All posts by stu

Company Culture, Human Resources, Job Description, Performance Improvement Plan, SMART goals

How to Create an Employee Performance Improvement Plan (PIP)

What can be done to improve the performance of a struggling manager, supervisor or employee?  Answer – develop a written performance improvement plan (PIP).  A PIP is an action plan that provides for the four (4) key ingredients to successful employee performance: (1) clear expectations, (2) accurate and specific feedback, (3) solid two way communications and (4) a reasonable timeline to demonstrate performance.  Your employees have the opportunity to succeed when you have the means to hold them accountable for performance.  Your PIP dialogue can explore the reasons for the poor performance (i.e. excuses) – such as lack of appropriate training, unclear expectations of the job, unforeseen roadblocks etc…  Most importantly, you document the performance discussion and clarify that his/her performance must improve by a set date, in a way that can be objectively measured or calculated.  As a manager, you can use a PIP for substandard performance, minor-misconduct or even workplace behaviors that do not match your company’s culture or values.  Lastly, the PIP can also identify the consequences for failing to meet necessary improvements, such as reduction in pay, transfer, demotion, or termination of employment.  So, at the end of the PIP, everyone knows the potential outcome.  Because there are so many great uses for a PIP, let’s explore the steps to effectively implement a performance improvement plan for an employee.

Step 1: Document the Performance or Behavior Issues

Before initiating the PIP process, a manager should document the areas of the employee’s performance that need improvement.  Be objective, factual and specific.  Provide facts and examples to further clarify why it is a problem and needs to be addressed.  Do not nitpick or create a gigantic list, but focus on the main issues and key points.  This is the catalyst for needed action by the employee.

Step 2: Develop your Action Plan using SMART goals

Study the job description, performance goals and key performance indicators (KPIs) for the job.  As the manager, establish the framework for an acceptable action plan for improvement, which may be adjusted based on employee feedback in the meeting.  The employee meeting should be collaborative, with the employee being tasked with developing a plan to meet performance expectations.  The manager will coach the employee if stuck, or if there are legitimate obstacles to success.  Be prepared to clarify any confusion or misunderstanding on the employee’s part, to make sure the employee takes full ownership of the issue and solution in the PIP.  The PIP should include specific and measurable objectives that are built on SMART goals.  Also, make reference to any relevant HR policies that may impact future performance and behavior objectives.

Step 3: Review the PIP and Meet with Employee

Prior to meeting with the employee, the manager can seek assistance from his or her manager or Human Resources to review the PIP.  A third party review will help ensure the documentation is stated clearly, objective and without emotion.  The third party can also review the suggested PIP to make certain it is specific, measurable, relevant and attainable within the PIP timeline.  Provide a reasonable time for employee improvement, such as 30 to 60 days (time period may be longer depending on improvement needed and measurements).  Conduct a collaborative, supportive meeting with the employee to achieve the best chance of success.  The employee must embrace the PIP and agree to work toward goal achievement.  Have employee sign and date the PIP Agreement.

Step 4: Follow up with Performance Check-ins

The employee and manager will agree upon a schedule of regular follow-up meetings (weekly, biweekly, etc..), which should be described in the PIP.  These meetings should discuss and document progress toward goals, and actions taken by the manager to support the employee’s plan.  Ultimately, the employee should use the meetings to seek feedback, check on performance measurements and ask for coaching/training opportunities to strengthen areas of weakness.  The manager is available to remove roadblocks and ensure that employee has the necessary tools.  Progress meetings should be documented and added to the PIP documentation.

At the end of the PIP period, the manager documents progress toward required goals and makes a decision about any follow-up performance actions or consequences.  When the employee has responded positively and is meeting agreed upon objectives, the manager should formally close the PIP and allow the employee to continue employment. If the employee has not met agreed upon goals, then the manager has sufficient documentation to take action.

In January check out our website for the Performance Improvement Plan Agreement template.  Do you need help with a difficult employee performance situation?  Give us a call.

