1

Functional Area 05

EMPLOYEE RELATIONS,
HEALTH, AND SAFETY

International Human Resource Certification Institute

IHRCI® www.ihrci.rog
IHRCI® www.ihrci.rog
 Associate Professional in Human Resources – International (aPHRi) Workbook

Module Five: Employee Relations, Health, and Safety

2024 Edition

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 3

Introduction

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4

Table of Contents
Introduction ................................................................................................................................ 3
Table of Contents........................................................................................................................ 4
Part One: Employee Retention ................................................................................................... 8
1. Employee Turnover ........................................................................................................ 8
1.1. Voluntary Turnover .............................................................................................. 8
1.2. Involuntary Turnover ........................................................................................... 9
1.3. Causes of Turnover ............................................................................................ 10
1.4. Functional or Dysfunctional Turnover ............................................................... 10
1.5. Turnover and “Churn” ....................................................................................... 11
1.6. Measuring Employee Turnover ......................................................................... 11
1.7. Employee Attrition ............................................................................................ 12
2. Employee Retention ..................................................................................................... 12
2.1. Organizational and Management Factors ......................................................... 14
2.2. Work Relationships ............................................................................................ 14
2.3. Job and Work-Life .............................................................................................. 15
2.4. Rewards: Compensation, Benefits, and Performance ....................................... 15
2.5. Career Training and Development..................................................................... 16
2.6. Employer Policies and Practices ........................................................................ 17
3. Employee Survey .......................................................................................................... 17
3.1. Preparation ........................................................................................................ 18
3.2. Communication ................................................................................................. 22
3.3. Implementation ................................................................................................. 24
3.4. Analysis .............................................................................................................. 26
3.5. Action planning ................................................................................................. 27
4. Employee Focus Group ................................................................................................. 29
4.1. Why should conduct employee focus groups? ................................................. 29
4.2. Who participate in employee focus groups? .................................................... 30
4.3. Who runs an employee focus group? ............................................................... 30
4.4. When to conduct an employee focus group? ................................................... 30
5. Exit Interviews .............................................................................................................. 31
5.1. Who will conduct the interview? ...................................................................... 31
5.2. When do you conduct the interview? ............................................................... 32
5.3. What’s the purpose of the interview? .............................................................. 32
6. Employee Relations Programs ...................................................................................... 32
6.1. Employee Participation and Involvement ......................................................... 33
6.2. Employee Recognition ....................................................................................... 33
6.3. Diversity and Inclusion (D&I) ............................................................................. 34
7. Grievance Management ............................................................................................... 34
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7.1. Grievance Responsibilities................................................................................. 34

7.2. Grievance Investigation ..................................................................................... 35
7.3. Grievance Arbitration ........................................................................................ 38
8. Alternative Dispute Resolution..................................................................................... 38
8.1. Open-door policy ............................................................................................... 39
8.2. Peer review ........................................................................................................ 39
8.3. Mediation .......................................................................................................... 39
8.4. Arbitration ......................................................................................................... 39
Part Two: Employee Separation ............................................................................................... 40
1. Workforce Reduction.................................................................................................... 40
1.1. Reasons of Downsizing ...................................................................................... 40
1.2. Methods of Downsizing ..................................................................................... 41
1.3. Process of Downsizing ....................................................................................... 42
1.4. Employee Rights in Downsizing ......................................................................... 42
2. Progressive Discipline ................................................................................................... 42
2.1. Informal Verbal Warning ................................................................................... 43
2.2. Formal Verbal Warning ...................................................................................... 43
2.3. Written Warning ................................................................................................ 44
2.4. Termination ....................................................................................................... 44
3. Managing Workplace Behaviors ................................................................................... 45
3.1. Culpable Behaviors ............................................................................................ 45
3.2. Absenteeism ...................................................................................................... 46
3.3. Aggressive Behaviors ......................................................................................... 46
3.4. Workplace conflict ............................................................................................. 48
3.5. Substance Abuse ............................................................................................... 49
4. Termination .................................................................................................................. 49
4.1. Paper Trail .......................................................................................................... 50
4.2. Short, Clear Meeting ......................................................................................... 50
4.3. Explaining the Severance................................................................................... 51
4.4. Communicating with Staff ................................................................................. 51
5. Outplacement............................................................................................................... 51
5.1. Outplacement Services ..................................................................................... 52
5.2. Benefits to the employer ................................................................................... 52
6. Employee Offboarding.................................................................................................. 53
6.1. Obtain a resignation letter ................................................................................ 54
6.2. Require handover process ................................................................................. 54
6.3. Provide required notices ................................................................................... 54
6.4. Comply with final pay laws ................................................................................ 54
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6.5. Obtain company property ................................................................................. 55

6.6. Sign non-compete or non-solicitation agreements (if applicable) .................... 55
6.7. Notify key staff and contacts ............................................................................. 55
6.8. Conduct an exit interview ................................................................................. 55
Part Three: Health, Safety, and Security ................................................................................... 56
1. Workforce Risk.............................................................................................................. 56
1.1. Governance ....................................................................................................... 56
1.2. Prevention ......................................................................................................... 57
1.3. Response ........................................................................................................... 57
1.4. Managing Hazards ............................................................................................. 57
1.5. Recovery ............................................................................................................ 59
2. Employee Safety ........................................................................................................... 59
2.1. Organizational Commitment and a Safety Culture............................................ 60
2.2. Safety Policies, Discipline, and Recordkeeping.................................................. 62
2.3. Safety Training and Communication ................................................................. 62
2.4. Safety Committees ............................................................................................ 62
2.6. Inspection, Investigation, and Evaluation.......................................................... 63
2.6. Measuring Safety Efforts ................................................................................... 65
3. Employee Health .......................................................................................................... 66
3.1. Level of Health Promotion................................................................................. 66
3.2. Wellness Programs ............................................................................................ 67
3.3. Employee Assistance Programs ......................................................................... 68
4. Workplace Violence ...................................................................................................... 68
4.1. Antecedences of Violence ................................................................................. 69
4.2. Workplace Violence Context ............................................................................. 69
4.3. Workplace Violence Warning Signs ................................................................... 70
4.4. Workplace Incivility and Bullying ...................................................................... 70
4.5. Dealing with Workplace Violence ..................................................................... 70
4.6. Violence Prevention .......................................................................................... 71
5. Security Management .................................................................................................. 73
5.1. Security Audit .................................................................................................... 74
5.2. Controlled Access .............................................................................................. 74
5.3. Violence Training ............................................................................................... 75
5.4. Employment Screening ..................................................................................... 75
5.5. Security Personnel ............................................................................................. 75
6. Workplace Privacy ........................................................................................................ 76
6.1. Privacy Issues ..................................................................................................... 76
6.2. Privacy Principles ............................................................................................... 78
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7. Emergency Action Plans ............................................................................................... 78

7.1. Written and oral plans ....................................................................................... 79
7.2. Minimum elements ........................................................................................... 79
7.3. Employee alarm system .................................................................................... 80
7.4. Training .............................................................................................................. 80
7.5. Review the plan. ................................................................................................ 80
Reference.......................................................................................................................... 81
8

Part One: Employee Retention

1. Employee Turnover
Organizations must try to ensure that good performers want to stay with the organization
and that employees whose performance is chronically low are encouraged— or forced—to
leave. Both of these challenges involve employee turnover; that is, employees leaving the
organization. When the organization initiates the turnover (often with employees who
would prefer to stay), the result is involuntary turnover. Examples include terminating an
employee for drug use or laying off employees during a downturn. Most organizations use
the word termination to refer only to a discharge related to a discipline problem, but some
organizations call any involuntary turnover a termination. When the employees initiate the
turnover (often when the organization would prefer to keep them), it is voluntary
turnover. Employees may leave to retire or to take a job with a different organization.
Typically, the employees who leave voluntarily are either the organization’s worst
performers, who quit before they are fired, or its best performers, who can most easily
find attractive new opportunities.
Turnover is classified in a number of ways. One classification uses the following categories,
although the two types are not mutually exclusive:

1.1. Voluntary Turnover

Voluntary turnover too can be caused by many factors, some of which are not
employer controlled. Common voluntary turnover causes include job dissatisfaction,
pay and benefits levels, supervision, geography, and personal/family reasons. Career
opportunities in other firms, when employees receive unsolicited contacts, may lead to
turnover for individuals, especially those in highly specialized jobs such as IT. Voluntary
 9

turnover may increase with the size of the organization, most likely because larger
firms are less effective in preventing turnover and have more employees who are
inclined to move. Voluntary turnover, in turn, is broken down into avoidable and
unavoidable turnover.
1.1.1. Avoidable Turnover:
Employees leave for reasons that could be influenced by the employer. Avoidable
turnover is that which potentially could have been prevented by certain organization
actions, such as a pay raise or a new job assignment.
1.1.2. Unavoidable Turnover
Unavoidable turnover represents employee quits that the organization probably could
not have prevented, such as people who quit and withdraw from workforce through
retirement or returning to school. Other examples of unavoidable turnover are people
who quit due to: dual career problems, pursuit of a new and different career, health
problems that require taking a different type of job, child care and elder care
responsibilities, and leaving the country. Even though some turnover is inevitable,
employers recognize that reducing turnover saves money, and that they must address
the turnover that is controllable. Organizations are better able to keep employees if
they deal with the concerns of those employees that might lead to the controllable
turnover.
1.2. Involuntary Turnover
Involuntary turnover is triggered at all levels by employers terminating workers due to
organizational policies and work rule violations, excessive absenteeism, performance
standards that are not met by employees, and other issues. Involuntary turnover is
split into discharge and downsizing types.
1.2.1. Discharge turnover
Discharge turnover is aimed at the individual employee, due to discipline and/or job
performance problem. You can fire, dismissal, or discharge -- an employee. Typically,
an employee is fired for doing something that’s not in the best interests of your
business, which is known as being fired “for cause,” so the term has a negative
connotation. When an employee is fired, his employment ceases either immediately or
-- as of a certain date -- at the employer’s discretion. When an employee is fired for
cause, in some states, this can prevent the employee from making a claim for
unemployment benefits. Consequently, you should carefully document the
circumstances that resulted in the employee being fired, so that you can support your
case that he shouldn’t receive unemployment. Typically, companies pay the employee's
unemployment insurance, so you want as few claims as possible to hit your policy.
Terminating an employee simply means that you end the employment relationship. In
general, "discharge" can be a synonym for the more common label "termination" when
releasing an employee involuntarily from a job. However, discharge is often used in the
legal phrase "wrongful discharge." When you fire somebody in violation of local, state
or federal anti-discrimination or anti-retaliation laws, you face a potential "wrongful
discharge" lawsuit.
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1.2.2. Downsizing turnover

Downsizing turnover typically targets groups of employees and is also known as
reduction in force (RIF) caused by organizational restructuring or cost-reduction
program. Sometimes, you need to let an employee go, based on unexpected factors,
such as a downturn in sales that resulted from a recently passed law. This type of work
separation is involuntary, also called Lay off, but it is not the fault of the employee.
When an employee is laid off, typically, she has access to her unemployment benefits
while she searches for a new job.
Termination is end of any service contract. It includes Dismissal and Discharge.
Discharge is end of service contract with mutual understanding. Dismissal or firing is
generally thought to be the fault of the employee, whereas a layoff is generally done
for business reasons (for instance a business slowdown or an economic downturn)
outside the employee's performance.
1.3. Causes of Turnover
1.3.1. Voluntary turnover
Voluntary turnover depends on three factors:

• Desirability of leaving: low job satisfaction, shocks to employee, and personal (non-
job) reason.

• Ease of leaving: favorable labor market conditions, general & transferable KSAOs,
and low cost of leaving.

