Reporting, Documentation & Investigations

I have always practiced what I call ‘equal playing field’ with employees and have in all manager training; what I mean by that is simply a record in writing that both parties see and get on any topic from performance reviews to policy questions to reporting anything in the workplace. It’s an acknowledgement by both sides. This ensures accountability, builds trust and protects both the organization and all employees, especially with safety concerns.

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Examples in the Workplace:

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• Right Approaches

  • Aaron witnessed a new employee in the yard go to the pesticide tank thinking it was water to wash his hands. New employee was stopped. Aaron noticed that the tank was unmarked.

    • Aaron immediately reported this to his manager by calling them. He provided the following information:

      • Date and time of incident

      • Location of the tank on the property

      • New employee’s name

      • Exactly what he witnessed (all facts and no emotions)

      • Manager completed an email to the office on the safety and tag issue with the tank

      • Manager verbally followed up with Aaron and new employee

      • Aaron asked for a copy of the incident and was provided with it.

    • Alternate or Additional:

      • Aaron’s managers ask him to take a picture of the tank from all angles and text them to him

      • If legal in your state or a handbook policy state it’s okay to take pictures on property, then Aaron would not have to wait for his manager to ask for pictures.

  • Kelly was walking through a tight hallway packed on either side with boxes. Gerald was coming down the hallway from opposite direction, as he passed midway through a heavy box on the right side crashed to the floor barely missing him. He was okay.

    • Kelly working in the office next to HR reported the incident.

    • Gerald’s manager was out of the office this week, so he also reported to HR.

      • Both provided the facts of what occurred, without emotions. In their own words.

      • An incident report was completed

      • Investigation was done and HR followed up with both Kelly and Gerald in an email.

  • Greta reported an issue with a co-worker. DJ refuses to stop with offensive jokes. It was becoming difficult to work.

    • Greta reported to her manager Rashe in their next 1:1 meeting. She provided screen shoots of her email and instant messages to reflect the evidence.

    • Rashe completed the incident report, explained that this would be going over to HR and either HR or he would follow back with her.

    • HR opened an investigation and at completion provided Rashe with the results and next steps.

    • Greta received a written resolution of the findings. All confidential details related to DJ and other interviews were redacted, the findings supported her claim.
       

• Wrong Approaches

  • Gary was hot, frustrated and angry that the work trucks supplied by his company didn’t have air conditioning. He’d been employed for thirteen (13) years.

    • Called his manager, while his crew of three (3) were around him to yell at this manager over the air conditioning. Making threats about a health issue and his rights. Then hangs up on his manager.

    • Gary calls the office and demands to speak with the owner, when told he was on vacation, he threatened to call his lawyer and hangs up

      • This has now become a disciplinary issue because of Gary’s behavior.

      • Gary received a written warning that listed out all the details.

  • Juan makes a comment during a teambuilding event about whether the company should supply boots or give employees reimbursements. The comment was made to a mechanic.

    • Eight (8) months later, Juan didn’t wear his required steel toes to work. While using a push mower up the incline his tennis shoes couldn’t provide traction and he and the mower rolled down. He was not hurt.

    • Juan provided his comment made earlier in the year as the reason why this incident happened now.

      • A comment to another employee at the company is not the same as bringing up a question or concern about parts of a required uniform.

      • Juan received a safety written warning for not wearing appropriate footwear at work.

  • Three managers threaten to walk out unless their ‘demands’ are heard by HR and the VP of Operations; the meeting must be immediately. All met in the conference room.

    • All three (3) spoke over each other and were shouting different things, but no specifics. HR took control and ask that each go one at a time listing out each issue and explain what the concern is.

    • One refused and said he was done with the meeting, and ‘we’ never listen to them, but he stayed at the table.

    • One tossed paper down the table to be read. The papers were random reports and scheduling forms. He stated their demands, which he could not articulate.

    • One just kept interrupting and complaining that all his employees were stupid with derogatory language.

    • The meeting was three and half hours; over that time and until the end both HR and VP attempted many ways to understand what the issues were, outside of employees and more money.

      • HR took all the notes, papers, and made, grouped and organized in an email. Managers agreed it was accurate and were also welcome to add any additional.

      • The policy of pay increases and recruiting process with manager responsibilities of training their employees included as well as suggestions to not mutiny, as it was not the best approach.