Employee Handbook, Employee Policies, NLRB, Section 7 Rights

New NLRB standard for reviewing legality of Handbook Policies

In December, there was more good news for employers who were hoping that regulators would take a more centrist approach to labor and employment policy.  There was another rollback of an Obama era regulatory interpretation at an agency that had been very activist in the last few years.  In early December, the National Labor Relations Boards (NLRB), with new Trump appointees, changed an important interpretation regarding Employee Handbook rules, and how to determine if they violate federal law.  NLRB decisions impact all employers, even those without unionized employees or collective bargaining agreements.  Under Obama’s NLRB, the agency took an activist approach to the National Labor Relations Act and brought a series of complaints against employers because facially neutral employment policies were alleged to have unlawfully interfered with the exercise of rights protected by the National Labor Relations Act.  For instance, a workplace civility standard could violate legal protections because it might interfere with an employee’s right to disagree or voice displeasure with a company policy.

Under the NLRB’s new standard announced in the Boeing Company decision, when evaluating a facially neutral policy, work rule or handbook provision that could reasonably interfere with the exercise of NLRA rights, the Board will look at two things: (1) the nature and extent of the potential impact on NRLA rights, and (2) the legitimate justifications associated with the rule.

How can your company evaluate the legality of its handbook and workplace policies under this standard?  The Board describes three categories of rules. First, category 1 rules are lawful to maintain because they do not interfere with NLRA rights or the potential impact on protected rights is outweighed by the rule justification.  Two examples at Boeing are the “no cameras” rule and basic standards for civility.  A rule that requires employees to foster harmonious interactions and relationships (or civility) was legally permissible.   The Obama NLRB had ruled that civility standards were illegal.

Category 2 includes rules that require individual scrutiny to determine on a case by case basis as to whether the neutral rule interferes with NLRA rights, and whether the adverse impact on NLRA protected conduct is outweighed by legitimate justifications.

Category 3 rules are unlawful to maintain because they prohibit NLRA protected conduct and the adverse impact on NLRA rights is not outweighed by business justifications associated with the rule.  For example, employees cannot be prohibited from discussing wages and benefits with other employees.

So, the best guidance to employers is to review each proposed workrule, determine if the rule may interfere with NLRA Section 7 rights, and if so, the extent of the overlap.  Each work rule and policy must also have a solid business justification.

Consultstu LLC provides fractional HR services to small/mid businesses to lower operational costs, improve business processes and comply with workplace regulations.  We deliver customized HR and risk management solutions that provide protection from expensive mistakes and strategies to improve workplace results. Call us at 727-350-0370 or visit http://www.consultstu.com

Human Resources, New Hire, Onboarding, Retention

Jump start your On-boarding program!

In small business, we all wear many “hats”, and are really busy.  Those handling HR duties can easily get overwhelmed by just completing the necessities of HR.  If your company is growing fast or experiences high employee turnover, it may be all you can do to just get new hire paperwork completed.  A lack of attention and appreciation during onboarding leads to bad first impressions for new hires.  Onboarding is more than paperwork, supervisor introduction and review of the Employee Handbook.  Small businesses often neglect to deliver a comprehensive and meaningful onboarding experience for new hires because there is no plan.  HR is just moving the paperwork and the supervisor is not given any guidance or resources to implement the onboarding.  No plan means no consistent and impactful onboarding.  A lost opportunity.  Instead, make new hires feel important and express your gratitude they joined your team.  It’s not hard – here’s how to jump-start your small business onboarding program.  Onboarding is an experience.

First, realize that your business has ninety (90) days to capture the heart and mind of the new hire (whether a minimum wage worker or high priced professional).  A well-developed onboarding process will not fix a “bad hire”, but a successful onboarding program can keep a good hire from leaving.  First impressions count, so don’t mess it up.  Many studies show that the first 90 days is prime time to build relationships with co-workers, managers and the company.  By increasing your support for the new hire, your company will earn a more positive attitude from the new hire.

