PROMPT: During the workplace investigation interviews, you will be interviewing 6 witnesses. Outline a list of questions
Question:
PROMPT: During the workplace investigation interviews, you will be interviewing 6 witnesses. Outline a list of questions or topics you want to ask each witness. You may format your outline in a manner that works for you. However, I would suggest that each witness's outline include the reason to interview that person, what you want to learn/ask and a few possible questions for each witness.
The witnesses are as follows:
- Candace Complainant
- Aaron Accused
- Whitney Witness
- Suzy Sunshine
- Jeff Joker
- Fran Friendly
Complaint Communications:
- Initial Email Complaint dated February 28, 2023:
Date:February 28, 2023 11:30 AM
Re:Workplace Complaint
Dear Human Resources Manager,
My name is Candace Complainant. I am a Marketing Manager in the Marketing Department. In the event you don't know, the reporting chain for my department is that all the Marketing Managers are peers. We all report to Aaron Accused, the Senior Vice President of Marketing of the Company. Aaron reports to Billy Boss, Chief Marketing Officer of the Company, and Aaron as a dotted line reporting the Chief Financial Officer, Maggie Money. Maggie and Billy report to Claire Commander, Chief Executive Officer.
Chief Executive Officer (Claire Commander)
Chief Marketing Officer (Billy Boss) Chief Financial Officer (Maggie Money
Senior Vice President of Marketing (Aaron Accused,)
Marketing Managers
(all are peers Candace Complaint, Whitney Witness,
Suzy Sunshine, Jeff Joker, Fran Friendly)
I hesitate to be writing an email, but I feel that after years of enduring a horrible workplace environment, I need to say something. Aaron manages by intimidation. He yells and screams at people in the Marketing Department whenever he thinks that we did something that will make him look bad to the Chief Executive Officer of the Company. Aaron never yells at Whitney Witness. He yells at everyone else in the department: Suzy Sunshine, Jeff Joker, Fran Friendly and me.
During our last sales conference, our entire department was in attendance. (Aaron Accused, Whitney Witness, Suzy Sunshine, Jeff Joker, Fran Friendly and me). Aaron and I arrived at the hotel at the same time, so we were both checking into the hotel at the same time. When I told the desk clerk I only wanted one room key, Aaron yelled over -- "Give her two keys in case she meets anyone at the bar tonight so she can give them the other room key, she needs it." I was so humiliated and embarrassed, but I didn't say anything to anyone. None of my co-workers were there yet.
After the first day of conference, our department went to dinner. We all attended the dinner. (Aaron Accused, Whitney Witness, Suzy Sunshine, Jeff Joker, Fran Friendly and me). When dinner was done, we all walked back to the hotel. There were many people at the conference at the hotel bar, so we all went to the bar to network. While in the bar, we split up and started speaking to other people. I went back to my room to make a call. When I returned to the bar, the crowd had thinned out greatly and I noticed Aaron and Whitney sitting at a back table together having a drink. The bar was dimly lit and they were sitting on the same side of the table. Because they were alone, sitting on the same side of the table and how they were acting, I am confident they are sleeping together. I didn't see any of our other co-workers at the bar, so I quietly left before they could see me.
Aaron and Whitney are both married, but Aaron is getting a divorce. Why else would they have a drink together at a conference, if they weren't sleeping together? I think that's why Aaron treats Whitney better. And, I heard Whitney got a bonus this year when I didn't a bonus. That's not fair. I've been here longer than Whitney, and I'm better at my job than she is.
Suzy, Jeff and Fran were also at the conference. I don't know what they saw.
Yesterday, during a meeting, Aaron yelled at me in front of my co-workers that I am a "f*cking idiot." I also heard Aaron having a conversation on his speaker phone. He referred to the Chief Financial Officer Maggie Money as an "idiot" and a "b*tch" when I was waiting outside his office to see him. I don't know who he was talking to on the phone.