      • It took another meeting to gain the understanding of what they couldn’t explain what they wanted.

        • They wanted to be paid overtime for all hours over 40 hours, on top of their exempt salary status.

 

It’s critical to stick with the facts on any type of complaint or report, do not add ‘I’ statements of what you did right. The facts will reflect what occur and what actions were taken, from there if something was missed, done incorrectly or correctly is another part completely. It’s also understood that you are human and you aren’t going to be perfect. The more ‘I’ statements and adjectives tends to feel more fictional, than nonfiction which is what needs to be recorded.

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Never communicate in a high emotion state (anger, frustration, annoyance, tears, etc.). Are those emotions valid, sure. When reporting it’s the facts over the emotions from the issue. When in a calm state it’s easier to articulate what happened. Making threats never has a positive outcome.

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Bringing un-manipulated documentation to support the problem is always the best way to go, this will be covered in the section.

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Reporting isn’t about getting anyone in trouble; it is a method to formally record an incident. That incident is reviewed and a resolution of some type happens.

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Documentation

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Let’s talk about it. In our world today, with social media, we’ve become a video taking and verbal recording in our life outside of the workplace. In the workplace, on company property, in company vehicle, and on the clock is something altogether different. It becomes a complex subject with a mix of federal labor laws, state laws and company policies.

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The best practice is to review and understand the company handbook. In it will cover the policies around cell phones, recordings, use of company computers, GPS, and more. It will cover confidentiality, consent, permissions, and accommodations and personal devices. Some organizations have the basics and others higher security and rules. This is covered or should be covered when you start with the company. You can view labor and laws poster either in a central location or online for more details.

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An employee should know their rights, which is why labor and law posters are mandatory in the workplace. State consent laws cover audio and video recordings; most today allow a one-party consent (means only the person making the recording needs to be aware of it). Others may require all-party or two-party consent (means all parties involved are aware of the recording). Now, let’s add Federal law, specifically the Electronic Communications Privacy Act (ECPA) which prohibits the interception of oral, wire, and all forms of electronic communication without consent, but allow one-party consent at a federal level. Privacy expectations, these cover areas where no recordings should occur bathrooms and locker rooms, but get more complicated with open workspaces, meeting rooms and breakrooms based on state. These laws can and do change, so that is why in the workplace follow the guidance of the handbook and pay attention to changes in your state. Nothing in this read is meant as legal advice, speak with an attorney or call your state for more information.

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Good forms of Documentation are objective (no emotions) and fact based that shows the trail of what occurred, it’s a timeline with corresponding evidence (either physical paper form or digital records like emails). If submitting to a manager, make sure to always includes HR.

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• Examples:

  • Emails, text messages, chat logs, meeting notes etc.

  • Medical and/or therapy notes, FMLA, PSL, Short Term Disability and Long-Term Disability etc.

  • Formal written complaints submitted (paper form, electronic or email submissions) clearly state the issue and what is being submitted with the form (photos, diagram, etc.)

  • Witness statements (no emotions and factual from their perspective and their words is best), but name, dates/times, and what they said work.

  • Official reports: police, OSHA, state oversight unit, etc.

  • Timeline log or journal: this gives a chronological timeline of all the events and more potential individuals involved. This will help with the investigation and validation.

 

If an employee doesn’t bring documentation, it does make it more challenging to investigate (based on the type of incident), and this is where employees jump to the assumption that the process is unfair and no one does anything about it. Let’s change shoes for a moment, if I was vague, sounded emotional and came off as complaining and didn’t bring any evidence to the table, how would you handle it?

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HR needs to see what you are seeing, hearing, and doing, to help resolve it. Sexual and other Harassments are difficult, because an employer can’t just come out and terminated because that’s what you want. If they did then the terminated employee is going to sue the company. The timeline is key, it would show on work property or off property at a work event or after hours. How many were in the meeting right before the incident happened? Any investigation is a validation of facts and determination on next steps to resolve.

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Because this read covers broad situations and gives examples of documentation; if anyone is encountering a issues, please talk to HR or a trusted manager. There might be other options to help resolve the situation. For situations that are negatively impacting, I would advise leaving and finding another job. Call the department of labor or an employment attorney for specialized assistance.   

