Of course, you should look into the matter if you have grave concerns about a member of your organization.
You should speak with the employee in question during an investigation and, if necessary, hold a disciplinary meeting.
The investigatory interview establishes what occurred. To decide what to do about the employee, the disciplinary meeting is started.
3. Let the worker know in advance to expect a letter inviting disciplinary action. Two days notice will suffice.
4. Invite the employee in writing with the time, date, and allegations, as well as the possible outcome.
5. Prepare for the meeting. Examine any supporting documentation and information, and create a list of inquiries to pose to the employee.
6. Set the tone for the meeting by starting with introductions and outlining the expected outcomes. Your disciplinary meeting must have a clear structure.
7. After you adjourn the meeting, consider your outcome decision. Reconvene and confirm your decision in writing.
Keep in mind that the goal of a disciplinary meeting is to review the evidence, understand the causes of the issue, involve the employee, give them the chance to take responsibility for their actions, and find solutions.
1. Your inconsistent attendance has been a disruption to the organization. You were absent three days and were late six times in the previous month. “How do you explain this?”.
2. You’ve had to be reminded repeatedly to submit your sales expense reports on time. “What is the problem?”.
3. We’ve found eight instances of your rude behavior toward your manager and coworkers today. “What do you plan to do about it?”.
4. You seem disorganized, which has been brought up four times with you. You are currently processing the standard assignments a week behind schedule. “What are you going to do about it?”.
5. You’ve declined overtime requests numerous times and left the building. This went against a directive that your boss gave you. When you agreed to the position, you were told that working overtime on short notice is necessary when the business has deadlines for serving our customers. “Why do you refuse your supervisor’s directives?”.
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How do you feel about disciplinary actions? What methods do you think are most effective when it comes to discipline? If you had to discipline an individual for underperforming at work, what would you do? What do you think is the purpose of discipline?
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Don’t gamble with your company’s investigation process. Learn about i-Sight software today
Expand on the who, what, where, when, why, and how of what happened during your HR investigation interviews. Posted by Ann Snook on March 14th, 2022.
It can cost your business money if you don’t ask the right interviewees the right questions.
In a recent wrongful dismissal lawsuit, a towing company was ordered to pay a fired employee nearly $20,000 in compensation. The witnesses they questioned during their workplace investigation were crucial to their decision to fire them, but the accounts varied during different interviews.
“Where this particular [employer] fell short was in the credibility of the witnesses that were put forward, particularly the witness to the conduct, who was inconsistent,” explains employment lawyer Ted Flett. “I think that proved to be highly problematic, as he was central for allegedly having observed the theft having taken place.”
Start by posing the sample HR investigation questions listed below during your interviews to ensure you are getting the most useful information. Use them as a starting point for the discussion and go over the essentials of what happened, but don’t stop there. The only way to discover the full truth is to ask the probing questions that follow from what is revealed during the conversation.
i-Sight software is a better way to manage investigations. Your investigations can be managed more effectively and consistently with i-Sight, a specialized investigative case management tool. To learn how users of i-Sight are reducing risk, increasing compliance, closing more cases, and saving time, request a demo.
No matter how ridiculous or improbable the reporter’s complaint may seem, it is crucial to take it seriously. Sometimes even the most beloved manager is a harasser, or a devoted worker is secretly stealing from the business.
Another justification for treating complaints seriously is to reassure both the complainant and others that the company will investigate and fairly evaluate their issues, no matter how minor. This fosters a culture of speaking up and raises the likelihood that others will do the same in the future.
By resolving issues early on and before they have a chance to become more serious, you’ll also lower your risk of lawsuits and fines.
No matter what kind of incident you are looking into, speak with the victim/reporter/complainant first. This will enable you to learn more information about the complaint, allowing you to focus your investigation.
The reporter can also provide the names of potential witnesses that can help with your investigation, according to SHRM.
Your main goal is to learn the who, what, where, when, why, and how of the incident during the reporter’s interview. Ask them to provide as many details as possible.