Second,  your hiring manager needs your company’s help.  Onboarding does not happen by accident.  The socialization and professional support require company support and resources.  Take time to define the expected roles and responsibilities of the hiring manager with each new hires.  Will your company also assign a co-worker buddy?  Is there a formal structure for check-ins between the hiring manager and new hire? How will you teach the new hire about your culture and company values?  Build a plan and then first train your hiring manager about the onboarding process.

Third, take action to create a feeling of social acceptance by the new hire.  Include them in the existing professional and personal networks at work.  Invite them to connect on Facebook, Linkedin or other social media sites.  Learn about their interests and show them how they can connect with co-workers of similar interests.  After work events, company sponsored teams and happy hours. Also, use company successes as another chance to connect together.

Fourth, help your new hires by clearly defining their job duties and performance expectations.  Have an up-to-date job description and also share the key performance indicators (KPIs) for the position.  Conduct regular performance discussions (30-60-90 day) that include both recognition and developmental counseling.

Fifth, recognize that the hiring manager is busy and the company must support their role in the onboarding process.  How can you motivate your hiring manager to successfully support the onboarding process?  A survey of engineers showed that hiring managers look for clues from new hires to see if they are committed to the job – and if so, they are more likely to be helpful and make connections.  So, new hires that are trained to be pro-active and vocal, will help support a successful onboarding process.

Sixth, create ancillary onboarding materials and information sheets to help your new hires.  Information sharing and knowledge is a company value.  Use various techniques for learning including self-learning, informal OJT and formal or computer based training.  Employees can be encouraged to do their part in advancing their knowledge and skills.

Seventh, communicate your entire employment proposition during the onboarding.  Wages and benefits are important (and need to be competitive) but don’t forget about core skill training.  Teaching new hires about the “how” and “why” is a proven way to engage employees.  A mentoring program can help these learnings take place.

Develop your plan, implement your process and invest in your new hires relationships.

 

 

Bonuses, Compensation, Department of Labor, Holidays, IRS

It’s Holiday Bonus time! 4 compliance tips for Employers

Many companies provide a holiday/Christmas bonus or year-end bonus to some or all employees in December.  There are several important rules about bonuses that every employer needs to know.  When planning your bonus plan, and calculating a budget, consider the following important reminders:

  • Bonuses that are discretionary (meaning, the company decided the amount and timing without making previous promises to employees about the specifics), are excludable from non-exempt/hourly employee’s calculation of overtime rate.  Written bonuses programs that provide a roadmap for employees to know exactly how to earn the bonus are not considered discretionary.  The Department of Labor rule about non-discretionary bonuses (and how to properly calculate OT if a bonus is paid) can be reviewed here.  DOL also states that gifts and payments in the nature of gifts on special occasions may be excluded from overtime calculation.
  • If the company is paying different bonuses amounts to employees, the company should have non-discriminatory reasons for the decision.  The bonus may be based on performance, employee classification, length of service, location or department – or other non-discriminatory bases.  If someone complains, you have your support.
  • Are your company’s bonus or gift excluded from federal and state taxes? In most cases, the answer from the IRS is “no.”  IRS publication 5137 states that de minimis gifts may be excluded from taxation, including holiday gifts. An essential element of a de minimis benefit is that it is occasional (or unusual) in frequency and the value is not too large.  It cannot be disguised compensation.  If a holiday bonus is too large to be considered de minimis, the entire value of the benefit is taxable to the employee, not just the excess over a designated de minimis amount. The IRS has ruled previously that items with a value exceeding $100 could not be considered de minimis, even under unusual circumstances.
  • What about gift certificates? The IRS says that cash or cash equivalent items provided by an employer are never excludable from income. An exception applies for occasional meal money or transportation fare to allow an employee to work beyond normal hours. Gift certificates that are redeemable for general merchandise or have a cash equivalent value are not de minimis benefits and are taxable.  A certificate that allows an employee to receive a specific item of personal property that is minimal in value, provided infrequently, and is administratively impractical to account for, may be excludable as a de minimis benefit, depending on facts and circumstances.

Check out the DOL and IRS rules to make sure your holiday good tidings do not become a headache.