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Employee Rights vs. Employee Policies

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Let’s talk about Employee Rights versus Employee Policies. Rights are statutory and non-negotiable protections granted by federal state, and local governments; examples are an employee’s right to a safe workplace or not to be discriminated against. Policies are guidelines or processes written by a company to manage workplace expectations and operations; examples are uniform dress code or attendance.

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How do Rights and Policies interact?

 

A company’s policies can’t override or violate employment laws. A company can create policies that exceed legal rights to offer better than what is legally required.

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Examples in the Workplace:

• Company policy: Employees can’t discuss their wages

  • Rights: National Labor Relations Act states it violated the employee’s ‘right to engage in protected concerted activity’ or in plain language: employees can discuss pay and benefits with coworkers

• Rights: Up to 12 weeks of qualified leave, unpaid under Family and Medical Leave Act (FMLA) and in CA, NJ, NY, WA states Paid Family and Medical Leave Act (PFL) provides partial or full paid leave for qualified parents

  • Company policy: offers an additional eight (8) weeks of paid leave at full salary.

 

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Anonymous vs. Formal Reporting

 

Let’s talk about it. At its simplest the difference between anonymous and formal reporting is one hides your identity and the other doesn’t. The reality is not simple, it’s situational. Situation can turn complex fast, especially with laws and regulations violations. Based on the industry, size of the company, is the organization global or just small and local. The rabbit hole will never be easy, but I would always encourage anyone who sees or experiences violations to report them.

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Anonymous Reporting – methods include hotlines, websites, emails, mail, suggestion boxes and in-person via an independent department. Claims range from safety hazards, fraud, witness to crime, and harassment.

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• Anonymous hotlines – are dedicated phone lines, generally managed by an external third-party call center or voice recording.

• Suggestion Box – some at still physical boxes and other are electronic submissions

• Email Systems – are configured to strip IP addresses and username to ensure confidentially

• Mail – some companies may use a third-party where you can mail in a complaint or send it to the corporate office

• Websites or Apps – these web-based forms allow the user to submit additional documents with the claim and generally give a case or report number so individuals can check on status.

• In-person – these is an independent company or within the company where designated employees in HR or compliance officer; the reporter’s identity is highly confidential and shield from the rest of the organization.

 

Formal or In Person Reporting – this method is structured in the sense of completing a designated form or speaking to someone on the issue who is gathering the details and completing the form-based company policy.

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• Compliance Reports – this form is related to adherence to industry requirements and regulations or legal requirements and infractions

• Incident or Injury Reports – these forms can be combined but generally are separate. A company may call it by a specific name.

• Other reports can also be used based on the situation and severity of the complaint. These can be daily performance, payroll, production and more which support the claim.

 

Whistleblower Complaints – are typical with government agencies or larger organization what have government contracts. Agencies like OSHA and Securities and Exchange Commission (SEC). These require a lot of supporting documents. Each agency has its own form and requirements.

 

Deciding on which one is best, it comes down to the question: What is my goal in this situation?

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• Trivial, Petty, Small-Minded or Mean Complaints – it’s unfortunate, but many employees file anonymous complaints with no supportive documentation to get a co-worker or manager fired. Some will also make a formal complaint too.

  • If this is your goal – please don’t, it’s a waste of everyone’s time and you will not achieve your goal.

• Safety or Hazard Risk – anonymous reporting direct to federal or state governing agency will ensure the situation is followed up on and the company makes the changes needed. It should safeguard an employee from bullying, being singled out, and/or termination. Some companies have great progressive reporting processes.

• Serious Misconduct – this one will depend on what the misconduct is or if there are multiple forms of misconduct. Some may be better via anonymous and others in person. Some of you may ways to seek out an attorney.

• Minor Conflicts or Misconduct – these should be in person and with HR for faster resolution.

 

Let’s end on the topic of patience; if you submit an anonymous complaint there may be no visible changes to a process or individuals that were reported. That doesn’t mean something didn’t happen. The same could happen if you file an in-person complaint; because of confidentiality if the individual is disciplined that information won’t be released.

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Investigations

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Based on misconduct, some may be more in-depth than others. 

Over my career I’ve done thousands of investigations, not an exaggeration. They’ve ranged from timecard fraud to sexual harassment. I’ve followed the same method for all:

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• Event – when a formal complaint is received, understanding what the triggering incident was and determine the type of investigation against a policy. Meaning was the event illegal, form of harassment, safety, DOT, etc.