Don’t push too hard, though, especially if the reporter is experiencing harassment, discrimination, or other forms of abuse. They might become overwhelmed or distraught recalling the events.
Read their body language and tone. Offer to stop or continue on another day if they start to feel tense or shut down. Be compassionate without adopting a bias toward the reporter. Also, point them in the direction of any mental health resources your company offers, like an EAP.
Ask the reporter the following questions about the HR investigation:
Interviewing witnesses comes next after speaking with the complaint’s author.
Witnesses can shed light on some of the details that the reporter may not have been able or willing to provide and help to confirm or deny the reporter’s account of what occurred.
Of course, those who actually witnessed or heard the incident make for the most compelling witnesses. However, witnesses can also be people who heard about the incident from other people who saw it, people the reporter told about it after it happened, or anyone else the reporter mentions who might know more about the situation.
Consider speaking with witnesses from those cases as well if the complaint’s subject was involved in other incidents, especially ones that are comparable to the one you’re currently looking into.
Some witnesses might be hesitant to cooperate. If they were complicit or involved in the incident, they might want to shield a friend or avoid drawing attention to themselves.
Assure them of their safety and that your investigation will benefit greatly from their feedback. Stress the “no retaliation” policy of your business and pledge to maintain the account’s confidentiality.
You can get the most pertinent information from your witnesses by using the following HR investigation questions:
Finally, interview the person accused of the incident or behavior. This could be the most difficult and delicate interview you ever conduct.
Before you attend this crucial interview, you’ve heard the accounts of everyone else involved in the incident, and it can be difficult to resist forming an opinion. However, it’s crucial that you maintain an open mind to prevent drawing conclusions based solely on what you’ve already heard.
Keep in mind that the only goal of speaking with the accused employee is to learn the truth. At this time, you shouldn’t try to make any decisions or judgments.
When you tell the person what they are accused of, they might respond in a number of unsettling ways. They could shut down and refuse to cooperate. They might lash out, becoming verbally or physically violent.
Stay safe and avoid accusations of coercion or wrongful dismissal by having two investigators in the room, if possible. Recording the interview can also help prevent negative consequences. Check this list to see if your state requires the accused to agree to recording or if you can make the decision on your own.
Here’s what to ask the accused person:
If the subject denies that the incident occurred, ask:
If the subject doesn’t deny that the incident occurred, ask:
Download this free eBook to learn how to better recognize deception and its various manifestations.
Dos and Don’ts for Questioning All Parties
During your investigation, you want to gather as much information as possible while exerting the least amount of effort possible. You must enter the interview meeting with the proper mindset and approach regardless of who you are interviewing.
Everyone has personal biases. It’s up to you to be aware of and account for your own biases. An excellent investigator possesses both the self-awareness and self-control necessary for this task.
When you ask questions about an HR investigation, bear in mind these dos and don’ts.
Do thank the employee. The interviewee gave up time from their day to assist with the investigation, and occasionally they might feel anxious to speak. Thank them for coming, and provide them with comforts like a glass of water or coffee before questioning them.
Don’t ask loaded questions. According to SHRM, “a loaded question is one that assumes a fact that has not yet been established.”
Say, for instance, Shayna claims Brad called her a racial slur. Don’t ask Brad what slur he called Shayna in the interview, assuming he actually said the slur. Say “Share what you talked about with Shayna during your one-on-one meeting” instead. ”.
Do keep your body language objective. A person being interviewed may believe that you are “on their side” or passing judgment on them if you nod or frown in response to their response. Maintain a neutral expression, sit erect, and remain motionless as the employee responds.
Don’t lead the interviewees. Ask questions in a way that doesn’t take sides. Try asking a witness, “Tell me what happened at your team meeting on March 12,” rather than, “You heard Kyle yell at Mary, right?” ”.
Do keep questions simple. Long questions filled with jargon will just confuse your interviewees. Instead of using multi-part questions, use brief inquiries that are intended to gather one detail at a time. You can ask follow-up questions to get more information based on the employee’s response.