• Alternatives: internal new job possibilities and external job offers

1.3.2. Discharge turnover
Discharge turnover is due to extremely poor person/job matches, particularly the
mismatch between job requirements and KSAOs. One form of the mismatch involves
the employee failing to follow rules and procedures. The other form of discharge
turnover involves unacceptable job performance.
1.3.3. Downsizing turnover
Downsizing turnover is a reflection of a staffing level mismatch in which the
organization actually is, or is projected to be, overstaffed. In other words, the head
count available exceeds the head count required, which may be due to poor workforce
planning.
1.4. Functional or Dysfunctional Turnover
Not all turnover is negative for organizations; on the contrary, functional turnover
represents a positive change. Some workforce losses are desirable, especially if those
who leave are lower-performing, less reliable, and/or disruptive individuals. Of course,
dysfunctional turnover also occurs. That happens when key individuals leave, often at
crucial times.
1.4.1. Functional Turnover
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Lower-performing or disruptive employees leave

1.4.2. Dysfunctional Turnover
Key individuals and high performers leave at critical times. For example, a software
project leader who leaves in the middle of a system upgrade in order to take a
promotion at another firm could cause the system upgrade timeline to slip due
to the difficulty of replacing the employee and could also lead other software
specialists in the firm to seek out and accept jobs at competitive firms.
1.5. Turnover and “Churn”
Hiring new workers while laying off others is called churn. This practice raises a paradox
in which employers complain about not being able to find skilled workers while they
are laying off others. As organizations face economic and financial problems that result
in layoffs, the remaining employees are more likely to consider jobs at other firms. In
this situation, turnover is more likely to occur, and efforts are needed to keep existing
employees. HR actions such as information sharing, opportunities for more
training/learning, and emphasis on job significance can be helpful in lowering turnover
intentions of individuals.
1.6. Measuring Employee Turnover
The turnover rate for an organization can be computed as a monthly or yearly cost. The
following formula, in which separations means departures from the organization, is
widely used:
Turnover Rate: (number of employees leaving/average number of employees)*100
Other areas to be included in calculating detailed turnover costs are also available.
Some of the most common areas considered include the following:
1.6.1. Separation costs
HR staff and supervisory time, pay rates to prevent separations, exit interview time,
unemployment expenses, legal fees for separations challenged, accrued vacation
expenditures, continued health benefits, and others.
1.6.2. Vacancy costs
Temporary help, contract and consulting firm usage, existing employee overtime, and
other costs until the person is replaced.
1.6.3. Replacement costs
Recruiting and advertising expenses, search fees, HR interviewer and staff time and
salaries, employee referral fees, relocation and moving costs, supervisor and
managerial time and salaries, employment testing costs, reference checking fees, pre-
employment medical expenses, relocation costs, and others.
1.6.4. Training costs
Paid orientation time, training staff time and pay, costs of training materials, supervisor
12

and manager time and salaries, coworker ’coaching’ time and pay, and others.
1.6.5. Hidden/indirect costs
Costs that are not obvious, such as reduced productivity, decreased customer service,
additional unexpected employee turnover, missed project deadlines, and others.
Please be noted that not all turnover is negative. Turnover of low performers should be
considered positive. There may be an “optimal” amount of useful turnover in order to
replace low performers and add part-time or contract workers with special capabilities
to enhance workforce performance.HR professionals should take actions to reduce
negative turnover and to address the retention of key employees.
1.7. Employee Attrition
Attrition is the normal life cycle of employment. Employees who move, retire, pass
away or leave the company to raise a family or attend school represent the usual ebb
and flow of staffers through a business. In other words, when it comes to attrition,
employees are leaving not because they have a problem with your company or their
jobs – it’s a matter of life unfolding. Attrition tends to be higher in companies located in
transient cities and in organizations that hire older employees as a matter of practice.
2. Employee Retention
Retention of employees as human resources is part of HR staffing and planning efforts.
Turnover, as the opposite of retention, often has been seen as a routine HR matter
requiring records and reports. However, what was once a bothersome detail has become a
substantial HR issue for many employers. Thus, organizations are being forced to study why
employees leave and why they stay. Sometimes an individual in the HR area is assigned to
specifically focus on retention to ensure that it receives high priority.
Keeping good employees is a challenge that all organizations share and that becomes even
more difficult as labor markets change. Unfortunately, some myths have arisen about what
it takes to retain employees. Some of the most prevalent myths and realities are as follows:

• Money is the main reason people leave. Money certainly is a vital HR tool, and if
people feel they are being paid inadequately, they may be more likely to leave. But if
they are paid close to the competitive level they expect, other parts of the job become
more important.

• Hiring has little to do with retention. This is not true. Recruiting and selecting the
people who fit the jobs and who are less likely to leave in the first place, and then
orienting them to the company, can greatly increase retention. It is important to select
for retention.

• If you train people, you are only training them for another employer. Developing skills
in employees may indeed make them more marketable, but it also tends to improve
retention. When an employer provides employees with training and development
assistance, job satisfaction may increase and employees are more likely to stay,
particularly if they see more future opportunities internally.

• Do not be concerned about retention during organizational change. That is exactly the
 13

time to worry about retention. Although some people’s jobs may have to be cut
because of economic organizational factors, the remaining employees that the
company would like to keep may have the most opportunity and reason to leave
voluntarily. For example, during a merger or acquisition, most workers are concerned
about job security and their employer’s future. If they do not feel a part of the new
organization early on, many may leave or evaluate alternatives.

• If solid performers want to leave, the company cannot hold them. Employees are best
viewed as “free agents,” who indeed can leave when they want. The key to keeping
solidly performing employees is to create an environment in which they want to stay
and grow.
Because both people and jobs are so varied, managers and HR professionals need to
realize that individuals may remain or leave their employment for both job-related and
personal reasons. For instance, if employees choose to leave an organization for family
reasons (e.g., because a spouse is transferring or to raise children), there may be a
limited number of actions the employer can take to keep them on the job. However,
there are significant actions that an employer can take to retain employees in many
other circumstances. The below figure illustrates some of these “drivers” of retention,
or areas in which employers can take action to strengthen the possibility of keeping
employees.

Phillips, J.J. & Connell, A.O. (2011). Managing Employee Retention. London, UK:
Routledge.
14

The actual reasons that people stay or leave vary according to job groupings, industry
and organizational issues, geographical global aspects, and other factors. For instance,
a survey of executives by Robert Half International found that the most common
factors that caused satisfactory employees to quit their jobs were unhappiness with
management, limited career advancements and recognition, insufficient pay and
benefits, and job boredom. This survey illustrates that many of the factors involved in
retention drivers are organizational and management factors within the employer’s
control.
2.1. Organizational and Management Factors
A number of organizational/management factors influence individuals in their
decisions to stay with or leave their employers. Organizations that have clearly
established goals and hold managers and employees accountable for accomplishing
results are viewed as better places to work, especially by individuals wishing to
progress both financially and career-wise. Further, effective management provides the
resources necessary for employees to perform their jobs well. These factors reflect
workplace commitment by employees, which leads to more positive organizational
views in the industry and communities.
Other organizational components that affect employee retention are related to the
management of the organization. Some organizations see external events as
threatening, whereas others see changes as challenges requiring responses. The latter
approach can be a source of competitive advantage, especially if an organization is in a
growing, dynamic industry. Another organizational factor that can affect employee job
performance and potential turnover intentions is “organizational politics.” This can
include managerial favoritism, having to be involved in undesirable activities, taking
credit for what others do, and other actions that occur in many departments and
organizational settings.
A final factor affecting how employees view their organizations is the quality of
organizational leadership. Often, leaders have an identified strategic plan that guides
how the firm responds to changes. If a firm is not effectively managed, then employees
may be disappointed by the ineffective responses and inefficiencies they deal with in
their jobs. A survey of 700 workers identified that “bad bosses” who do not give
employees recognition for accomplishments or who fail to keep promises can lead to
almost 40% of the workers being dissatisfied and more likely to look for other jobs.
2.2. Work Relationships
Work relationships that affect employee retention include supervisory/management
support and coworker relations. A supervisor or manager builds positive relationships
and aids retention by being fair and nondiscriminatory, allowing work flexibility and
work-family balancing, giving feedback that recognizes employee efforts and
performance, and supporting career planning and development.
Additionally, many individuals build close relationships with coworkers. Such work-
related friendships do not appear on employee records, but these relationships can be
 15

an important signal that a workplace is positive. Overall, what this means is that it is
not just where people work, but also with whom they work, that affects employee
retention. If individuals are not linked with or do not relate well to their coworkers,
there is greater likelihood for turnover to occur.
2.3. Job and Work-Life
Many individuals have seen a decline in job security during the past decade. All the
downsizings, layoffs, mergers and acquisitions, and organizational restructurings have
affected employee loyalty and retention. As coworkers experience layoffs and job
reductions, the anxiety levels of the remaining employees rise. Consequently,
employees start thinking about leaving before they too get cut. Organizations in which
job continuity and security are high tend to have higher retention rates.
Some jobs are considered “good” and others are thought to be “bad,” but not all
people agree on which jobs are which. As mentioned previously, the design of jobs and
peoples’ preferences can vary significantly. Job design factors that can impact retention
include the following:

• A knowledge, skills, and abilities mismatch, either through overqualification or

underqualification, can lead to turnover.

• Job accomplishments and workload demands that are dissatisfying or stressful

may impact performance and lead to turnover.

• Both timing of work schedules and geographic locations may contribute to

burnout of some individuals but not others.

• The ability of employees to balance work and life requirements affects their job
performance and retention.
Numerous examples could be given on how each of these items affect retention, but
one example comes from a survey of chief financial officers on the impact of these
issues in their firms. In this survey, work-life flexibility efforts were seen as creating
significant retention, recruitment, and productivity results. This study illustrates that
how organizations address jobs can drive retention efforts, including global retention
as discussed in the HR Perspective.
2.4. Rewards: Compensation, Benefits, and Performance
The tangible rewards that people receive for working come in the form of pay,
incentives, and benefits. Employees often cite better pay or benefits as the reason for
leaving one employer for another. Employers do best if they offer competitive pay and
benefits, which means they must be close to what other employers are providing and
what individuals believe to be consistent with their capabilities, experience, and
performance. If compensation is not close, often defined as within 10% to 15% of the
“market” rate, turnover is likely to be higher.
However, the reality of compensation is a bit more complex than it seems at first
glance. For instance, one study of public-sector employees identified that broad reward
programs, not just pay and benefits, aided with workforce retention in difficult
16

economic situations. A number of employers have used a wide range of special

benefits and perks to attract and retain employees. For example, Student Media Group
in Delaware added work-related plasma television screens, videogame players, and
free soda and snacks as part of a special rewards package to create more positive views
to aid in retaining employees.
Another part of rewards generally is that individuals need to be satisfied with both the
actual levels of pay and the processes used to determine pay. That is why the
performance management systems and performance appraisal processes in
organizations must be designed so they are linked to compensation increases. To
strengthen links between organizational and individual performance, an increasing
number of fast-growing private-sector firms are using variable pay and incentives
programs. Some programs offer cash bonuses or lump-sum payments to reward extra
performance, which also aids with retention efforts.
Another rewards aspect that affects retention is employee recognition, which can be
both tangible and intangible. Tangible recognition comes in many forms, such as
“employee of the month” plaques and perfect-attendance certificates. Intangible and
psychological recognition includes feedback from managers and supervisors that
acknowledges extra effort and performance, even if monetary rewards are not given.
For instance, one firm, Fairmont Hotels and Resorts, is using a “Serviceplus Colleague
Recognition Program” to engage its 30,000 employees. Different types of recognitions
include “Star of the Month” and “Memory Maker” for significant service. For such
recognition, a small amount of money (under $50) and other types of rewards are
given. An employee survey has shown significant increases in positive employee views
of both their jobs and the Fairmont firm.
2.5. Career Training and Development
Many employees in all types of jobs consistently indicate that organizational efforts to
aid their career training and development can significantly affect employee retention.
Opportunities for personal growth lead the list of reasons why individuals took their
current jobs and why they stay there. In one survey, nearly one-third of workers
identified the lack of career advancement opportunities to be the most important
reason for potentially changing employers.
Training and development efforts can be designed to indicate that employers are
committed to keeping employees’ knowledge, skills, and abilities current. Also, training
and development can help underused employees attain new capabilities. Such a
program at Southwest Airlines has been very successful. Recruiters were reassigned to
different departments, which resulted in their generating sales and revenues in flight
operations and other areas.50
Organizations address training and development in a number of ways. Tuition aid
programs, typically offered as a benefit by many employers, allow employees to pursue
additional educational and training opportunities. These programs often contribute to
higher employee retention rates because the employees’ new knowledge and
capabilities can aid the employer. Also, through formal career planning efforts,
employees discuss with their managers career opportunities within the organization
and career development activities that will help them to grow.
 17