• Impartial Lens – need to look at everything from a neutral viewpoint; I’ve always maintained a balance bias between employees and leadership. I look at everything that occurred, individuals involved, and policies as written.

• Structured Steps – my steps are the same for each part of the investigation; this ensures I didn’t miss anything and help with the final portion of the investigation.

• Reporting Outcome – at the end of the investigation; there should be a weighted result of what occurred. In a timecard investigation, the documentation should reflect clear evidence of the wrongdoing. It should also uncover the faults of the process of time reporting as well which may need to be changed or added to the policy for clarification. When sitting down with all parties either separately or together, it’s critical to review all the information so everyone is clear of the findings.

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There are a lot of good examples on the internet on how to do a workplace investigation; these can be adapted to organization as well.

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Examples​

​Company #1 – claim of sexual harassment from female employee that occurred five (5) years prior and was never reported.

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• Let’s review the findings:

  • Daisy was told that her naked photos were being circulated in the yard by Lance and she wanted to file a formal complaint.

  • Daisy and Lance dated for a couple of years and the photos were taken consensually during that time.

  • Both came to the landscape company together while dating.

  • After a few months, that relationship ended and Daisy began dating Justin at the company.

  • It was common knowledge that Daisy and Justin would have inappropriate interactions while on the clock in the company trailer with other employees very much aware.

    • At this time, is when the photos of Daisy were shown at work by Lance. Daisy stated that she was never aware of this occurring until just recently.

  • Daisy refused to provide the name of the individual who has seen the photos recently or provide any additional context as to why/how the topic came up. Daisy did mention another employee (Ralph) who was known to gossip and insisted that he would be able to give that information.

  • Ralph was surprised he was being asked about this incident, he couldn’t give up the individual who would have told Daisy. He did admit to seeing some photos of Daisy without clothes and that Lance showed him because he was angry Daisy cheated on him with Justin. It was one brief occurrence, and no photos were sent to him. He was vague and unable to provide anyone with assistance.

  • Given the delicacy of the subject matter, interviews were conducted with the crew she was on and others on the yard. This was a slow process and challenging, because humans like to talk and gossip.

  • Daisy was growing frustrated that Lance was not immediately terminated. She started to send other co-workers into my office, guiding them on language and details for each of them.

    • This caused more problems and didn’t support any part of the claim.

    • It did cause harassment against Lance and hindered work productivity.

  • Lance admitted that during their relationship photos of Daisy were taken, but he denied showing them and was adamant that he would never send or share them with anyone.

  • An envelope was left on my desk anonymously; in it were screenshots of a Facebook conversation (public, not private) that indicated that Daisy and Donna (Lance’s recent ex-girlfriend) talking about getting Lance terminated. There were clear date/time stamps, the information wasn’t ambiguous and shed light on the possibility of an alter motive. This did not stop the investigation.

  • All scheduling, crew, client’s site, and anything related to the current complaint about photos being circulated were gathered and interviews completed.

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Outcome – there was no finding of these photos being circulated or recently seen at work or outside of work. Investigation was closed.

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Daisy was very upset, rightfully so. If someone approached you and made statements about photos of you being shared and looked at; anyone would be hurt, uncomfortable, angry, and upset. Absolutely, no one should feel like their privacy and body have been violated. Daisy still refused to provide the name of the person who told her. All polices were reviewed about filing charges against a fellow employee and the need to be willing provide information.

 

It’s important to understand HR is not law enforcement; we can investigate and provide information under the law of the area of business. I advise Daisy to speak with law enforcement; they would be able to take a personal phone or computer and complete a criminal investigation. Daisy did refuse and chose to communicate the findings out in the yard to everyone.

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• This behavior caused the males (98% males in this industry) to refuse to work with Daisy, as she made them feel uncomfortable.

• It also caused her manager and HR to sit down with her about her behavior. Counseling was offered via EAP.

• With Daisy’s approval she was assigned to a crew with her sister and two other males; until the males refused to work with her over graphic comments she would make about male genitals.

• Daisy and her sister then filed another complaint that the two males were playing and talking about a graphic video game that’s popular because you can make characters.

 

Lance was also sat down, and although there was no finding related to the photos all policies related to the subject matter were reviewed. At this time, he admitted that his ex-girlfriend filed charges against him because they were fighting over custody of their dog.

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The entire company was required to take harassment training again, to ensure everyone was clear on what is acceptable and not acceptable.