Consultstu LLC provides fractional HR services to small/mid businesses to lower operational costs, improve business processes and comply with workplace regulations.  We deliver customized HR and risk management solutions that provide protection from expensive mistakes and strategies to improve workplace results. Call us at 727-350-0370 or visit http://www.consultstu.com

Christmas party, Drug and Alcohol, Employee Policies, Safety

HR reminders for the company Christmas party

With Thanksgiving over, Florida businesses are turning attention to the Christmas and holiday party or luncheon in December. This annual event is just around the corner and you (Office Manager or HR Coordinator) are probably reviewing last year’s email reminder to employees that communicate the event details, proper attire and general behavior expectations since the event will occur during non-working hours and offsite location. While everyone is looking forward to a good time, HR is thinking ahead and working to make sure the event is safe and enjoyable for all – so here are some important reminders.

  1. Alcohol consumption creates known risk. Employers can be held liable for employee conduct at company events if the event is considered part of their employment. All parties should be voluntary, not mandatory. Always designate several key employees to keep eyes open at the event, and be prepared to take action is needed.
  2. Having the event at an eating and drinking establishment is wise because the professionals are now controlling the distribution of alcohol – and not Andy, the good time Shipping Manager. Serve food if alcohol is being served, Employees should avoid serving alcohol at the event.
  3. If overnight accommodations are not available, make sure the company shares options for Uber. Lyft or taxis for employees that have too much to drink. Often companies include the cost of safe travel as a company perk at this event.
  4. The company invitation email or memo reminders employees about proper conduct and attire so that in case Randy from Accounting gets a little crazy, the company can show it took reasonable action to protect attendees. This is even more important if the company also invites key customers or vendors to the event.
  5. If someone does not celebrate Christmas, for personal or religious reasons, there should be no penalty for not attending the party.
  6. Check with your general liability insurance carrier for other recommendations for your Christmas or holiday party. To minimize liability arising out of the event provider’s negligence, check that the event provider carries General Liability insurance. Check out some additional tips from Hartford Insurance.

With some pre-planning, your event will be successful, enjoyable and without incident. Cheers!

Affordable Care Act, IRS, Pay or Play

“Pay or Play” Tax Penalty Letters are coming by year end

Yes, Obamacare is still the law of the land (at least until the Congress changes the rules) and employers that did not come into immediate compliance will soon be receiving letters from the Internal Revenue Service (IRS).  The agency recently announced a plan to notify employers about potential liability for a “pay or play” penalty for the 2015 calendar year in late 2017.  Yes, you heard right – the calculation of penalties from over 2 years ago.  The only good news (if any) is that the IRS will provide employers with an opportunity to respond to the assessed taxes before any penalty is assessed – and the notice and demand for payment is made.

The IRS plans to issue Letter 226J to covered employers (Applicable Large Employers “ALE”) — those with at least 50 full-time employees, on average during the prior year —if it determines that, for at least one month in 2014, one or more of the company’s full-time employees was enrolled in a qualified health plan for which a premium tax credit was allowed, and no safe harbor was available.  The Letter 226J will include: (1) the assessed penalty (itemized by month), (2) the list of full time employees that were given premium tax credits  (if ALE did not have safe harbor), and (3) instructions on how to disagree with the assessment and the Form 14764 response form.  Employers will be given 30 days to respond.

What if your company owes a penalty?  The IRS will provide instructions on how to pay any assessed penalty.  Companies will not be required to include the payment on any tax return, or make the payment before it has been given the opportunity to receive the notice and demand for payment.  Read more from the IRS by clicking here.  If you want a second opinion about your penalty, give us a call.