Career development and planning efforts may include formal mentoring programs. For
instance, information technology (IT) organizations are using career development
programs so that IT individuals can expand their skills outside of technical areas.
Programs in some firms cover communication and negotiation tactics, which gives the
employees additional capabilities that are needed in managerial and other jobs.51
Companies can help reduce attrition by showing employees that they are serious about
career advancement opportunities.
2.6. Employer Policies and Practices
A final set of factors found to affect retention is based on the employer relations
policies that exist. Such areas as the reasonableness of HR policies, the fairness of
disciplinary actions, and the means used to decide work assignments and opportunities
all affect employee retention. If individuals feel that policies are unreasonably
restrictive or are applied inconsistently, they may be more likely to look at jobs offered
by other employers.
To ensure that appropriate actions are taken to enhance retention, management
decisions require data and analyses rather than subjective impressions, anecdotes of
selected individual situations, or panic reactions to the loss of key people.
The analysis of turnover data is an attempt to get at the cause of retention problems.
Analysis should recognize that turnover is a symptom of other factors that may be
causing problems. When the causes are treated, the symptoms can go away.
Some of the first areas to consider when analyzing data for retention include the work,
pay/benefits, supervision, and management systems. Common methods of obtaining
useful perspectives are employee surveys, exit interviews, and first-year turnover
evaluations.
Stay interview is another feedback tool that has gained popularity. Defined by HRCI as a
retention tool to identify why employees stay with the company, it may also be used to
ask questions about what motivates employees to perform. These and other types of one-
on-one engagement efforts using active listening techniques are useful for HR to employ
in measuring job and individual employee satisfaction.
The stay interview is an opportunity to build trust with employees and a chance to assess
the degree of employee satisfaction and retention that exists in a department or company.
Employees prefer to work in an environment that cares to know about and understand
their thoughts, needs, and feelings—especially when they see actions take place following
a series of stay interviews. Stay interviews are preferable to employee satisfaction surveys
because they provide a two-way conversation and a chance to ask questions, and follow-
up on ideas. They also deal with immediate employee happiness or concerns, not with
how the employee felt last month or over the past quarter or the year.
3. Employee Survey
Many companies regularly conduct employee engagement or internal climate survey to
assist in making accurate HR decisions for attracting and retaining employees. Employee
survey ‘season’ is now in full flow and it’s a great chance for HR to show their expertise
and added value.
18

A well conducted and executed employee survey helps organizations create impact by
increasing key focus areas such as employee engagement, as well as improving
organizational performance. A poorly conducted and executed employee survey will
damage employees’ confidence in future employee surveys, as well as in HR.

Barends, A. (2014). 5 steps to create impactful employee surveys. Effectory.

Many of the most successful approaches to employee surveys are tailored to that
organization, and there is no one size fits all versions. While each survey will require a
different plan, this article aims to highlight some of the key aspects for consideration in the
setting up of an effective employee survey process, and how to use that data in a way that
benefits your organization and your people. Your organization’s culture, employee profile,
leadership approach and even geographical location will dictate the format and content.
3.1. Preparation
How to create impactful employee surveys tackles the preparation of your employee
survey. Do you have a clear idea of your survey aim? Are your stakeholders involved
from the start? Can you guarantee anonymity?
There are many things to remember if you want a successful employee survey. First of
all, you have to have a clear idea of the aim of your survey. Secondly, it is important to
involve stakeholders in the survey right from the start. Which method is appropriate to
your organization? How should you draw up a questionnaire? And how will you handle
the anonymity of the employees?
3.1.1. Determine the Survey Objectives
You carry out an employee survey to gain insights into your employees’ perception of
 19

their work. The aim is to use this to make targeted improvements to your organization.
Are your employees engaged? Are teams productive? What issues are important within
your organization? Among other things, your employee survey gives you an insight into
the satisfaction, employee commitment, employee engagement, loyalty, motivation
and customer orientation of the employees.
There are many constructs regarding the objectives of employee survey. HR
professionals should distinguish among these terms as follows:
Job satisfaction defined as degree to which employees have a positive affective
orientation towards employment by the organization. Employee satisfaction depends
on company and administrative policies, supervision, salary, interpersonal relations,
working conditions, work itself, achievement, recognition, responsibility, and
advancement.
Organizational commitment has been defined as an individual’s dedication and loyalty
to an organization. Organizational commitment embraces the following three
elements. These are (a) the acceptance of organizational goals and a strong belief in
these goals (b) willingness to perform substantial efforts on behalf of the organization
(c) having a definite desire to maintain organizational membership.
Organizational climate may be defined as “members’ collective perceptions about
their organization with respect to such dimensions as autonomy, trust, cohesiveness,
support, recognition, innovation and fairness.
Job involvement is defined as the degree to which a person psychologically identifies
with, and is related with the work motivation that a person has with a job. Job
involvement is grouped into four diverse categories. These categories: 1) work as a
central life interest, 2) active participation in the job, 3) performance as central to self-
esteem, and 4) performance compatible with self-concept.
Employee engagement has become a widely used and popular term, and it has its
basis in practice rather than theory and empirical research, while its construct often
overlaps with other constructs, such as organization commitment, job involvement, or
organizational citizenship behaviors (OCB). However, engagement is not an attitude; it
is the degree to which an individual is attentive and absorbed in the performance of
their roles. In HR practice, the concept is commonly seen as capturing levels of
commitment and discretionary effort exhibited by employees.
In order to clarify the purpose of your survey, ask yourself: Why do you want to gain an
insight into the work perceptions of your employees? Without a clear objective, your
survey won’t succeed and it won’t lead to improvement.
3.1.2. Creating buy-in
As well as having a clear objective, it’s important to create broad support for your
survey within the organization. Too many surveys end up in the bottom drawer
because the results are ultimately not accepted or applied. To avoid this pitfall, it is
essential to involve all the relevant stakeholders in the survey from an early stage. The
aim is that various groups should be able to take action afterwards on the basis of the
results. The support of these groups for the survey must be won in advance.
20

The stakeholders that should be involved in the survey from an early stage are:

• (Line) managers

• Other direct reports

• HR directors and managers

• Top management

• Executive Board / Supervisory Board

• Communication department

• Works Council (if applicable)

• Trade unions (if necessary)

It’s advisable to involve works council representatives from the outset, not only to
adhere to rules and expectations but also because a works council can play an
important role in embedding the survey in the organization. If you work at an
international level, get the branch managements/units involved as well.
3.1.3. Determining the survey method
When setting up your survey, think about which survey method is appropriate for your
organization. This is also the time to consider whether you should implement the
survey and the associated follow-up yourself or engage an external agency. There are
three phases of the methodology to be considered:

• Distribution: How can you distribute the questionnaires in such fashion as to reach
everyone with ease?

• Participation: What is the easiest way for respondents to participate in the survey?

• Data collection: How do you ensure that you receive the maximum number of
responses?
There are many methods for conducting surveys. For a good survey of employees, two
methods are widely used: via an online questionnaire and/or via a written
questionnaire. Choose the method that best suits your situation and make it easy for
employees to complete the questionnaire.
A good survey also leads to a high response rate. If, despite everything, you anticipate a
low response rate, you might consider scheduling a time when all the employees fill in
the questionnaire together, such as the end of a shift. In that case, do make sure that
an external person supervises it. Employees can address any question to that person.
Moreover, this approach avoids consultation between respondents as the
questionnaires are completed. If that happens, you will be recording group opinions
instead of individual perspectives.
3.1.4. Guaranteeing anonymity
As well as a high response, you also want a reliable one. You want employees to feel
 21

free to give their honest opinion. Can you guarantee that employees will be able to
complete the questionnaire anonymously? In the interests of anonymity, you should
observe the following points at a minimum:

• Ensure that employees can complete the questionnaire where colleagues cannot
watch them;

• Make sure that answers are received and stored on a secure server;

• Keep questions about personal characteristics to a minimum (avoid insofar as

possible questions on gender, educational level, years of service etc.);

• Convert handwritten answers into standard (computer) fonts;

• When reporting the results, keep it at group level insofar as possible.

In addition, prevent situations where employees can fill in the questionnaire more than
once. To avoid duplication and unreliable results, employees should only be able to
give their opinion once. Therefore, be sure to work with unique login codes that can
only be used once.
3.1.5. Designing the questionnaire
Keep it simple. The participation rate can be very adversely affected if employees are
daunted by the time it will take to complete the survey or if they feel the questions are
irrelevant to them. Employee survey questionnaires allow an organization to
understand their employees and to see what can be done to increase their satisfaction,
their engagement and their commitment to the organization. Employee surveys can be
designed in-house or by an external consultant. If you wish to do your own, there are
some steps to follow to ensure you will get the results you need to build positive
employee relations to impact your business.

• Determine the need for your survey. Employee survey questionnaires can evaluate
a wide range of topics including overall satisfaction, engagement, organization
commitment, job involvement, pay and benefit perception, career advancement,
supervision, communication, processes and policies, productivity and efficiency, job
stress and work-life balance. The aim of your survey will determine the types of
questions you will ask.

• Choose which questions need to be asked to get the answers you need to evaluate
your employee perceptions in regard to the need of your questionnaire.

• Select the methodology you will use to ask your questions and gather you data. It
can be both quantitative and qualitative. The way you ask your questions will be
greatly influenced by the methodology you pick. It is possible to write an employee
survey questionnaire that mixes both methodologies for a more complete
evaluation of the situation.

• Decide which vehicle you will use to send the survey and gather the results. You
can offer your employees multiple options or you can decide ahead of time that all
staff members have to fill out the questionnaire on a paper format, via email, or via
a secure online website.
22

• Proof and test your questionnaire before sending the survey to your employees.
This stage allows you to ensure the validity of the result and that you will get the
desired results. If the results are positive, you have completed the design of your
employee survey questionnaire. If the results are not conclusive enough, start
again and try changing questions or methodology until you have testing results
satisfying enough to send the survey to your employees.
If the survey is to be taken by employees from other countries and cultures then it is
best practice to have the survey items checked both for the accuracy of language
translation and cultural fit. If possible, have a native speaker of each language translate
so that the correct phraseology and wording is used to ensure consistency of meaning
for each item. This is very important when there is a need to compare results from
different countries.
3.2. Communication
How you communicate your employee survey to stakeholders, managers and
employees has a dramatic impact on the response rate of the survey. Well thought out
communication is key to avoiding resistance and a poor response rate, and this blog
provides you with practical steps on how to create a successful communication plan.
Keeping your employees informed about the survey’s progress, as well as clear
communication in every phase of the survey are essential to its success. Promoting
your employee survey to all the stakeholders as early as possible is a must for there to
be adequate support, and having people involved from the beginning of the process
will favorably affect the response rate.
If people feel involved in the survey, this will considerably increase their willingness to
act on the results. If you do not communicate clearly with employees on important
issues (such as information about anonymity), they may resist it. In the worst case,
employees won’t trust the survey and could even sabotage the survey by deliberately
giving wrong answers.
3.2.1. Creating a project plan
A good communication process requires time, energy and experience and is vital to the
success of the survey.
Before the Survey
All employees must understand why you are conducting the survey and what the
benefits will be if they cooperate (i.e. ‘what’s in it for me’). You should promote the
survey before the actual start of the project and let employees know what they can
expect from the survey. Remember to clearly communicate the following:

• The start date of the survey

• The planning schedule for the survey

• The intended aim

• The guarantee of strictly anonymous participation

 23

• The deadline for completion of the questionnaire

• The possibilities for asking questions about the survey

• How you will announce the results

• What will be done with the results

The more thorough your communication is, the better. You will find that response to
the survey increases substantially and don’t forget to thank the employees for their
cooperation!
Start of the Survey
Whether you have opted for a paper questionnaire or online, all employees should
receive a survey package. If you have chosen for a written survey, your employees
should receive an envelope containing the questionnaire and an accompanying letter.
In the letter you should explain what is expected of the employees and why. Don’t
forget to include an anonymity guarantee, and for further details, you can also to
include a pamphlet explaining the background and purpose of the survey. Completing
the package by including the postage-paid envelope also makes it easier for employees
to return the questionnaire.
For logistical reasons, it may be a better idea to issue the questionnaires on site. For
example, you may wish to do this if you do not have the home addresses of your
employees. In some sectors, such as retail and manufacturing, this is often the best
method to get a good response.
If you have opted for an online questionnaire, you can send the link to the
questionnaire by email. In doing so you can also provide additional information about
the survey and anonymity in completing the questionnaire. If some employees have no
email address, you can also opt to provide login codes by written letter. If necessary,
these codes can be made anonymous by means of a scratch-off layer.
During the Survey
Of course, you want to avoid any last-minute surprises. It’s important to track the
response daily while the survey is underway and address the following:

• What is the response so far?