Aaron only goes to lunch with Jeff Joker. I think he treats Jeff better than me because they both go to the same Catholic Church, and I'm protestant.
My spouse thinks I should quit. I've discussed it with my therapist, and I've decided to give you a chance to fix it before I quit.
Thank you,
Candace Complainant
- Follow-up Complaint dated February 29, 2023:
Date:February 29, 2023 10:30 AM
Re:Follow Up to Workplace Complaint
Dear Human Resources Manager,
After I wrote to you yesterday, I attended a Department meeting. Aaron Accused starred at me a lot during the meeting and called on me several times to give reports. I think he's reading my own emails, and I think he knows I emailed you. I think he is retaliating against me.Yes, I had reports to give at the meeting, but it made me uncomfortable.
Thank you,
Candace Complainant
- March 2, 2023:
Date:March 2, 2023 11:00 AM
Re:Being Called a B*tch
Dear Human Resources Manager,
I heard from someone in the sales department that someone in the marketing department told you that Aaron Accused called me a "b*tch." I've never liked him, and I always thought he was a bully.I don't know if he did this, but if he did, I want you to fire him. As a female, I think being called a "b*tch" is especially offense. Fire him.
Thank you,
Chief Financial Officer Maggie Money
- Evidence:
- Witnesses that you will interview:
- Candace Complainant
- Aaron Accused
- Whitney Witness
- Suzy Sunshine
- Jeff Joker
- Fran Friendly
- Witnesses Statements already taken:
- Summary of the Maggie Money, Chief Financial Officer, interview:
Maggie expressed that she has never heard Aaron Accused use the word "b*tch" in reference to females. Maggie, however, said that she views the word "b*tch" as a gender biased statement because it is a derogatory word for women. Maggie said that it is insubordinate to call a senior officer of the company a "b*tch," and therefore, in her opinion, he should be fired even if he only did it one time.
Maggie expressed that she has seen Aaron Accused interact with his subordinates. She says she and Aaron have very different management styles. She says Aaron is from New York City, and he does talk really loud, and she has seen him yell at people. She has seen him yell at men and women. She thinks it is better to manage people through positive feedback and encouragement, and she thinks Aaron believes that intimidation and fear produces better results.
Maggie doesn't know who Whitney Witness is, and Maggie has no idea if Whitney and Aaron are having an affair.
- Summary of the Billy Boss, Chief Marketing Officer, interview:
Billy Boss expressed that Aaron Accused is an excellent employee. The Marketing Department is high stress, and Billy can always count on Aaron to get work done. Billy has heard Aaron swear in the workplace, but he's never heard him call anyone a "b*tch."
Billy has never heard that Whitney Witness and Aaron Accused are having an affair.Billy, however, has heard from Aaron that Whitney is his top performer.
Billy and Aaron spoke on February 27, 2023 that Aaron was going to meet with Candace Complainant the next day because he was putting her on a performance improvement plan. Candace did not get a bonus this year because her performance appraisal rating was only a 2.5, and employees are required to have a 3.5 or higher to be bonus eligible.
- Bonuses and Performance Ratings:
- Reviews of are conducted on a scale of:
- 1 = Lowest, consistently failing to meet expectations
- 2 = Sometimes meets expectations, sometimes fails to meet expectations
- 3= Meeting all expectations satisfactorily
- 4= Sometimes exceeds expectations, sometimes meets expectations
- 5 - Highest, always exceeds expectations
- To qualify for a bonus under company policy, you must receive an average rating in all categories of 3.5 or higher.
- Last year's performance ratings were as follows:
- Aaron Accused 4.8
- Whitney Witness 4.4
- Candace Complainant 2.9
- Jeff Joker 3.9
- Suzy Sunshine 3.3
- Fran Friendly 3.6
- Based on the Company bonus policy:
- Aaron Accused 4.8 BONUS
- Whitney Witness 4.4 BONUS
- Candace Complainant 2.9 NO BONUS
- Jeff Joker 3.9 BONUS
- Suzy Sunshine 3.3 NO BONUS
- Fran Friendly 3.6 BONUS
- Prior Complaints and Excerpts from Aaron Accused's Personnel File:
- Aaron Accused hired January 1, 2017
- Current title: Senior Vice President of Marketing
- Aaron Accused has reviews of 4.5-5 (on a scale of 1 [lowest] to 5 [highest])
- Aaron Accused promoted to Senior Vice President of Marketing on January 1, 2019.