Don’t ask questions that assign judgement. Avoid asking interviewees if they saw, experienced, or participated in inappropriate or unusual behavior. They now have the authority to determine whether a behavior fits into one of those categories. Instead, ask objectively about the behavior.
Try asking, “What did you hear Mike say to Isha? Was it sexual in nature?” as opposed to, “Did Mike make an inappropriate remark toward Isha.”
Do build rapport. Employees will be more forthcoming with answers to your HR investigation questions if they believe you. Act amiable, start the interview with some neutral small talk, and use language that makes them comfortable in order to gain their trust (i e. no jargon or buzzwords).
To learn more about how to build and maintain rapport with your interviewees, download this free cheat sheet.
The interview’s final few minutes can occasionally prove to be its most fruitful period.
Gratitude is due to the interviewee for their time and assistance in revealing the truth. Allow silence to permeate the room as you slowly pack up to give the person a chance to provide more details.
Interview subjects have been known to reveal revealing information after the interview when they aren’t being questioned. Investigators shouldn’t pass up this crucial chance to learn more from them.
Whether or not your subject offers additional information at the conclusion of the interview, it’s critical to conclude on a positive note. Express your gratitude for their assistance and give them your contact information in case they have any additional thoughts. They are more likely to assist you in the future if they feel good about the experience and you.
You must also keep your biases in check and adhere to best practices when evaluating the credibility of the subject, the reporter, and the witnesses. Ask some fundamental inquiries unrelated to the incident under investigation before posing the questions outlined above for the HR investigation.
They ought to be benign inquiries with predetermined, factual responses. By doing so, you can create a baseline for evaluating the person’s future behavior, language, and demeanor.
Examples of baseline questions include:
When the interviewee responds to these non-threatening questions, pay attention to their speech patterns, gestures, and level of eye contact. When you inquire about the incident, this enables you to determine whether their behavior has changed.
After your interviews are complete, assess the likelihood that each employee was being truthful. To figure this out, consider:.
You may need to schedule a second interview with an employee if you believe their account is not credible. Check to see if they maintain their story and act in the same manner. Ask fresh follow-up questions based on the other interviews in an effort to get them to reveal new or more frank information.
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The disciplinary hearing or meeting is a crucial phase of a just and legal disciplinary process.
Typically, a disciplinary hearing should follow an investigation into complaints or claims regarding an employee’s conduct.
The meeting’s objective is to give the worker a chance to respond to the charges
they must appear before a judge, present all pertinent information gathered during the investigation, including witness statements, and the employer must decide whether to take disciplinary action against them and, if so, how.
Making sure the meeting is effectively run, the right questions are asked, and the right issues are discussed will be crucial.
Questions to ask at a disciplinary hearing
The line of inquiry should be adapted to the particular allegations and problems in the case. Following the hearing, the employer ought to have access to all pertinent data and evidence and be in a position to decide on the disciplinary matter in question.
We examine some of the frequently asked questions that can inform how you prepare for meetings.
Ask the employee if they understand why they are attending the disciplinary hearing, what actions they could face, and whether their employer has provided them with all necessary information before the hearing even begins. Questions could include:.
The employee answers the accusations against them
The employee must be given the chance to present their side of the story, whether that be to refute the charge or provide justification for their unacceptable behavior.
Ask the employee to describe the circumstances that led to the disciplinary action. What happened? Who was present?.
The nature of the issue, such as whether it relates to a complaint from another employee, the employee’s behavior or performance, or whether there is an allegation of gross misconduct, will determine the specific questions the employer will ask.
Exist any mitigating factors that should be considered, such as fatigue or illness?
The worker ought to be able to present any proof they’ve gathered or consult witnesses to back up their claims.
Every piece of evidence against the employee should be presented as part of a fair disciplinary hearing. This may include witness statements, documentation, or CCTV footage. At the meeting, witnesses may also be called to provide answers.
The worker should be given the chance to discuss or explain the supporting documentation.
The employee should be questioned about any additional comments or questions at the conclusion of the meeting after all the evidence has been examined and all the questions have been addressed.