• Which departments are showing the most response?

• How much time is there left to respond?

It’s advisable to inform managers after three or four days as to how their groups are
responding, which can be done easily by email. If the response is disappointing, you
can resend the survey invitation and also encourage managers to remind employees to
complete the questionnaire.
After the Survey
Share what the initial results are and what steps for improvement are going to be taken
24

together with your employees. Indicating what the actual planning for these are will
help you generate the right expectations with regard to the follow-up period. In
addition, it also has a positive effect on the response generated during the next survey.
3.2.2. Designing communication materials
There are many ways of bringing the survey to the attention of others. Some
possibilities are listed below, although you may have other ideas on how to promote
the survey in a creative manner. Ways to communicate your survey include:

• Letter

• Email

• Flyer

• Staff magazine

• Posters

• Intranet

• On-screen pop-up

• Workplace meetings

• Short Message Service (SMS)

• Holiday card

• Introductory video

• Presentation

• Soapbox addresses

• Employee meetings

• Slogan
3.3. Implementation
You’ve prepared and communicated your employee survey. Now for the practical part-
implementing-review the distribution, data collection, verification and the reporting
associated with your employee survey.
3.3.1. Distribution of questionnaires
In principle, you should distribute the questionnaire to every employee. If you are
conducting the employee survey yourself in a small or medium-sized organization (up
to 500 employees), it is perfectly feasible to print the questionnaires yourself. If you
work for a larger organization, it is often better to outsource the printing and
distribution.
If you are using an online questionnaire, make sure you have a system that works
 25

properly. Consider, for example, having an email with a link to the questionnaire, plus
the possibility to save what has been filled in so far and return to it at a later time.
Which questionnaire for whom? If you work with multiple business units across
international borders and with a variety of cultures, keep in mind the differences that
you will encounter. You should therefore adapt questionnaires to take into account the
nature of the different parts of the organization. By customizing questionnaires for
each business unit, you will increase the employee commitment across the entire
organization.
3.3.2. Response period
The 80/20 rule also applies to survey response times. By far the largest response is
generated during the first few days. Allowing 2 weeks for responses is usually enough,
but if the response is disappointing, you can always extend the deadline by a week.
3.3.3. Data collection
How to get the completed questionnaires back to you? With a digital survey, this is
simple. Written (paper) questionnaires can be returned to a freepost address. In view
of the anonymity guarantee, we recommend that you designate a freepost address to
be used specifically for the survey.
If the questionnaires are distributed on site, you could still use return envelopes but
another option is to place collection boxes at the various locations. Sometimes, to
promote a high response rate, it is important to offer employees the facility to deposit
their completed questionnaires in a collection box as soon as they have filled them in.
This can offer a solution for safeguarding your planning schedule, especially if you are
centrally directing the survey in an international organization.
How will you recognize the various questionnaires returned by different departments?
The bigger and more international your organization, the greater the need to draw up
specific questionnaires. You can distinguish a questionnaire in English from one in
German at a glance, but how easily can you tell the difference between one from the
marketing department and one from the sales department?
It is therefore always practical to mark the questionnaires with a specific code
according to surveyed group, for example per team. To maintain anonymity, write only
the group name on the questionnaire.
3.3.4. Verifying responses
How to process the returned questionnaires? Processing data by hand is time-
consuming and requires precision. You can save a lot of time by having people
complete the questionnaire via the internet, providing you have set up a good system.
In most cases the best option is to have your data processed by a specialized bureau,
who can automatically import the completed questionnaires (optical character
reading).
How to process open questions? Employees’ answers to open questions, such as “What
suggestions would you make for...”, constitute an additional source of information. As
previously mentioned, it is important that handwritten answers are converted to
26

standard fonts to maintain anonymity. It is also a good idea to process the comments in
such a way to not lose their content.
When processing answers, eliminate personal criticisms, you can also delete any coarse
language, such ‘creative’ words frequently attract undeserved attention and usually
demotivate the people involved. Revising open answers in this manner results in a
more authoritative survey. If necessary, you can choose to distribute the unrevised
versions among a limited audience.
3.3.5. Reporting
What should you mention in the reports? In effect, you should include everything in
your report. Why was the survey conducted? What was the response? And of course,
the results. Do keep it concise. Be sure to substantiate the scores by including a
statistical analysis of the results and displaying answers to open questions is important
to help you get a better feel for the results.
How do you report? We recommend using graphics, charts for example. They allow you
to see the progress that is made at a single glance. Use as many colors or icons as
necessary to visualize issues that score well and to indicate areas in which
improvement is required. Pages full of text do not inspire reading, and so, will not
inspire action either. Try to divide the answers to open questions into as few categories
as possible. When presenting the results for a group, make sure that you hold people’s
attention. Visualize the results, using images as well as text. After all, a picture is worth
a thousand words.
At what level should you report your results? The survey pays for itself when
stakeholders get reports that they can truly make use of. You should therefore attune
the reports to the level of the various stakeholders:

• An A4 sheet with the main outlines for the Board of Management;

• A detailed report for HR;

• An action-oriented report for the business unit and/or the department or manager.
3.4. Analysis
The employee survey has been completed, and the data has been collected. The
issue now is how to analyze the results: How should you structure the data? Should
you use benchmarks? How should you prioritize? Taking care to correctly analyze your
employee survey is essential in order for there to be impact. Without adequate
analysis, your organization might address the wrong issues. The results of your survey
should immediately disclose the state of affairs in your organization. As a rule of
thumb, the data should therefore be structured to immediately reveal: the successes
and the areas in need of improvements
3.4.1. Benchmarking
Whilst there may be some debate surrounding benchmarks, our experience has shown
us that benchmarking is an essential addition to the structured data. A comparison of
your results with those of similar companies or of the countries where you have
 27

branches can reveal valuable insights.

One of the questions you should ask is do you have good benchmark data? Much time
is often wasted by drawing hasty, incomplete conclusions. For example, a subject such
as remuneration usually gets a low score in an organization. After discovering the low
score, you may come to the conclusion that you should act upon the low score. This
however is not always wise.
A good benchmark can inform you where your organizations stand in comparison to
others. In the case above, the benchmark could inform you that despite your low score,
your organization scores better than many comparable organizations. Such insights can
really help you decide where to take action, and further help ensure that you do not
devote unnecessary time and money to an area where it is not needed.
3.4.2. Setting priorities
What do your employees consider important and in which areas is your organization’s
score (relatively) low? A statistical program is a useful tool in this prioritization. It
enables you to measure the effect of each factor on various HR themes. In this way you
obtain a list of priorities showing which aspects employees are proud of and which
ones call for improvement. You can see at a glance where the priorities lie and which
points have a direct impact on the way your employees perceive their work.
Furthermore, it immediately becomes clear which elements make you stand out as an
employer in the labor market.
3.4.3. Identifying trends
Compare your current scores with those from the previous survey in order to follow
trends in the results. This will provide insight into the effectiveness of the improvement
measures you have taken. Once again, communicate this clearly to the organization.
This will show employees that the survey is having an effect.
3.5. Action planning
An employee survey only becomes effective when something is done with the results.
To delve further into process issues: not telling employees the results of a survey is
frustrating, but, worse, it tells them their input is not really wanted. That can result in
disengagement, apathy, and “working by the rules,” not positive outcomes in an
increasingly competitive and dynamic world.
The biggest challenge lies in ensuring that your organization takes action. But how can
you ensure that there is action throughout the entire organization?
After your survey is complete and the results are in, you should begin informing people
within your organization. It is advisable to consult with employees about how action
can be taken, and to monitor the progress of planned actions. Finally, in order to
establish whether the actions have really led to improvements, conduct a repeat survey
and consider making an employee survey a permanent fixture in the calendar year.
3.5.1. Internal communications
Providing information in broad terms. Plan the initial presentation of the survey
28

immediately after delivering the results. First, present the results to the higher
echelons (directors, Management Board or senior management). However, make sure
that the setup has been approved by the project group before presenting the results.
What should you present? Show the facts and figures, but don’t make an exhaustive
list of them. Omit everything irrelevant, but make sure that you present the low and
high scores. Where possible, make comparisons: comparisons with other companies,
countries, teams and equivalent groups. Having heard the facts, the management will
immediately want to look for explanations and causes, which is fine. You give the
directors some ‘homework’ so they can discuss the results together and make concrete
improvements. This is how organization-wide points for improvement are created.
The result presentation should last no longer than one hour, otherwise those present
will lose interest. Moreover, observing this time limit will ensure that the meeting deals
with the most relevant points.
Providing information at group level. After the meeting with the management, let
employees know what form the follow-up procedure will take. Making clear
arrangements will prevent the project from losing momentum. Think about who is
responsible for giving feedback on the team results; consider when and how you will
give feedback on the results at group level:
Consider where the responsibility lies for the follow-up. Taking action starts with
informing the employees. Don’t wait too long, and be honest. Employees will soon
realize if you are procrastinating. The faster you show the results, the quicker
something can be done about them. Don’t stop at presenting problems, but also pay
specific attention to the positive points. It is important that you carefully discuss issues
that cannot be remedied with your employees. The report contains meaningful
information, enabling you to discuss things together and then take joint action. At a
minimum, you should inform all employees with regard to the following points:

• Response

• Important scores

• Points to be proud of

• Points for improvement

Consider whether to schedule extra presentations, for example to the (European)
works council or the group managers. In some countries, the trade union is an
important stakeholder; decide when and how you want to give feedback to all the
employees.
3.5.2. Action planning
How do you ensure that immediate action can be taken on the results? The signal to
take action should follow immediately after employees have been informed about the
outcomes of the survey. The basis was created at an earlier stage with a clear report
available, for every level. The important thing now is to translate the report into
concrete, well-coordinated actions.
 29

• Decide who is responsible for drawing up action plans;

• Set a deadline for drawing up the action plans.

The responsible managers, project owners and team managers need to discuss the
results. These are then discussed with the employees. Any uncertainties among the
management members can be discussed at that time. The dialogue with the employees
can be initiated per business unit or team in order to arrive at improvement plans at
operational level. When that has been accomplished, the path leads upward again. You
compare your plans with those of other business units or teams. Frequently, the same
improvements can be adopted. You should also check that the improvement plans are
in line with your organization’s vision and objectives.
3.5.3. Monitoring
Once you have drawn up plans for improvement, it is important to monitor progress.

• Decide who is responsible for monitoring the action plans;

• Consider the extent to which the results and action plans are incorporated in the
year plan and the evaluation system;

• Communicate regularly regarding the progress of the improvement projects.