 

Compensation, Employee Recognition, Rewards

10 fresh (but affordable) ways to Recognize Employees

Let’s face it – continuing to do the same thing, at the same time, in the same way, is boring. This is totally true for employee recognition. Classics include: employee of the month, gift certificate raffle, great parking spot, monthly lunch were all great ideas – but companies need to keep things fresh and trendy to keep employees interested. As we approach 2018, take a pledge to revisit your employee recognition and reward techniques and implement some new ideas. Here are 10 new ideas to consider:

  1. Spot awards – not unique, but instead of awarding a gift card, consider giving an unexpected afternoon off, or half PTO day or donation to the employee’s charitable cause (in his/her name).
  2. Consider more office events involving fun teamwork. For instance, bring in or make pancakes on national pancake day. Think of ways to connect employees with each other, with a common theme.
  3. Peer recognition is wildly popular right now. Give co-workers a chance to recognize each other’s good work and performance. You can find an app for that or come up with an internal message board (old school) to accomplish the same thing (depending on your budget).
  4. Recognize employee work anniversaries – bring a “treat” and publicize the reason for celebration. Use a trendy new restaurant, or food fad (aka mini doughnuts, fruit pops).
  5. Create a “turnover chain” (google Miami Hurricanes football if you do not know) for a key performance indicator or sales goal. Pick something that resonates with your employee base, and see them jump to win it.
  6. Design (or re-design) the employee news so employee recognition awards are highlighted and are linked to your company values and mission. Add more photos of employees.
  7. Spent time to develop key performance indicators (“KPIs”) for each position – then design specific rewards or compensation incentives. Use color levels or cool names to label the achievement steps. People like to know their goals and track their success.
  8. Put a new twist on your perfect attendance award by partnering with a local charity and “lend” your winner to the charity for a day. The winning employee can spend the day building a Habitat for Humanity or care for working dogs at Southeastern Guide Dogs or whatever. They feel good, and you can profile their day in your employee news.
  9. Employees that bring great suggestions or ideas that save money, lower costs or improve customer satisfaction can be recognized with their choice of rewards – house cleaning for the month, a month of yard mowing services, car washes for the month or fill up their gas tank for a month. Post the challenge – and post the recognition options.
  10. Create wall space for recognizing important business successes and publically recognize and link employee contributions.  Involve employees in the wall design.  Then, publically post any customer “shout outs” for great service, above and beyond courtesy or creative problem-solving. Give your wall a name that properly reflects your company culture and team.

In 2018, try something new and see what happens.  I bet you get your employee’s attention.

Consultstu LLC provides fractional HR services to small/mid businesses to lower operational costs, improve business processes and comply with workplace regulations.  We deliver customized HR and risk management solutions that provide protection from expensive mistakes and strategies to improve workplace results. Call us at 727-350-0370 or visit http://www.consultstu.com

Americans with Disabilities Act, Employee Injury, Fitness for Duty, Medical Exams, Reasonable Accomodation

What is a Fitness for Duty form?

Recently, a client called to ask about an employee who had complained about a back and shoulder injury.  The employee told his foreman that he did not feel that he was physically capable of performing his normal work duties as a construction laborer due to pain.  He asserted that it was a workers’ compensation case – so the company alerted the carrier about the potential claim.  The employee was out of work for about two weeks and then asked human resources if he could come back to work in a light duty position, or in a different position that was not as physically demanding.  If the injury is determined not to be work related, how is the company able to know what the employee can do, and not do?  Answer – request that the employee have his medical provider complete a fitness for duty form to be sure he is ok to continue his normal work duties.

An employer has the right to request a fitness-for-duty exam of a current employee when it has a reasonable belief (based on objective evidence) that: (1) the employee’s ability to perform his/her essential job duties is impaired by a medical condition, or (2) the employee poses a direct threat to themselves or co-workers due to a medical condition.  In my client’s case, the employee had actually told his foreman that he could not perform his job because of his neck and shoulder injury.  The foreman could also use observed performance problems that are reasonably attributable to a medical condition.

In our case, the laborer worked on a pipe crew, and the employee was expected to work in and out of trenches, move material, climb ladders, dig and assist with related tasks.  He stated that his shoulder and neck injury did not allow him to lift, twist, climb or maneuver on the job site (as needed).  The employer also believed that the employee poses a direct risk of injury to himself.  As a result, the company is allowed to send him to a qualified medical provider to determine if he is fit to perform his job.  The medical provider can be provided with a fitness for duty form and a job description to help ensure an accurate determination.  The use of a Fitness for Duty form is permissible because the inquiry is job-related and consistent with a business necessity.  The company can assign the medical provider or allow the employee to use a doctor of his own choosing.