- In March 2020, a subordinate of Aaron Accused, who is no longer employed at the Company, complained that Aaron swears a lot during Department meetings and leads by intimidation and fear. The investigation concluded that Aaron used the words "f*ck," "h*ll," and "d*mn" a lot during Department meetings. The investigation concluded that Aaron was under a lot of pressure to perform, and he was dealing with a Department that had a lot of low performers. As a result, Aaron expressed frustration with his subordinates. Aaron was sent to management training to learn how to manage better and was advised to use professional communications and not use swear words in the workplace. He was counseled that Company policy does not permit management by intimidation.
- There have been no other complaints about Aaron since March 2020, and he completed a 6 week management training course.
- Excerpts from Candace Complainant's Personnel File:
- Candace Complainant hired January 1, 2019
- Candace's performance evaluations completed by Aaron Accused. Bonuses determined based on Company allocations.
- Candace's 2019 review was a 4.0
- She was eligible for and receives a bonus.
- Candace's 2020 review was a 3.8
- She was eligible for and receives a bonus.
- Candace's 2021 review was a 3.5
- She was eligible for and receives a bonus.
- Candace's 2022 review was 2.9.
- She was not bonus eligible and did not receive a bonus
- Candace presented with a Performance Improvement Plan. It was prepared between February 25, 2023 and February 27, 2023. It was dated February 27, 2023. It was presented to Candace by Aaron on February 28, 2023 at 9 AM. It was signed by Aaron Accused. Candace wrote: "disputed" on it and refused to sign.
- Physical Evidence/Email Review:
- Review of Candace Complainant's Emails:
- Emails show that Candace sends a lot of emails to Suzy Sunshine and Fran Friendly about how much she hates working for Aaron Accused. She complains that:
- Aaron makes her work weekends.
- Aaron is an idiot who doesn't recognize talent if it slapped him in the face.
- Aaron doesn't understand how great of an employee Candace is.
- Candace and Aaron have very different perspectives of marketing and Aaron just doesn't value her perspective.
- Aaron makes her work late, schedules last minute meetings that could have taken place during the day at 6 PM so she misses dinner with her children and is too demanding.
- Aaron tried to put her on a performance improvement plan, but she disagreed with everything he said.
- Emails show that Candace sends a lot of emails to Suzy Sunshine and Fran Friendly about how much she hates working for Aaron Accused. She complains that:
- Review of Aaron Accused and Whitney Witness Emails:
- Aaron and Whitney's communications are purely professional and about work assignments.
- Review of Aaron Accused and Jeff Joker's Emails:
- Emails show work-related communications.
- Emails reveal that Jeff and Aaron went to the same college and were fraternity brothers.
- Emails reveal that Jeff and Aaron communicate about personal plans like family dinners, lunches and other social activities.
- Emails reference a few times attending Church related activities such as a weekend festival and a pancake breakfast.
- Excerpt of Relevant Company Policies:
AT-WILL EMPLOYMENT
Employment with the Company is at will, which preserves the right of either the employee or the employer to terminate the employment relationship at any time, with or without cause. The statements contained in this handbook regarding our company's policies, procedures, and benefits are for informational purposes only. NOTHING IN THIS HANDBOOK CONSTITUTES A CONTRACT FOR EMPLOYMENT, EITHER EXPRESS OR IMPLIED. No manager, supervisor, or employee of the Company has any authority to enter into an agreement for any employment other than at will. The at-will nature of employment may only be altered in writing signed by an authorized representative of the Company.