3.5.4. Repeating the survey
Have the actions you have taken led to positive results? The next survey is the ideal
time to establish the effects your investments have had and how much employees have
appreciated the effort. If you establish the employee survey as a permanent
instrument, you increase the likelihood that the results will continue to improve. As
you gain insight, adapt the survey to include different or additional questions or action
points.
4. Employee Focus Group
An employee focus group is a group of employees who are assembled to participate in a
guided discussion about a particular topic or provide ongoing feedback. When used as a
tool to improve employee engagement, employee focus groups typically leverage
employee survey results as a starting point. A moderator will lead the group through
examining survey results, open up items for discussion, and probe the group for potential
sources of critical issues and solutions for improving employee engagement.
4.1. Why should conduct employee focus groups?
Employee focus groups are an easy and efficient way to uncover ideas for improving
employee engagement. Employee engagement is the degree to which employees are
fully involved in their work and the strength of their commitment to their job and
company. Employees who are engaged in their work and committed to the company
they work for provide a clear competitive advantage to that firm, including higher
productivity, better customer service, and lower turnover.
30

Often the employee survey itself simply uncovers weaknesses and strengths, but it
doesn’t always point to action steps for improvements. This is the next part of the
conversation and where employee focus groups can provide insight on how to improve
employee engagement. Similar to surveying employees, conducting employee focus
groups also communicates that employees’ feedback is valued.
Focus groups may be convened on narrow topics, such as diversity management or
career development. In one-on-one interviews, HR may seek to extract the same kind
of information as the aforementioned techniques, or larger town hall–style meetings
may be held in which executives respond to questions from employees.
4.2. Who participate in employee focus groups?
Ideally, all of your employees should have the opportunity to participate. Each group
should have no more than 10-12 employees to ensure that everyone has the
opportunity to speak. The best organizations encourage individual departments,
teams, or locations to create their own employee engagement action plans and thus
conduct their own employee focus groups. In addition, senior leaders can recruit for
focus group participants to focus on specific topics for improving employee
engagement.
4.3. Who runs an employee focus group?
The focus group moderator is a critical role, and those taking it on should be well
trained on how to conduct employee focus groups and handle difficult situations.
There are as many different ways to survey employees as there are organizations in the
world. The specific questions are not the most important thing though; the critical
components are the actions that follow. There is no reason to waste resources on a
survey that does not lead to change within the organization. Every company has areas
of opportunity, especially when it comes to getting their employees more engaged.
The moderator should be someone who the team respects and looks to as a leader, but
not necessarily be the group’s manager. In fact, sometimes it’s valuable to exclude
managers from their team’s focus group, so employees feel like they can speak more
freely.
4.4. When to conduct an employee focus group?
Timing is dependent on how quickly you receive access to your employee survey
results. Ideally, within one to two months after your survey closes, your leadership
team will have reviewed survey results, shared findings with employees, met to discuss
next steps, and rolled out reports to individual teams. At this time, employee focus
groups should begin. These aren’t one and done activities. Let the group drive itself,
deciding if it needs to meet more than once and what its next steps are. A regular
cadence of activity, such as focus groups, updates on progress, and pulse surveys will
keep your organization on the path to improving employee engagement.
On average, employees who report follow-up after a survey are 12 times more engaged
than those who don’t experience follow-up. Simply following up, continuing the
conversation, and asking employees' input for next steps improves employee
engagement. However, the big impact of employee focus groups comes from
 31

implementing the ideas generated by your employees and actually improving

employee engagement.
5. Exit Interviews
One widely used means for assisting retention assessment efforts is the exit interview, in
which individuals who are leaving the organization are asked to give their reasons. HR
must regularly summarize and analyze the data by category (e.g., reasons for leaving,
department, length of service, etc.) to provide managers and supervisors with
information for improving company efforts.
Exit interviews are structured discussions held with employees before, or shortly after,
they leave an organization to gauge their perception of working in the organization. The
real reason businesses conduct exit interviews is to get information about an employee’s
work experience with the company. This information could be valuable all on its own or
used with other exit interview data.
In exit interview is an interview conducted when an employee is leaving with a company.
Exit interviews can have value not only in terms of assessing and improving corporate
culture but also in minimizing an employer's exposure in litigation. The following are
suggestions for conducting an appropriate exit interview:

Kaye, B. & Jordan-Evans, S. (2015). Hello Stay Interviews, Goodbye Talent Loss: A
Manager's Playbook. San Francisco, CA: Berrett-Koehler Publishers.

5.1. Who will conduct the interview?

Many companies have an employee’s supervisor administer the exit interview. Not
a good idea. If an employee had an issue with their supervisor, then chances are it
will not come to the surface during the interview.
32

An exit interview is a meeting with a terminating employee that is generally

conducted by Human Resources staff. The exit interview provides your organization
with the opportunity to obtain frank, honest feedback from the employee who is
leaving your employment.
Since HR is considered the keeper of employee references, employees may not open
up to HR. At this point in their career, they don’t want to burn bridges. So this
becomes an exercise in futility. If you really want employees to provide open, honest
and unfiltered feedback, consider engaging a neutral, third party to conduct the
interview.
5.2. When do you conduct the interview?
Some firms like to do exit interviews at the point a person announces their
resignation. Experts suggest that waiting not only until after a person leaves but
even giving them a couple of weeks. Time allows employees to gain perspective. I’ve
seen many situations where departing employees were upset with the company or
their manager. A couple weeks later, they still aren’t happy but they’re able to talk
about it with less emotion. They are able to offer some constructive criticism.
5.3. What’s the purpose of the interview?
An employee’s need to leave on good terms drives their answers regarding their
resignation. For example, when an employee tells you they are resigning and you ask
why, they’ll say more money, flexible schedule, less driving time, more benefits, etc.
And all of that might be true. But what the employee didn’t tell you was the catalyst
that started them looking for a new opportunity in the first place. Something made
them read the classified ads, take the headhunters call, etc. The purpose of an exit
interview is to find out what that ‘something’ was.
If you want to improve the workplace and increase engagement, then create an exit
interview process that yields good results. And include in the process a solid plan to
review and act on those results. With solid information, you can incorporate positive
change and, hopefully, reduce the need for exit interviews.
6. Employee Relations Programs
Employee relations strategies that promote a positive organizational culture are those
that are aligned with corporate strategy while serving employee needs. For example, a
company seeking to build a learning organization would not be served well by strict
policies that discipline mistakes and subvert innovation. A company seeking to promote
honest and meaningful communication to aid in problem solving may write an open door
policy, but should also be certain to avoid the hiring of authoritarian supervisors who
don't listen.
HR is responsible for creating behavioral guidelines for all members of the workforce, and
for seeking constructive ways to solve conflict. As the opening research shows, effective
conflict resolution skills are a must for HR professionals seeking to support a positive
corporate culture, as pervasive conflict affects outcomes such as employee engagement,
morale, and commitment. Fair procedures to make decisions about promotions and
eligibility for training, as well as for making compensation-related decisions should be
 33

developed and communicated.

6.1. Employee Participation and Involvement

When an employee participates in a business activity, it means he shares the activity
with others. These others form one team with the employee and the team is
responsible for completion of a goal or project. The team provides the forum where the
employee can suggest ideas to make the item more efficiently and make decisions
about his portion of the team's project. Whether the level of the employees'
involvement is major or minor, all team members are encouraged to participate.
Employee involvement involves a one-on-one approach between the employee and
management. This is a more direct method of handling a work project, as the individual
employee is included in all aspects of the decision-making process. This process
encourages an employee to take ownership of the outcome of the project. The
employee affects the process itself by making decisions with management, which both
encourages the employees to become more involved in the project and share their
ideas on how to improve the project.
While employee participation fosters a team approach and the project is completed by
a group of co-employees sharing the same goal, the employee involvement approach
links the employee with a direct connection to management. This allows employees in
the involvement approach to offer ideas regarding the project until a decision is
reached. Both approaches can foster a strong sense of commitment to the common
goal.
6.2. Employee Recognition
Employee recognition is the acknowledgement of an individual or team's behavior,
effort and accomplishments that support the organization's goals and values. Employee
recognition is a communication tool that reinforces and rewards the most important
outcomes that people create for your organizational goals. When you recognize people
effectively, you reinforce, with your chosen means of recognition, the actions and
behaviors that you most want to see people repeat. Your recognition reinforces the
employee's understanding of how you would like to see him or her contributing in the
34

workplace.
6.3. Diversity and Inclusion (D&I)
Diversity means all the ways we differ. Some of these differences we are born with and
cannot change. Anything that makes us unique is part of this definition of diversity.
Inclusion involves bringing together and harnessing these diverse forces and resources,
in a way that is beneficial. Inclusion puts the concept and practice of diversity into
action by creating an environment of involvement, respect, and connection—where the
richness of ideas, backgrounds, and perspectives are harnessed to create business
value. Diversity and Inclusion (D&I) programs are becoming a key part of many
employer’s positive employee relations strategy every day.
Diversity creates dissent, and you need that. Without it, you’re not going to get any
deep inquiry or breakthroughs.” The dynamic created by dissent prevents organizations
from becoming too insular and out of touch with their increasingly heterogeneous
customer base and as a result, working teams are able to come up with a wider range
of solutions to business problems.
Further, an inclusive workplace that understands the needs of their employees, making
them feel valued and respected has a significant and positive impact on employee
retention. Perhaps most importantly, research suggests companies that openly
articulate values of inclusion and have a diverse workforce tend to appeal to a wider
customer and supplier base.
Diversity training is an essential part of building awareness and a cohesive work
environment. Diversity training is an ongoing process to educate employees on the
proper way to treat people of different backgrounds. The purpose of diversity training is
to increase participants' awareness about individual differences in the workplace and
how those differences inhibit or enhance the way people work together and get work
done. This practice places a heavy emphasis on reducing the use of stereotypes.
7. Grievance Management
A grievance is a complaint that may or may not be justified. A grievance is a complaint
that has been put in writing and thus made formal. Management should be concerned
with both complaints and grievances, because both may be important indicators of
potential problems within the workforce. Without a grievance procedure, management
may be unable to respond to employee concerns because managers are unaware of them.
Therefore, a formal grievance procedure is a valuable communication tool for the
organization.
7.1. Grievance Responsibilities
The following table shows the typical division of responsibilities between the HR unit
and line managers for handling grievances. These responsibilities vary considerably
from one organization to another, even between unionized firms. But the HR unit
usually has more general responsibilities. Managers must accept the grievance
procedure as a possible constraint on some of their decisions. Management should
recognize that a grievance is a behavioral expression of some underlying problem.
This statement does not mean that every grievance is a symptom of something
 35

radically wrong. Employees do file grievances over petty matters as well as over
important concerns, and management must be able to differentiate between the two.
However, to ignore a repeated problem by taking a legalistic approach to grievance
resolution is to miss much of what the grievance procedure can do for management.