This gives the worker a chance to respond to any arguments or inquiries raised during the meeting.
The employee should then be given the opportunity to review the meeting minutes and sign and date the document to ensure that it accurately captures the conversation. The employee should then receive a copy of this record. This can be extremely helpful if there are any later claims that the hearing was unfairly conducted.
Effective questioning
How you approach the questions will also be important. You want to keep the session professional. Avoid hostility or asking in an aggressive manner. Although it can be a frightening experience for the employee, it’s important to try to keep emotions in check so that the meeting stays on course and the pertinent information is covered and discussed.
Questions should be straightforward to avoid confusion or misinterpretation. Likewise, stay away from questions with presumptive answers (leading questions).
Instead of asking a simple yes or no, the majority of the questions should be open-ended, such as “Could you explain…?” or “Tell us more about…?” Although it might not always be possible, open-ended questions give you the chance to elaborate more fully than a closed question.
Effective questioning must carry a level of flexibility. You will need to listen to the answers and be ready to ask more questions to clarify any ambiguities even though the employer should have prepared a set of questions prior to the disciplinary meeting.
Who should attend?
Another consideration will be who should attend the hearing. Typically, this would include:.
For smaller organisations without an HR representative, it may be advisable to seek external help by brining in an independent HR specialist to chair the meeting. This can be beneficial in demonstrating fairness and objectivity in conducting the meeting and avoid potential future complaints from the employee about procedural deficiencies.
After the disciplinary hearing
Before deciding, it might be necessary to request more details or clarification. The investigation will continue in this instance, and another disciplinary meeting needs to be scheduled.
If not, it should be determined as soon as is practically possible whether to take any type of disciplinary action against the employee, such as a warning, suspension, demotion, dismissal, or other severe sanction as specified in the company’s disciplinary policy.
The employee must receive written notice of the decision and have a chance to appeal it.
In the event an employee is dismissed following a disciplinary procedure, they may be able to bring a claim for unfair dismissal if they can show the employer failed to follow a fair process.
It is important therefore that personnel with people management responsibilities adequately trained and understand their responsibilities when handling disciplinary issues and how to follow a lawful process and avoid risking tribunal claims.
‘Managing Out’ Strategy Often Beats Firing a Bad Employee – Managing out provides an opportunity for an employee to improve performance and behavior. If not, managing out provides you with the details you need to determine whether the person will improve.
3. We’ve found eight instances of your rude behavior toward your manager and coworkers today. “What do you plan to do about it?”.
5. Prepare for the meeting. Examine any supporting documentation and information, and create a list of inquiries to pose to the employee.
5. You’ve declined overtime requests numerous times and left the building. This went against a directive that your boss gave you. When you agreed to the position, you were told that working overtime on short notice is necessary when the business has deadlines for serving our customers. “Why do you refuse your supervisor’s directives?”.
Keep in mind that the goal of a disciplinary meeting is to review the evidence, understand the causes of the issue, involve the employee, give them the chance to take responsibility for their actions, and find solutions.
FAQ
What is a disciplinary interview?
A disciplinary interview is a discussion between at least one manager and an employee (who may be joined by a coworker or a union representative) to look into and resolve an employee’s performance or misconduct in a fair and consistent manner.
How do you conduct a disciplinary interview?
How to conduct a disciplinary hearingOutline your grievance regarding the employee’s conduct. Go through the evidence you have collected about that behaviour. Give them a chance to explain what happened. Choose your next course of action, including the appropriate disciplinary measure.
What are the 10 most common behavioral interview questions and answers?
Tell me about a time when you had to work efficiently under pressure. Behavioral Interview Questions and Sample Responses How do you handle a challenge? . Have you ever made a mistake? . Give an example of how you set goals. Please give me an example of a goal you’ve attained and explain how you did it.
What are examples of investigative questions?
Questioning the ReporterWhat happened? . What happened on what day, at what time, and for how long? How often has this happened that you are aware of? Where did it happen? How did it happen? Did anyone else witness it? Was there physical contact? . What action did you take in response to the behavior or incident?