EQUAL EMPLOYMENT OPPORTUNITY
In order to provide equal employment and advancement opportunities to all individuals, employment decisions at the Company will be based on merit, qualifications, and abilities. The Company does not discriminate in employment opportunities or practices on the basis of race, ethnicity, citizenship, color, national origin, sex, gender identity, gender expression, pregnancy, religion, ancestry, age, disability, sexual orientation, marital status, family care or medical leave status, veteran status, political affiliation, disability, medical condition or genetic information, or any other basis protected by applicable state or local law.
The Company will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in undue hardship. This policy is observed in all employment practices, including, but not limited to: recruitment, hiring, compensation, promotion, job assignments, transfers, demotions, training, leaves of absence, layoff, benefits, termination, and employer-sponsored activities, including social and recreational programs and on-the-job treatment of individuals.
If you have questions or concerns about any type of discrimination, harassment, or retaliation in the workplace, you are encouraged to bring these issues to the attention of your immediate manager or the Human Resources Department. Employees can raise concerns and make reports without fear of reprisal. Anyone found to be engaging in any type of unlawful discrimination will be subject to disciplinary action, up to and including termination of employment.
WORKPLACE FREE OF DISCRIMINATION AND HARASSMENT
The Company is committed to providing a work environment in which all individuals are treated with respect and dignity. Each individual has the right to work in a professional atmosphere that promotes equal employment opportunities and prohibits unlawful discrimination and harassment. Therefore, we expect that all relationships among persons will be business-like and free of bias, prejudice, and harassment.
It is our policy to ensure the workplace is free of harassment and discrimination based on race, color, sex, gender identity, gender expression, age, pregnancy, disability, religion, ethnicity, citizenship, national origin, ancestry, military status or veteran status, marital status, sexual orientation, domestic violence victim status, predisposing genetic characteristics and genetic information, and any other status protected by law.
The Company will not tolerate unlawful harassment of employees by managers, supervisors, or co-workers. Moreover, the Company will not tolerate harassment of its employees by nonemployees with whom the Company has a business, service, or professional relationship, such as vendors, customers, or independent contractors, and all Company employees are also prohibited from harassing all such persons as well.
The purpose of this policy is not to regulate the personal morality of employees. It is to ensure that in the workplace, no employee harasses another for any reason or in any manner. The conduct prohibited by this policy includes conduct in any form, including, but not limited to, email, voice mail, chat rooms, Internet use or history, text messages, pictures, images, writings, words, or gestures.
Unlawful Harassment - Definition and Examples
Unlawful harassment includes verbal, physical, written (including email), and visual conduct that creates an intimidating or hostile working environment based on one or more of the above-protected categories. Such conduct constitutes harassment when: (1) submission to the conduct is made either an explicit or implicit condition of employment, (2) submission to or rejection of the conduct is used as the basis for an employment decision, or (3) the harassment interferes with an employee's work performance or creates an intimidating, hostile, or offensive work environment. Specific types of unlawful harassment include, but are not limited to:
- Physical harassment, which refers to pushing, hitting or unwanted physical touching;
- Verbal abuse, which refers to verbal comments regarding, or made because of, an individual's membership in one of the categories listed above;
- Written harassment, which refers to derogatory or degrading written comments regarding, or made because of, an individual's membership in one of the categories listed above. Specific examples include, but are not limited to, email, text messages, memos, notes, graffiti, or other visual depictions or pictures; and
- Inappropriate, unwelcomed behaviors, such as whistling, not giving someone enough physical space, and blocking behaviors.
Unlawful harassment, whether it is sexual, physical, verbal, or written in nature, is a form of employee misconduct that undermines the integrity of the employment relationship within the Company.
Sexual Harassment - Definition and Examples
Sexual harassment includes all of the prohibited actions listed above, as well as other unwelcome conduct of a sexual nature, such as unwelcome sexual advances, requests for sexual favors, and conversation containing sexual comments. Specific examples of sexual harassment include, but are not limited to: vulgar remarks, pinching, jokes, teasing, and uninvited touching. Sexually harassing conduct can include conduct by a person of either the same or opposite sex.
