-la-carte HR technology • Industry-leading time & attendance • Easy dashboards for actionable insights • Unsurpassed support 30+ Years of experience growing with you as an HR professional throughout unprecedented change in the role of HR and expectations of employees. Opening Remarks
- 3. COVID-19 Resources Simplified updates and actionable insights to empower you. Please share with your network Organize. Humanize. Maximize. 3
- 5. Organize. Humanize. Maximize. 5 Housekeeping - How to earn credit Stay on the webinar, online for the full 60 minutes Be watching using your unique URL sent to you from GoToWebcast Program codes delivered by email, to registered email, approximately 30 days following today’s session
- 7. About Me • Management-side Employment Attorney & HR Consultant • Human Resources Officer for the U.S. Department of State in Jerusalem & Zambia • Adjunct Professor of HR Compliance at Mitchell Hamline • Training • Policies & procedures • Investigations
- 8. What We’ll Cover • Process of investigation • Goal setting • Planning • Interviews • Document review • Findings • Determining appropriate actions • Risks with investigations
- 9. “Unofficial” Complaints Don’t Exist When management – any manager – hears of, sees, or suspects inappropriate behavior, the organization is on the hook. Period.
- 10. Once Learned, Immediate Action Particular to harassment, we need to prevent any additional conduct • Requirement of “timely & appropriate action” • What can we do to immediately get conduct to stop, prevent it from happening again? • Separate individuals • May not require any action
- 11. Why We Investigate • Concerned about the work environment • Want the environment to be positive & productive • A timely investigation – with appropriate action taken – can limit the liability for an organization
- 12. Setting a Goal • What’s the goal? • Start with the business goal in mind • Often this will be “determine the working environment in XXX” and/or “determine if action is necessary” • Setting a goal sets a parameter on the investigation • Easier to maintain focus of this particular investigation • What you find may lead to other investigations
- 13. Identifying the Investigator • Who is the best person to investigate? • Trained individual • Truly be impartial • Should we look outside the organization? • Attorney • Privilege/Work product • May become a witness in subsequent proceedings • Credibility • Knowledgeable investigator • Best to objectively provide actionable information
- 14. Investigation Review • Interviews • Documents • Handbook policy • Personnel files • Technology • Social media • Phones • Emails
- 15. Interviews • Who to talk to? • “Victim” • “Harasser” • Witnesses • Within the same department/division • Outside the same department/division • Managers • Who gets interviewed may change during the course of the investigation
- 16. Outlining the Interrogation • When? • Where? • Record or not record? • Questions? • Broad, general topics • Prepare for follow-ups • Setting objectives may lend itself for conversation
- 17. Starting the Interview • Who is the interviewer? • What is the purpose of the interview? • Extent confidentiality may apply to what is said • National Labor Relations Act • EEOC • What if unionized? • Weingarten rights • Going to take notes
- 18. Interview Itself • Rigidity does not lend itself to natural conversations • Be mindful of normal conversational habits • Allow for some moments of silence • Ask if there’s anyone else you should talk to • Ask if there’s anything else you should know
- 19. Important Interview Questions • Traditional who, what, where, why? • Brass tacks • How did they know? Hear? See? • Date, time, some cases clothing • Critical for credibility • Handling rumor • How did you learn about this? • Did you believe them? Why? • No such thing as “hearsay” in a workplace investigation
- 20. Victim/Complainant Interview • Start with a narrative question • Tell me what happened • Then get into details • Know of similar conduct with other people • How did s/he respond at the time? • Be sensitive to the difficulty it may take for some victims to tell the story
- 21. The Alleged Bad Actor • Opportunity to be heard • Generality of “how are things going?” • Summary of the issue • If acknowledged, get into details • May be possible that disciplinary action will be taken
- 22. Concluding All Interviews • Thank all who talk with you • Give them contact information if they think of or learn of something later • Remind of confidentiality covered at the beginning • No retaliation for speaking with you
- 23. Credibility Assessment • He said/She said situations • Evaluate credibility • Are stories consistent? • Are interview responses consistent with documents? • Possible that credibility will establish itself for you
- 24. Documents to Review • Organizational chart • Job descriptions • Performance reviews • Notes • Diaries/Journals • Meeting minutes • Recordings
- 25. Technology • Emails • Instant messaging • Text messages • Social media • Video • Phone records • Time & attendance records • Log-ins
- 26. Documents & Technology • Retain copies of relevant documents as a part of the investigative file • Reference if/when you use them in an interview • Don’t have to be as formal as “Exhibit A” • Have interviewee acknowledge s/he has seen it before
- 27. Tools to Review Technology • Keyword searching • Analytics may concept map quickly allowing for fast review
- 28. Interviewed, Reviewed, Now What? • Prepare reports • What deliverables? • One report • Two reports • Findings, not conclusions • Remember the investigator’s role • Find out facts • Not make recommendations • Attorneys may make recommendations
- 29. Oral vs. Written Reports • Corporate Counsel identified a trend of oral reports • Oral • Not written down • Lends itself to a conversation about the findings • Written • A record of the investigation • Summary of the facts • Could be subject to discovery
- 30. Determining Appropriate Action • What happened? • What have you done before? • What will make the conduct stop? • What is best for the business? • “Untouchable” employee issue • Evaluate the risk of liability & operations • What about your credibility as an organization?