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I want to be clear on inappropriate conduct by Daisy; while that came out in the investigation it was not associated with the original complaint’s focus. Same with the sending in of co-workers and Facebook materials. It would be easy to immediately judge Daisy, but that would also be wrong. Which is why the outcome is based on a fact basis and not hearsay.

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​Company #2 – claim of sexual harassment from female employee about male employee that involved a offer for him to touch her new breasts.

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• Let’s review the findings:

  • Christie worked in small department of the bank; that was situated between a customer call center and an audit department. So, voices are carried when spoken in a norm level, but especially in a higher level.

  • Christie was very vocal about her breast augmentation.

  • Her manager chose not to speak with her on the complaints that were voiced about how inappropriate and uncomfortable her comments, gestures, and graphic stories.

  • Mason was in a department that traveled around the building during working hours. He was friendly, upbeat, and genially interested in everyone’s day.

  • Mason only hugged or touched someone’s shoulder if the other person was comfortable. Platonic and quick.

  • Christie offered to have anyone touch her new enhancements, all sexes.

  • Christie had apparently offered this to Mason; four (4) co-workers heard the offer and Mason’s uncomfortable decline.

  • Over the course of a week, Christie was more flirtatious and forward with Mason. During this period more complaints were reported to her manager, and it didn’t appear anything was done because Christie behavior did not change.

  • The managers of the two departments on either side of that department contacted HR.

  • TRIGGER Warning – this is an example of how not to complete an investigation of this seriousness.

    • HR began the investigation with Christie and her manager; the outcome of that meeting was that Christie was groped by Mason against her consent.

    • HR spoke with Mason, who was honest about the interaction and denied the claim.

    • HR immediately terminated Mason and closed the investigation.

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Outcome – this was not my investigation; I was a stunned supervisor of a department near Christie’s group. During her tenure, most wondered why she was still working with the organization given her poor work quality and offensive behavior.

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Mason was a deacon of his church, happily married for 18 years with kids and was always the first volunteer for a charity event or help anyone out. He was great at his job. And he was terminated based on no investigation.

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Many across the organization were shocked by what occurred; not one person supported Christie. No one viewed the HR department as it had in the past as an advocate and supported employees with benefits.

 

Christie was pushed out of the organization. Mason filed a lawsuit and won a large amount in a settlement. His life was changed and no amount of money can wipe that away.​​

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Company #3 – I was hired to install an HR department at an environmental laboratory that employed 86 people. It was a partnership among 4 scientists, with the one with the controlling share as the CEO. I had completed my third payroll and noticed there was not enough funds in my payroll account to cover payroll. The company had a bookkeeper, who was, to be blunt, a hot mess, single mother of two and had an excuse for everything.

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• Let’s review the findings:

  • Given my role I had full access to our accounting program and bank accounts; so, I started my review back six weeks. I need to gain an understanding of how payroll flowed before me, then review after me up to present day.

  • I could clearly see $24,000.00 missing and not hidden at all; six weeks earlier $14,000.00 was removed with a check cut out to Martha (Bookkeeper), we were past our 45 days Account Payable date and really delayed on our Account Receivables. Which is why the amount stood out.

  • Martha took the remaining portion of the $24,000.00 the day before.

  • I gathered all the facts and went directly to the CEO.

  • CEO stated that he caught the original amount before I started and spoke to Martha about it. He felt sorry for her and believed she would pay it back.

  • I asked how would it be possible for Martha to pay it back?

  • Even if you increased her salary, it would never be paid back. You’d be rewarding her for stealing the funds.

  • Martha took the funds without speaking with you first, that is clear intent of wrongdoing.

  • Outside of Martha winning a lottery jackpot or a long-lost relative leaving her a large amount of money; there would be no way for her to pay back that amount of money.

  • If you docked her pay, she would not be able to manage on less money, which would cause her to continue to steal funds.

  • Giving her permission and a pass allowed her to take this additional amount and I wouldn’t be surprised if she has been taking more funds.

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Outcome – the CEO didn’t want to press charges against her. He transferred the amount short for that week’s payroll from his personal account. It was strongly suggested, if he wanted to give her funds they would have to come from his personal account and not the business accounts.

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The other partners were informed. I stayed until I hired my replacement, because I could see this working out for much longer. The lab closed three years later and one of the partners I’d kept in touch with said Martha never paid the funds back.