HR Department
• Assists in designing the grievance
procedure
• Monitors trends in grievance rates for
the organization
• May assist in preparing grievance
cases tor arbitration
• May have responsibility for settling
grievances
Managers
• Operate within provisions of the
grievance procedure
• Attempt to resolve grievances where
possible "closest to the problem
• Document grievance cases for the
grievance procedure
• Engage in grievance prevention
efforts

7.2. Grievance Investigation

Employees should, wherever possible, aim to settle most grievances informally with
their manager. Many problems can be raised and settled during the course of
everyday working relationships. This also allows for problems to be settled quickly. If
the grievance cannot be resolved informally, or it is of a serious nature, then the
employee may raise a formal grievance.
Grievance procedures are formal communications channels designed to settle a
grievance as soon as possible after the problem arises. First-line supervisors are
usually closest to a problem; however, the supervisor is concerned with many other
matters besides one employee’s grievance, and may even be the subject of an
employee’s grievance. Supervisory involvement presents some problems in solving a
grievance at this level.
The following steps should be taken as soon as the employer receives a verbal or
written complaint, according to Society for Human Resource Management (SHRM).
36

7.2.1. Ensure Confidentiality

The employer must protect the confidentiality of employee claims to the best of its
ability. At the same time, the employer has to conduct a prompt and an effective
investigation. Therefore, it may not be possible to keep all information gathered in the
initial complaint, such as interviews and records, completely confidential. The
employer should explain to the complaining party and all individuals involved in the
investigation that all information gathered will remain confidential to the extent
possible for a thorough investigation. It should also be explained that to conduct a
prompt and effective investigation, some information will be revealed to the accused
and potential witnesses, but that information will be shared only on a “need to know”
basis. An employer should never promise
7.2.2. Provide Interim Protection
One of the first considerations may be the need to take immediate measures for the
protection of the accuser or the alleged victim. Separating the alleged victim from the
accused may be necessary to guard against continued harassment or retaliation.
Actions such as a schedule change, transfer or leave of absence may be necessary;
however, complainants should not be involuntarily transferred or burdened. These
types of actions could appear to be retaliatory and result in a retaliation claim. The
employer and the accuser must work together to arrive at an amenable solution.
Employers may wish to seek legal advice prior to making any decisions.
7.2.3. Select the investigator
The investigator should be in a position to maintain confidentiality, be respected
within the organization (because his or her conclusions will be used to make a
determination), have the ability to act as a credible witness and, if internal, have the
likelihood of continued employment with the company. Employers generally use the
resources of experienced HR professionals, internal security, legal counsel (inside or
outside) or a third-party investigator.
 37

7.2.4. Create an Investigation Plan

An investigation must be planned to be effective and properly executed. A complete
plan should include an outline of the issue, the development of a witness list, sources
for information and evidence, interview questions targeted to elicit crucial
information and details, and a process for retention of documentation (e.g., interview
notes and e-mails that could be treated as evidence).
7.2.5. Develop Interview Questions
Questions should be developed ahead of time in the planning stage, although
additional questions will be added throughout the investigation as more evidence and
information are shared. Good questions are relevant and designed to draw out facts
without leading the interviewee; they should be open-ended to elicit as much
information as possible.
7.2.6. Conduct Interviews
Once the appropriate investigator has been selected, an investigation plan has been
developed and interview questions have been created, interviews can be conducted.
The investigator should inform all parties involved of the need for an investigation and
explain the investigation process.
7.2.7. Make a Decision
Through the investigation, the investigator must be careful not to jump to any
conclusions before all the facts are available. Once the interviews are conducted,
other necessary procedures, such as evidence collection, should be completed. Once
any credibility issues have been resolved, the investigator will evaluate all the
information for a formal recommendation. The investigator or member of
management, as well as legal counsel, should make the final determination of any
employment actions that are warranted based on the investigative report. The
employer must consider all the parties involved as well as organizational processes,
not just whether the accused is guilty, in the final determination.
7.2.8. Closure of Investigation
Once a decision is made, the employer should notify both the complaining employee
and the accused of the outcome. It is important to let the complainant know that the
organization took the complaint seriously and took appropriate action. The
organization must ensure the complainant agrees that he or she has been properly
heard and understood, even if he or she is not in agreement with the results. The
investigator should set a time frame to follow up with the complainant to ensure
there are no other issues and that he or she is settling back into the work
environment. The employer should encourage communication and follow-up until the
complainant is comfortable again. Finally, the investigator should remind all parties to
preserve confidentiality as appropriate. When necessary, employers must take
corrective action that is appropriate to the situation, such as discipline or even
termination.
7.2.9. Develop Written Results
38

If operating on the premise that every investigation of a serious nature could

potentially be heard and reviewed by a court, the employer should consider preparing
a final investigative report. The organization should keep a clear paper trail of the
evidence, such as examining documentation of previous employee behavior and
incidents. The investigator should have a clear record of everything done and any
findings as well as other steps taken during the investigation. Employers should also
document interviews with the accused, the accuser and witnesses. Investigators
should ensure their notes from interviews are as factual as possible, contain as much
relevant information as possible, are dated and indicate the duration and time of the
interviews.
7.3. Grievance Arbitration
Grievance arbitration is a means by which disputes arising from different
interpretations of a labor contract are settled by a third party. This should not be
confused with contract or issues arbitration, discussed earlier, when arbitration is
used to determine how a contract will be written.
Grievance arbitration presents several problems. It has been criticized as being too
costly, too legalistic, and too time-consuming. One study found that arbitrators
generally treated women more leniently than men in disciplinary grievance situations.
In addition, many feel that there are too few qualified and experienced arbitrators.
Despite these problems, arbitration has been successful and is currently seen as a
potentially superior solution to traditional approaches to resolving union-
management problems.
8. Alternative Dispute Resolution
Sometimes problems are easier to solve when an impartial person helps create the
solution. Therefore, at various points in the discipline process, the employee or
organization might want to bring in someone to help with problem solving. Rather than
turning to the courts every time an outsider is desired, more and more organizations are
using alternative dispute resolution (ADR). A variety of ADR techniques show promise for
resolving disputes in a timely, constructive, cost-effective manner as below:

Noe, R.A., Hollenbeck, J.R., Gerhart, B., & Wright, P.M. (2018) Fundamentals of Human
Resource Management (Seventh Edition). New York, NY: McGraw-Hill.
 39

8.1. Open-door policy

Based on the expectation that two people in conflict should first try to arrive at a
settlement together, the organization has a policy of making managers available to hear
complaints. Typically, the first “open door” is that of the employee’s immediate
supervisor, and if the employee does not get a resolution from that person, the
employee may appeal to managers at higher levels. This policy works only to the degree
that employees trust management and managers who hear complaints listen and are
able to act.

8.2. Peer review

The people in conflict take their conflict to a panel composed of representatives from
the organization at the same levels as the people in the dispute. The panel hears the
case and tries to help the parties arrive at a settlement. To set up a panel to hear
disputes as they arise, the organization may assign managers to positions on the panel
and have employees elect non-management panel members.

8.3. Mediation
A neutral party from outside the organization hears the case and tries to help the
people in conflict arrive at a settlement. The process is not binding, meaning the
mediator cannot force a solution.

8.4. Arbitration
A professional arbitrator from outside the organization hears the case and resolves it by
making a decision. Most arbitrators are experienced employment lawyers or retired
judges. The employee and employer both have to accept this person’s decision.

Typically, an organization’s ADR process begins with an open-door policy, which is the
simplest, most direct, and least expensive way to settle a dispute. When the parties to a
dispute cannot resolve it themselves, the organization can move the dispute to peer
review, mediation, or arbitration. At some organizations, if mediation fails, the process
moves to arbitration as a third and final option. Although arbitration is a formal process
involving an outsider, it tends to be much fluster, simpler, and more private than a lawsuit.
40

Part Two: Employee Separation

1. Workforce Reduction
Workforce Reduction occurs when employer institutes a mass termination of employees in
efforts to reduce costs. Workforce reduction is also known as downsizing or reductions in
force (RIF).

1.1. Reasons of Downsizing

Workforce reduction may occur for several reasons, including changes in economic
markets, poor management, or other factors. Since workforce reductions usually
involve a large amount of employees, employers need to exercise caution and foresight
when planning such reductions.
The primary reason organizations engage in downsizing is to promote future
competitiveness. According to surveys, they do this by meeting four objectives:
1.1.1. Reducing costs
Labor is a large part of a company’s total costs, so downsizing is an attractive place to
start cutting costs.
1.1.2. Replacing labor with technology
Closing outdated factories, automating, or introducing other technological changes
reduces the need for labor. Often, the labor savings outweigh the cost of the new
technology
1.1.3. Merger and acquisitions (M&A)
 41

When organizations combine, they often need less bureaucratic overhead, so they lay
off managers and some professional staff members.
1.1.4. Moving to more economical locations
Some organizations move from one area to another. When the relocation of a business
process is moved from one country to another, called offshoring, typically an
operational process, such as manufacturing, or supporting processes, such as
accounting. The economic logic is to reduce costs, sometimes called labor arbitrage, to
improve corporate profitability. Jobs are added in the destination country providing the
goods or services (generally a lower-cost labor country), but are subtracted in the
higher-cost labor country.
1.2. Methods of Downsizing
While workforce reduction typically involves permanent termination of employment, it
involve different methods as below:
1.2.1. Redundancy
Redundancy would be the means available to exit employees from an organization
whose positions are declared surplus and redeployment opportunities within the
organization have been exhausted. Redundancies occur during; restructures and
reorganization following a merger or takeover; when business or functions are
relocated interstate/overseas and/or when new technology is introduced or as a result
of business closures.
Redundancies can be the fasted and most effective way organizations realize savings
targets. Since workforce reductions usually involve a large amount of employees,
employers need to exercise caution and foresight when planning such reductions.
1.2.2. Attrition
Attrition strategy works on the basis that position savings are realized through the non-
filling of vacancies when an employee resigns or retires. Applying an attrition strategy
to reduce labor costs would require an extremely disciplined and structured approach
to making decisions to either not fill positions and/or to redeploy employees into
higher priority positions from lesser priority positions as they become available. Back-
filling of vacated positions do not occur. The surplus position once held by an employee
who has subsequently left the organization is wiped off the ‘core establishment’
resulting in a reduction in labor costs.
For significant savings to be realized through this strategy, departures would need to
occur across higher salaried positions and at significantly higher attrition rates.
Organizations with low attrition rates are less likely to benefit from such a strategy.
Some organizations are tempted to apply a harder approach to the attrition model.
This is where employees in positions declared surplus are placed in project related
roles and redeployed into vacant and new positions if and when they become
available. This is an incredibly risking strategy likely to affect engagement and overall
productivity and could be seen as constructive dismissal. The true cost of such an
approach exceeds any costs associated with redundancies and organizations should
42

think twice before applying such an approach.

1.3. Process of Downsizing
Workforce reduction or downsizing typically involves a two-step process, which may
take anywhere from several weeks to several months or longer.
1.3.1. Assessment
Employees are selected and assessed for possible termination. Selection may be based
on the employee’s performance, although the termination usually depends on the
company’s individual needs and budget. The employees are then fired according to the
selection and assessment process.
1.3.2. Severance
After or during the termination process, employees may be offered benefits which
serve to ease the transition period after termination. For example, an employer may
choose to provide severance packages or unemployment compensation. Also, some
employers provide “outplacement services.” These are services and counseling
intended to assist the former employer in securing another job after termination.
1.4. Employee Rights in Downsizing
In most cases, employment is done on an at-will employment basis, meaning that the
employee may be terminated at any point, for any reason, so long as the termination is
not illegal. Thus, employees who work on an at-will basis may be terminated in
connection with downsizing or workforce reduction. However, even at-will employees
have certain rights that protect them if they will be subject to workforce reduction.
One of the most important rights that employees have is the right to be free from
employment discrimination during termination processes. An employer may not
discriminate against protected classes of persons when they implement downsizing.
For example, if an employer only terminates a certain age group, they may be liable for
employment discrimination. They may even be held liable if the downsizing
unintentionally causes an unfair outcome with regards to a protected group.
2. Progressive Discipline
Progressive discipline is a process for dealing with job-related behavior that does not meet
expected and communicated performance standards. The primary purpose of progressive
discipline is to assist the employee to understand that a performance problem or
opportunity for improvement or correct exists.
The process features a series of increasingly formal efforts to provide feedback to the
employee so that he or she can correct the problem.
The goal of progressive discipline is to get the employee's attention so that he or she
understands that employee performance improvement is essential if they want to remain
employed.
The process of progressive discipline is not intended as a punishment for an employee,
but to assist the employee to overcome performance problems and satisfy job
 43

expectations. Progressive discipline is most successful when it assists an individual to

become an effectively performing member of the organization.
Under most circumstances, never move beyond the written verbal warning stage because
they either improve or seek employment elsewhere. Failing that, progressive discipline
enables the organization do fairly, and with substantial documentation, terminate the
employment of employees who are ineffective and unwilling to improve. Typical steps in a
progressive discipline system may include:

2.1. Informal Verbal Warning

An informal warning is when an employee is verbally told to correct the behavior.
Informal warnings are always documented but do not go into the employee’s
personnel file as a formal notice. Remember, if it isn’t written down, then it didn’t
happen. It is recommended that supervisors keep a notebook to write down
conversations with employees to be referenced later, whether for disciplinary reasons,
to celebrate later improvement,
This informal conversation is a great opportunity to address the issue while giving the
employee an opportunity to correct the issue. Depending on the relationship between
a supervisor and employee, it also gives the employee a chance to explain any factors,
whether from their personal life, or in the workplace, that might be impacting their
performance. Utilizing this informal step allows the conversation to be constructive
and informative and not feel punitive for the employee, which makes it more likely that
they will happily correct the issue moving forward.
2.2. Formal Verbal Warning
A formal verbal warning occurs when the employee begins to show a pattern of
negative behavior or a rule has been violated. This verbal warning should be
documented and may be placed in the employee’s personnel file. The oral warning
should include disciplinary actions that will follow if behavior does not improve as well
as a follow up date.
When making a formal verbal warning, the supervisor should make sure to
44

communicate the process that will lead to the employee improving their behavior. This
should include affirming that they are available to support the employee, and that they
truly want the employee to improve. This will help the employee move forward and
feel motivated instead of punished.
Follow up should occur in either one week or a month depending on the specific
behavior. At the follow up meeting, the employee should be told whether or not
sufficient improvement or change has occurred. If the employee has successfully made
the changes you discussed, then make sure to recognize the work they put into this.
2.3. Written Warning
If there has been insufficient improvement or change, you should go to the next step of
the process—a written warning. A written warning is used to make record of the
violation that has occurred as well as the warning you have given to the employee
regarding the behavior or rule violation. This should be placed in the employee’s
personnel file.
Depending on the specific behavior, an employee may receive one written warning or
multiple written warnings. As with a formal verbal warning, each written warning
should include disciplinary actions that will follow if behavior does not improve as well
as a follow up date.
Like a formal verbal warning, a written warning should also come with communication
between the employee and supervisor that lays out a plan for improvement. Receiving
this kind of discipline can feel defeating to many employees, so it is also a good idea for
the supervisor to encourage the employee while discussing this plan, especially
highlighting the employee’s strengths and why the supervisor believes that
improvement is attainable.
In addition, a written warning should include an expiration date. This is the time frame
in which the written warning will remain active in the employee’s personnel file. This is
typically six months to one year, depending on the severity of the offense. Ideally, the
Manager, Supervisor and Employee should all sign and date the written warning as
acknowledgement of the warning and the plan set forth to improve behavior. This is
your agreement with the employee to work together in order to right the situation for
the good of everyone involved.
2.4. Termination
If the other steps of progressive discipline fail to correct an employee’s behavior, or in
the case of especially serious violations, the final stage of progressive discipline is
termination. Termination typically results when all other disciplinary steps fail to
correct the behavior. It is unfortunate when this step becomes necessary, especially
after working with the employee the make changes. However, it is still better to know
the employee was given chances to succeed, and that termination was necessary than
to be unsure.
Progressive discipline is a process, not a single meeting or document. The ultimate goal
should always be to correct the problem and improve the employee’s performance. In
ideal circumstances, this process should be more instructional than punitive. The only
 45

way to do this is to check in often on the status of the improvement plan and work
closely with the employee to ensure a positive outcome. You need to stay involved
until the problem is solved.
3. Managing Workplace Behaviors
An important step in managing workplace behaviors is to understand the difference
between ‘culpable’ and ‘non culpable’ activities, and that each is dealt with in very
different ways. ‘Culpable’ behaviors are disciplinary; ‘non culpable’ behaviors are not.

3.1. Culpable Behaviors

Culpable behaviors are those in which the employee is in control and responsible for
their actions. Some examples include calling in sick when they are not, choosing to not
perform their duties well or at all, willful disregard for safety measures, or instances of
theft. It is essentially when the employee knows what the expectations are in any
given area and is capable of meeting them, but chooses not to.
Non-culpable is just the opposite – the employee is not blameworthy. Legitimate
absences due to illness or injury, poor performance due to an employee’s own
inability or to a lack of resources needed to do the work, or an employee’s personal
issues interfering with their ability to be effective in the workplace are some examples
that would fall into this category.
When dealing with non-culpable behaviors, where the employee may not be
responsible, the approach is different. Your goal is to find a solution to address the
problem and to coach and support the employee so they are able to meet the
expectations you have set for them.
Open communication is important and where there is a concern, and by speaking with
your staff when concerns arise, you may be able to get a sense of what is affecting
their performance. By trying to find a mutually agreeable solution and providing
46

support and understanding, you will likely gain not only a loyal and appreciative
employee, but a great performing one as well.
3.2. Absenteeism
Employee Absenteeism is the absence of an employee from work. Its a major problem
faced by almost all employers of today. Employees are absent from work and thus the
work suffers. This indicator is for measuring the average absenteeism rate per
employee, as a % of the total working days - Total number of absent days per
employee/ total number of working days x 100.
Absenteeism of employees from work leads to back logs, piling of work and thus work
delay. Absenteeism is of two types:
3.2.1. Innocent absenteeism
This absenteeism is one in which the employee is absent from work due to genuine
cause or reason. It may be due to his illness or personal family problem or any other
real reason
3.2.1. Culpable Absenteeism
This absenteeism is one in which a person is absent from work without any genuine
reason or cause. He may be pretending to be ill or just wanted a holiday and stay at
home. The employers have got every right to enquire as to why an employee is absent
from work. If an employee is absent because of illness he should be able to produce a
doctor's letter as and when demanded.
When an employee gets absent to work without giving any intimation in advance or
any information shall be treated as unauthorized absenteeism. Facts behind absent of
employee may be genuine like having sudden health issues, any family issues or any
family obligations which cannot be skipped. Before taking any decision on
unauthorized absenteeism by employee, employer must know the facts or reasons
which insisted employee get absent to work. If employee is terminated from job for
the reason of unauthorized absenteeism without knowing any facts or reasons
behind, shall be treated as wrongful termination.
A wrongful termination, also known as a wrongful discharge or a wrongful dismissal,
is a legal term that describes a situation where an employee was fired and the reason
for the firing appears to be against the law. Specifically, wrongful termination usually
involves a breach of the employment contract or breaks labor laws in many countries.
3.3. Aggressive Behaviors
Aggression is any act a person takes to harm another. In can include any act in the
workplace from verbal or emotional harm to physical harm and homicide. This can
include coworkers, current employers, past employers, or anyone else in the
workplace including customers, clients, and contractors. Aggression in the workplace
can be any combination of verbal and physical or direct and indirect or active and
passive.
3.3.1. Bullying
 47

Bullying must always be formally reported. Unlike conflict, bullying is not a “two-way
street.” The bully is largely responsible for the situation and thus is responsible for any
changes required. In cases of bullying, intervention is always required to guarantee
not just the physical, emotional or psychological safety of the target, but also to legally
safeguard your business. Bullies need to be told that their behavior is not acceptable
and will not be tolerated; appropriate investigative and disciplinary action, if required,
will follow any such report. As well, the targets of the bullying require support and
reassurance, understanding that they did not cause the bullying and are not to blame.
All employees need to know that bullying is not acceptable workplace behavior and
that any suspected incidents must be reported to the appropriate supervisor/manager
without retribution.
3.3.2. Harassment
The definition of harassment outlines that the behavior is similar by its unwanted and
hurtful actions. It can include unwelcome conduct such as verbal abuse, graphic or
written statements, threats, physical assault, or other conduct that is threatening or
humiliating, but the negative behavior is based on an employee’s race, color, religion,
sex, age, disability, or national origin. In other words, the distinction between bullying
and harassment is that when the bullying behavior directed at the target is also based
on a protected class, that behavior is then defined as harassment.
The employer is automatically liable for harassment by a supervisor that results in a
negative employment action such as termination, failure to promote or hire, and loss
of wages. If the supervisor's harassment results in a hostile work environment, the
employer can avoid liability only if it can prove that: 1) it reasonably tried to prevent
and promptly correct the harassing behavior; and 2) the employee unreasonably
failed to take advantage of any preventive or corrective opportunities provided by the
employer.
Sexual harassment is defined as ‘Where any form of unwanted verbal, non-verbal or
physical conduct of a sexual nature occurs with the purpose or effect of violating the
dignity of a person, in particular when creating an intimidating, hostile, degrading,
humiliating or offensive environment. This can be divided into a) personal experiences
of being subjected to sexual harassment at work or b) awareness of the existence of
sexual harassment at the workplace.
Hostile environment harassment refers to a situation in which an employee’s
coworkers create an uncomfortable work environment, often through inappropriate
sexual behavior or discrimination.
3.3.3. Physical violence
Workplace violence or occupational violence refers to violence, usually in the form of
physical abuse or threat, which creates a risk to the health and safety of an employee
or multiple employees. World Health Organization (WHO) define physical violence is
‘The use of physical force against another person or group that results in physical,
sexual or psychological harm’. This can be divided into a) real experiences of actions
and b) feelings of a threat of violence. Physical violence can also be divided into a)
personal experiences of being subjected to violence at work or b) awareness of the
48

existence of violence at the workplace.

The most important component of any workplace prevention program is management
commitment. Management commitment is best communicated in a written policy.
Since bullying is a form of violence in the workplace, employers may wish to write a
comprehensive policy that covers a range of incidents (from bullying and harassment
to physical violence).
It’s important that employers acknowledge workplace aggression and take immediate
steps to stop it. If they don’t, employees who act out aggressively know they won’t be
held accountable for their behavior. Employers can keep a worker's aggressive
behavior in check by speaking with her privately and explaining why her actions are
unacceptable and what the consequences will be, including termination. With
aggression between specific employees, managers can call them in for a meeting and
ask them to express their frustrations with each other. In addition, managers can
encourage them to compromise or find a solution that benefits everyone.
Employers can sometimes prevent workplace aggression by identifying employees
prone to inappropriate behavior. For example, if an employee consistently blames
others when something goes wrong, he might be more likely to take his anger and
frustration out on colleagues. If the company fires him, he might become convinced it
was because others badmouthed or sabotaged him. Communication can often defuse
potentially dangerous situations. When firing employees, offer an honest reason. If
you’re letting someone go because of poor job performance, explain exactly what
caused his dismissal so he can’t lay blame anywhere else.
3.4. Workplace conflict
Workplace conflict includes any type of conflict which takes place within a workplace
or among workers and/or managers, potentially including conflict between employees
out of work hours. It is a broad concept that includes several types of conflict that are
normally treated separately, including employment conflict and labor-management
conflict. Beyond those two subtypes, however, workplace conflict may not involve the
employer as a party; a workplace conflict may be between two or more employees.
Conflict can often be resolved by the individuals involved, although this does not
mean an employer should simply ignore the situation. Instead, be vigilant to ensure a
final resolution takes place that those involved can live and work with. In the end, you
may be required to help bring about a successful resolution if the parties cannot come
to some kind of mutually agreeable way forward. Nevertheless, make sure that those
involved understand the part they play, not only in the conflict itself but in its practical
resolution. Ensuring that effective conflict resolution skills are part of your business’s
training and development program will support not only you and your employees’
ability to recognize and resolve conflicts, but will also promote an understanding of
the nature of conflict.
HR need to have the courage to address interpersonal and relational conflicts that are
destructive, and to commit to a culture of workplace civility. Most important,
management must model the expected standards of behavior. Conflict can be healthy
– and even welcome – within the workplace, if managed well and resolved
 49

collaboratively. However, bullying and harassment should not be tolerated in any

shape or form. However, it is important to be mindful that conflict, if unresolved or
not dealt with properly and proactively, does have the potential to intensify and take
the form of bullying.
3.5. Substance Abuse
Substance abuse issues affect the work environment on many different levels, not
only in terms of the performance of the affected employee but also the productivity
of those around them. Encouraging a healthy company culture has wide-reaching
ripple effects that benefit everyone involved. Aside from the obvious liability issues
involving accidents, theft or injuries, substance abuse-related behaviors can
contribute to absenteeism, loss of production, tardiness, poor decision making,
interpersonal problems between employees and a higher turnover rate—all situations
that can cost your company both money and morale.
There are many laws which provide guidelines on the policies employers can set
regarding drug and alcohol abuse in the workplace. Employers can prohibit the use of
drugs and alcohol, test for drug use, and terminate employees who are engaging in
illegal drug use.
The most difficult part of maintaining a drug-free workplace is recognizing and
confronting signs of substance abuse. Not only is it a sensitive subject, but employees
may be fearful about answering honestly or addressing their own suspicions about a
co-worker due to potential disciplinary action. Also, no one wants to accuse someone
without evidence, and persons coping with addiction are often adept at camouflaging
their issues.
If you suspect one of your employees has a drug or alcohol-related problem, schedule
a private meeting as soon as possible. From a professional perspective, it’s best to
frame your concerns around job performance. That makes keeps the conversation
relevant and less personal. Focus primarily on performance issues like missed work,
tardiness and low productivity. Before you meet with your employee, gather
information including attendance records, performance reports and observations of
managers, and invite another supervisor to act as a witness and to provide support.
Set the tone for the conversation by making sure your employee knows that you value
and respect them as a person. Be cautious to avoid judgmental language while issuing
your concerns, and give the employee an opportunity to explain while also being
prepared for denial or defensive behavior. Remember that they fear termination and
may not be forthcoming in a judgmental environment.
4. Termination
It's one of the most unpleasant tasks that employers face: firing an employee. It's a task
that employers must handle carefully, calling for direct communication with the fired
employee and the company's remaining staffers. Employers need to explain clearly to
employees the reason behind their termination and build a paper trail that protects them
in case a fired worker files a lawsuit. Employers must also communicate with remaining
staffers, briefly and in general terms, about what the termination means to them and the
50

future of the company.