REPORTING DISCRIMINATION AND HARASSMENT
Discrimination or harassment of an employee will not be tolerated. Violations of this policy may result in disciplinary action, up to and including discharge. There will be no adverse action taken against employees who report alleged violations of this policy in good faith or participate in the investigation of such violations. Any incident of discrimination or harassment should be reported promptly to any of the following: (1) your manager, (2) your manager's manager, (3) a Human Resources Department member, or (4) any other senior or executive member of management. You are not required to report the discrimination or harassment to your manager and instead may report the discrimination or harassment to any of the individuals listed.Employees are encouraged to report behavior that they reasonably believe is harassment, even if the behavior is directed to someone other than themselves.
Management Responsibilities
All members of management are responsible for understanding the Company's commitment to this policy and ensure this policy is carried out. Any manager or supervisor who observes harassing conduct must report the conductto the Human Resources Department so that an investigation can be made and corrective action taken, if appropriate. It is critical that any reference to discrimination or harassment, whether formal or informal, is taken seriously. Even if an employee requests that nothing be done or that no one else be told, a supervisor or manager is required to report any sexual harassment and should so inform the reporting employee. Supervisors and managers who fail to report discrimination or harassment in violation of this policy may be subject to discipline, including immediate termination.
An investigation of any complaint, information, or knowledge of suspected harassment will be prompt and thorough, commenced immediately, and completed as soon as possible. The investigation will be kept confidential to the extent possible. All persons involved, including complainants, witnesses, and alleged harassers, will be accorded due process and have their rights protected in a fair and impartial investigation. While the process may vary from case to case, the Human Resources Department will conduct a prompt review of the allegations, take any appropriate interim actions, conduct a thorough investigation, document the investigation process, and implement any corrective action as necessary.
No Retaliation
The Company emphasizes that it will not tolerate retaliation against any employee for making a good-faith complaint about discrimination or harassment under this policy or for cooperating in an investigation of discrimination or harassment. It is the policy of the Company that any reporting employee or employee participating in the investigation of a discrimination or harassment complaint will not be retaliated against in any way. Employees who feel that they have been retaliated against for reporting a complaint or participating in an investigation of a complaint should contact the Human Resources Department.
Corrective Action
If a discrimination or harassment complaint is found to be valid, immediate and appropriate corrective action will be taken. Employees who violate this policy, including the provision against retaliation, will be subject to disciplinary action, up to and including termination. This determination will be based on all the facts of the case.
WORKPLACE SECURITY
The Company prohibits and will not tolerate any form of workplace violence by an employee, supervisor, or third party, including vendors, customers, and visitors both at the workplaceand at employer-sponsored events. The Company will not condone any acts or threats of violence against its employees, contractors, customers, vendors, former employees, or visitors at any time or while they are engaged in business with or on behalf of the Company.
For purposes of this policy, workplace violence includes:
- Making threatening remarks (written or verbal).
- Aggressive or hostile acts, such as shouting, using profanity, throwing objects at another person, fighting, or intentionally damaging a co-worker's property.
- Bullying, intimidating, or harassing another person (for example, making obscene phone calls or using threatening body language or gestures, such as standing close to someone or shaking your fist at them).
- Behavior that causes another person emotional distress or creates a reasonable fear of injury, such as stalking.
- Assault.
Reporting/Investigation Procedure
Any employee who is threatened with or subjected to violence, or who becomes aware that another individual has been threatened with or subjected to violence, should immediately notify his or her supervisor or someone else in management. Employees are urged to take all threats seriously. Reports of threats or violence will be carefully investigated, employee confidentiality will be maintained to the fullest extent possible, and, if necessary, appropriate action will be taken to insure the continued safety of our employees and the public.
Auditing and Assurance Services Understanding the Integrated Audit
ISBN: 978-0471726340
1st edition
Authors: Karen L. Hooks