- 31. Appropriate Action May Include… • Written warning • Suspension with pay • Demotion • Relevant training • Denial of bonus • Removal from certain programs • Termination • Transfer of accused
- 32. Appropriate Action Does Not Include… • Any “adverse action” to the accuser or victim • No transfers or change in shift • If requested, document the request • Do not contemplate unless requested • Removal from programs • Isolation from particular meetings/gatherings • Everything should remain as normal as possible • Nothing?
- 33. Scenario – Lisl & DuWayne • Have been working long hours together • Head out to a bar afterwards • Gets a little flirty • Follow each other on Twitter, Snapchat, Instagram • Lisl makes flirty posts & tags DuWayne in them • DuWayne does not respond • Suzy comes to you
- 34. Takeaways • Investigations are tough • Take a step back • Consider • Who is doing the investigation • How you do it • When you do it & in what order • Prepare the findings & recommendations • Think about HOW you want to share them
- 35. Kate Bischoff (612) 361-7707 (320) 249-9269 @k8bischHRLaw kbischoff@thrivelawconsulting.com thrivelawconsulting.com
- 36. Organize. Humanize. Maximize. 36 Questions? More Questions: Add them to the chat box!
- 37. Organize. Humanize. Maximize. 37 How Ascentis HR and Talent Management Can Help Ascentis allows you to focus on the bigger picture with integrated HR and Talent Management software. We provide real-time data, easy reporting, and the ability task your employees with virtual trainings to ensure your business is compliant. • Easily access your employees training records, and send reminders to those who have yet to complete courses • Ascentis HR provides over 300 on-demand reports, point-in-time reports and configurable fields • Fine tune employee performance on-demand with real-time performance management software, visible on mobile • Notes, trainings, reviews and more can be instantly accessed through our Talent Management portal Recruiting & Onboarding Talent Management HR & Benefits Payroll Time & Attendance Ascentis
- 38. COVID-19 Resources Simplified updates and actionable insights to empower you. Please share with your network Organize. Humanize. Maximize. 38
- 39. Organize. Humanize. Maximize. 39 Contact Us info@ascentis.com www.ascentis.com 800.229.2713
Notes de l'éditeur
- Welcome everyone to our one-hour webinar, Families First Coronavirus Response Act of 2020: Keys to Compliance.
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- Introduce complimentary resources available to help guide and support you through these uncharted waters. COVID resource page Blogs: Released yesterday – FFCRA Employer Tax Credits: Facts for HR and Payroll Professionals Weekly webinars with the latest legislative updates and what they mean for you and your processes Our webinar program had over 50,000 people register last year and is the #1 google ranking free HR and Payroll webinars. We have concentrated our efforts on providing value as it relates to COVID the best way we know how and that is by tackling confusing legislation and relating it back to your role and technology, so you can quickly impact your employees during this time of need. If you find this webinar, which will be on-demand for credit, and these other resources valuable, please share them with your network.
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- Before we get to Q&A, we want to better understand the impact changes like the Family First Act have on your processes. (Prompt Poll) Please leverage the chat box to make sure you add any questions you may have.
- Introduce complimentary resources available to help guide and support you through these uncharted waters. COVID resource page Blogs: Released yesterday – FFCRA Employer Tax Credits: Facts for HR and Payroll Professionals Weekly webinars with the latest legislative updates and what they mean for you and your processes Our webinar program had over 50,000 people register last year and is the #1 google ranking free HR and Payroll webinars. We have concentrated our efforts on providing value as it relates to COVID the best way we know how and that is by tackling confusing legislation and relating it back to your role and technology, so you can quickly impact your employees during this time of need. If you find this webinar, which will be on-demand for credit, and these other resources valuable, please share them with your network.