Another permissible use of a Fitness for Duty form is to substantiate the medical necessity of an accommodation request.  In our case, the employee asked to be placed in another job (as an accommodation to his neck/shoulder injury), so the company is entitled to ask the employee to take the Fitness for duty form to their personal medical provider (along with a job description) for completion.  If the employee’s information (and answers on the form) is inadequate, incomplete or insufficient to establish the employee’s need for an accommodation, the company can direct an employee to visit a medical provider of its choice.

Lastly, under Family and Medical Leave, an employer may request that an employee returning from a medical-related leave of absence bring back a medical certificate establishing that he/she is able to return to perform the essential job functions.

Click Here to download a sample Fitness for Duty form.

Consultstu LLC provides fractional HR services to small/mid businesses to lower operational costs, improve business processes and comply with workplace regulations.  We deliver customized HR and risk management solutions that provide protection from expensive mistakes and strategies to improve workplace results. Call us at 727-350-0370 or visit http://www.consultstu.com

Background screening, Fair Credit Reporting Act, Hiring

5 tips for conducting New Hire Background Checks

More small businesses are looking to verify information submitted by applicants and conducting a criminal background check is standard practice for many companies. I hear about many small businesses that try and conduct DIY background checks by looking at local county jail websites and using free online websites, like Spokeo. This is not a best practice, is not reliable and likely does not comply with the requirements of the Fair Credit Reporting Act (FCRA). So, what does a small business need to know about criminal background checks?  Here are 5 tips for conducting effective background screening.

First, it is best practice to select an experienced third party background checking company to ensure that they can help your company follow all the applicable legal requirements. If you hire employees from other states, be aware that many states have additional legal protections for applicants – and your background screening company can help you comply.  For instance, some states ban the ability to ask about criminal convictions on the employment application (in Florida, an employer can ask an applicant about criminal convictions).

Second, obtain an up to date disclosure and consent form that is signed by the applicant. Your document needs to meet the requirements of the FCRA. Check annually to make sure your form is still the most current version.

Third, make sure your offer letter tells the candidate that the offer is contingent upon the successful result of the criminal background check. The company has the right to rescind its offer if the results are unsatisfactory.

Fourth, only the most recent criminal convictions that relate to the specific job can be used to disqualify an applicant. The FCRA mentions using a 7 year period of time for looking at convictions. So, not any conviction, but relevant convictions can be used. The older the conviction and lower the severity, the least relevant.  Generally, minor offenses that were committed years ago should not be used to deny employment.

Fifth, if your check shows a conviction, your company must use the process outlined in the FCRA to give the candidate a chance to dispute the results (if they believe there is a mistake on the report). There is a process and time frame for sending Adverse Action letters to the affected candidate, allowing the person time to communicate directly with the background screening company about any alleged errors. Your company must give the candidate a reasonable amount of time to dispute the incorrect information before you pursue another candidate.

Consultstu LLC uses Sarma to conduct its small business background screening.  For questions about your background screening needs and situations, give us a call.

Discrimination, EEOC, Harassment, Investigations

How to Investigate a Sexual Harassment Complaint

With the ever-expanding news of sexual harassment complaints against Harvey Weinstein, Kevin Spacey and other Hollywood “A” listers, there is a national spotlight on harassment. If an allegation of harassment occurs at your organization, are you prepared to respond quickly and competently? First, almost every company should have a written policy that prohibits sexual harassment and other forms of harassment based on characteristics protected under federal and state law. Often, this policy is contained in the Employee Handbook or Office Manual.  Businesses with 15 or more employees are covered by state and federal discrimination/harassment laws, and smaller businesses (down to 5 employees) are often covered by local county or city ordinances on discrimination.

Second, understand what constitutes sexual harassment. The Equal Employment Opportunity Commission (EEOC) provides a three-prong definition for sexual harassment. Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when: (1) Submission to such conduct is a condition of employment or advancement; (2) Submission to or rejection of such conduct is used as the basis for an employment related decision affecting an individual; or (3) conduct that has the purpose or effect of interfering unreasonably with the individual’s work or performance or creates an offensive, hostile, or intimidating working environment. The company’s written policy should outline a procedure for handling harassment complaints, including the person designated to receive an employee’s concern.

Now, here are the six steps to conducting your sexual harassment investigation:

Step 1: Receive the Complaint. When receiving a complaint, the company must take each instance seriously, listen with empathy (not judgmental) and not unnecessarily delay the response. Document the complaint – preferably having the Complainant put his/her complaint in their own words, and ask for details on all alleged incidents. Depending on the severity of the complaint, legal counsel may be conducted for assistance. Ask the Complainant for what type of outcome he/she prefers. Explain that the Company will protect the complainant from retaliation for participating in the investigation and that confidentiality will be maintained to the fullest extent possible, but the alleged harasser must have sufficient information to have the opportunity to respond to the allegations. Ask open ended questions, remain neutral, and do not make promises or guarantee a specific result. Ask for the names of any witnesses and if there are any documents or physical evidence that corroborates the complaint.

Step 2: Review the Complaint. Review the facts and any evidence that supports the allegations of harassment. Take immediate steps to stop any active harassment and determine if the parties need to be separated during your investigation. The alleged harasser may be asked to take some time off from work, while the investigation is conducted; or the complainant may be offered (voluntarily) some paid time off while the investigation occurs. Determine how and when to schedule an interview with the alleged harasser.

Step 3: Interview the accused Harasser. Stay objective and do not assume that the alleged harassment happened. Take notes and preferably, have the accused employee write up their statement responding to the alleged incidents brought forward by the complainant. Ask the accused to identify any other evidence or documents that support their version of events. Interview any other witnesses identified by the accused harasser or the complainant. Ask all witnesses to keep the investigation confidential, and not to speak to other employees about the subject of the investigation.

Step 4: Weigh the evidence. Consider the credibility of each party and the reputation for honesty of the employee and the alleged harasser. Could there be another reason for the complaint – such as the employee is trying to make up for a poor performance review or a disciplinary action?  Have there been previous complaints?  Does the evidence support the complaint? Look for inconsistencies, or consistencies, between the accused version of events and the complainant’s. What evidence supports each sides version of events (especially if the case boils down to a “he said, she said” case).  Use common sense and your own knowledge of events to help fill in any gaps.

Step 5: Document your Investigation and Take Action. Keep a detailed written record of your entire investigation. If a discrimination or harassment charge is later filed, your detailed notes of your investigation are critical to your defense. Make your notes sufficiently clear and detailed so that you (and anyone else) can understand and use them in the future. Once you have the facts, make a decision about what you think happened and whether sexual harassment occurred.  If you determine that harassment occurred, then take prompt action to address it. Company action may involve discipline, an apology, reprimand, reassignment or discharge, depending on severity. The action should match the facts, and be geared to preventing future misconduct. Additionally, the company may decide to re-train employees, revise policies and/or make other workplace changes that make sense.  It is not the company’s purvue to determine illegality but only if a violation of company policy occurred.

Step 6: Close the Loop with the Complainant. Inform the Complainant about the results of your formal investigation and your decision. In addition, you may decide to discuss the means and methods for the complainant to confront concerns about harassment in the future. The victim can be instructed about how to talk to the harasser directly in order to state that their conduct is unwelcome and must stop.  You will continue to monitor the situation and make sure objectionable behavior does not re-occur.  Obviously, there will need to be some time for stress, feelings and emotions to decrease. Place emphasis on the professionalism and that each party has a vested interest in maintaining an efficient and harmonious workplace.  Take action against the accused, if needed.

Consultstu LLC provides fractional HR services to small/mid businesses that lower operational costs, improve business processes and maintain compliance. We deliver customized HR and safety solutions that provide protection from expensive mistakes and strategies to improve workplace results. Call us at 727-350-0370 or visit http://www.consultstu.com

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