Mader-Clark, M. & Guerin, L. (2007). The Progressive Discipline Handbook: Smart

Strategies for Coaching Employees. Berkeley, CA: Nolo.

4.1. Paper Trail

Before employers terminate a worker, they should take the time to build a paper trail
detailing the reasons for the dismissal. This documentation should include any negative
performance reviews, complaints from clients or customers and written complaints
filed by supervisors. Such written evidence can protect the company if the terminated
employee decides to file a lawsuit alleging unlawful termination.
In the case of a terminated employee, IT should immediately revoke all computer,
network, and data access the former employee has. Remote access should also be
removed, and the former employee should be dispossessed of all company-owned
property, including technological resources like a notebook computer and intellectual
property like corporate files containing customer, sales, and marketing information.
4.2. Short, Clear Meeting
When terminating a worker, employers should call the employee into a private office or
conference room. Once away from other staffers, employers should immediately but
politely tell the worker that he is being terminated. Employers should always include
concrete reasons for this firing: The worker's job performance may not have improved.
The worker may have been turning in shoddy work. Clients and customers may have
filed too many complaints against the worker. Perhaps he violated company policy.
 51

4.3. Explaining the Severance

Before ending the meeting, it's important for employers to communicate to terminated
workers the benefits that they'll receive in their severance package. Tell a fired
employee how many additional weeks of pay she will receive, if any job training
services are available and how many weeks of health insurance coverage she will
receive.
4.4. Communicating with Staff
After the termination is complete, employers must then communicate with the rest of
their workers about the firing. Without this communication, gossip and rumors can
spread throughout the workplace. Employers should say that a certain worker was
terminated, but shouldn't go into details about the reason for the firing. They should
instead focus on future plans: Will a new worker be hired immediately? Is the fired
employee's position being eliminated, too? If so, how will the fired worker's workload
be dispersed among remaining employees? The more information about the future
that employers can provide, the less likely it is that employees will form their own,
incorrect, assumptions about the company's direction.
5. Outplacement
When an organization makes the tough economic decision to terminate employees, any
assistance the company provides is appreciated. A severance package that covers two
weeks, or more, of pay for each year that an employee worked and continuation of
benefits for a period of time are the most common severance package components.
measuring of the results of the outplacement firms they use.

Heathfield, S.M. (2015). Outplacement Is a Service for Laid Off Employees. Available on
humanresources.about.com.
52

Outplacement is a systematic process by which a laid-off or terminated employee is

counseled in the techniques of career self-appraisal and in securing a new job that is
appropriate to his or her talents and needs. It is frequently offered as part of a severance
package; benefit packages may vary in length between three months to one year or, in
some instances, until a suitable job is accepted.
Outplacement is a rapidly growing component of a severance agreement. Whether
outplacement is effective in helping employees find jobs more quickly is up for debate.
Experiences of former employees vary and employers appear to do very little vetting or
5.1. Outplacement Services
Outplacement is a service that is supplied by companies that specialize in helping
employees’ job search following a layoff, discharge, or job loss. Outplacement services
are contracted for by the employer who is laying off employees to help employees
make a swift transition to a new job.
People can pay for outplacement themselves but it is a bonus when provided by the
employer as part of a severance agreement.
Outplacement normally consists of individual or group career counseling and advising.
Since many laid off employees are unfamiliar with current job searching techniques,
training in job searching is provided.
Outplacement firms help develop resumes and cover letters and even apply for jobs for
individuals. Outplacement firms also provide job leads and follow-up counseling and
advice.
Outplacement firms supply offices for job searching employees in some agreements
and group training in all aspects of job searching and career transition.
Increasingly, interactive outplacement services are becoming available online, so an
employee does not need to travel to see his or her career coach. Additional
outplacement services are provided over the phone, by instant message (IM) and even
texting.
Outplacement assistance generally includes:

• Helping dismissed workers deal with the psychological aspects of losing a job,

• Retraining workers to develop skills that are in demand,

• Conducting personal assessments or vocational tests to determine workers'

abilities and job preferences, and

• Helping workers with job searches.

5.2. Benefits to the employer
The success of outplacement draws mixed reviews. Participants claim that too many
people are served by too few career coaches. Others claim that the advice they receive
 53

is trivial and not very helpful in a serious job search.

Others are unhappy with the resumes and cover letters that outplacement firms
develop and claim that they are boilerplate and embarrassing, especially when a
candidate is competing with other clients of the same outplacement firm for the same
job.
Otherwise, outplacement is still beneficial to the employer:

• Ensures that future reductions will be less stressful and traumatic

• Enhances the morale of those who remain

• Enables employees to find jobs faster than might otherwise be possible

• Reduces the threat of litigation

• Underscores the organization's moral and ethical responsibility toward its

employees
In general, employers provide outplacement services to assist employees to transition
to a new job. They are also constantly aware of the impact of their actions, how they
treat laid off employees, on the minds and hearts of their remaining employees.
Pragmatically, employers offer outplacement to protect their reputations as desirable
employers, to head off potential lawsuits and, in the instance where a lawsuit is filed,
look like good guys, and to minimize their liability for unemployment compensation
payments.
Employers can use outplacement effectively to help employees bridge the gap between
unemployment and a new job. The key is to utilize an outplacement firm that provides
effective services for former employees.
Employers are advised to measure and track the effectiveness of the outplacement
firm they use and to gather the opinions and experience of former employees who
utilized the outplacement service.
There is a reason, according to the WSJ, why around 40% of employees, who receive
outplacement as part of their severance, never show up to partake of the services.
Some of these employees ask for cash instead of outplacement. But, the percentage of
laid off employees who don't use the outplacement services, or quit quickly, is not
really a wonder when you consider that outplacement firms, on average, don't even
track the percentage of clients who find work before their outplacement programs end.
6. Employee Offboarding
An employee resignation always causes some disruption in the workflow, however, if the
employee resigning is valued and you decide to let him or her work their final days, they
can do a lot to make the transition successful. Here are exit/off-boarding activities to
consider for HR when an employee quits:
54

6.1. Obtain a resignation letter

Ask the employee to sign a resignation letter to document that the employee left
voluntarily and the effective date. Keep the resignation letter in the employee's
personnel file. If you can't obtain a resignation letter, document the reasons for the
separation and keep that record in the employee's personnel file.
6.2. Require handover process
Meet with the employee and his or her supervisor to determine the status of current
projects. Create a plan to reassign the employee's duties, document critical work
processes, and if time permits, train co-workers on key responsibilities.
6.3. Provide required notices
The applicable labor laws may require that you provide certain information to
departing employees. For example, some countries require employers to provide a
separation notice explaining the reason for, and date of, the separation for
unemployment claims purposes. To be eligible for unemployment benefits, individuals
who resign must generally show that they quit for "good cause," the definition of
which may differ from state to state. Under the labor laws, you may also be required to
provide information concerning health and retirement benefits, such as health
insurance continuation. Check your government requirements to ensure compliance.
6.4. Comply with final pay laws
Under the applicable laws, final pay is due by the next regular payday, but many labor
laws have stricter deadlines. Additionally, depending on your country or state, you may
be required to include accrued, unused vacation and paid time off (PTO) in the
employee's final pay. Check your state law to ensure compliance and keep a record of
when you provided the employee with their final pay.
 55

6.5. Obtain company property

Before the employee's last day, have the employee return any company issued
property, such as uniforms, ID badges, cell phones, laptops, and building keys.
Additionally, take the necessary steps to disable building codes and access to
computers and confidential data. The applicable laws may place restrictions on an
employer's ability to make payroll deductions for unreturned property.
It is necessary to involve IT in the employee termination process because a former
employee who still has access to a company's network and proprietary corporate data
is a security threat.
6.6. Sign non-compete or non-solicitation agreements (if applicable)
A non-compete agreement is a written legal contract between an employer and
employee. The non-compete agreement lays out binding terms and conditions about
the employee's ability to work in the same industry and with competing organizations
upon employment termination from the current employer. Generally, the non-compete
agreement states that the employee may not work for a competing firm for six months
to two years following employment ending.
A non-solicitation clause typically restricts or restrains and employee’s ability to
contact present, past, or sometimes even prospective clients of the employer. Often it
will prohibit an employee from contacting these clients for the purpose of selling them
a product or service after the employment has ended. Breaching a non-solicitation
clause puts both the employee and any new employer at risk of being sued.
6.7. Notify key staff and contacts
Prepare a list of the staff, key clients, and contacts that should be aware of the
employee's impending departure. Explain who will be handling his or her work
responsibilities in the future and identify a contact who can address any questions they
may have. In general, avoid disclosing the reason for the employee's departure.
6.8. Conduct an exit interview
Turnover can be costly, and exit interviews are one way to find out why employees are
leaving. To encourage candor, consider asking a neutral party to conduct the interview
rather than a direct supervisor. Based on the feedback you receive, consider what
changes you can make to the work environment. On the employee's last day, wish
them well and thank them for working for your company.
56

Part Three: Health, Safety, and Security

1. Workforce Risk
Risk management involves responsibilities to consider physical, human, and financial
factors to protect organizational and individual interests. Its scope can range from
workplace safety and health to disaster preparation. A well-done HR risk management
program can affect the bottom line through direct savings in workers’ compensation costs,
civil liability damages, and litigation expenses, as well as by increasing the likelihood of
winning bids and government contracts.
This responsibility extends to employers, the self-employed, principal contractors, those
who manage or control a workplace, as well as designers, manufacturers, importers and
suppliers of plant, substances or structures that are used for work. And it applies to all
types of work and all workplaces that are covered by applicable laws and regulations
related to workplace health, safety, security.
Efficiently managing work health and safety risks within a workplace means having a
systematic approach, which involves five key elements.

Dessler, G. (2017). Human Resource Management (15th Edition). New Jersey: Prentice Hall.

1.1. Governance
In regard to work health and safety, governance is the organizational framework,
procedures, policies and processes a body employs at a strategic level to manage the
performance of its work health and safety duties, functions and operations. As part of
its governance role, an employer should develop organizational work health and safety
policies, define key roles and responsibilities, and address consultation obligations.
Workplace safety culture is the key.
 57

1.2. Prevention
Prevention is always better than a cure. At the heart of an effective preventative system
is compliance with work health and safety obligations and stopping hazards entering
the workplace. Information should be provided on developing hazard specific policies
and procedures, health and safety in design, safety data analysis, healthy and safety
audit, related training and education, procurement, inspection testing and health
monitoring, and internal hazard reporting arrangements.

1.3. Response
If a safety incident takes place an organization must take steps to remove the hazard
that caused it, and implement changes to stop it from happening again. Information on
incident investigation, incident notification requirements, emergency preparedness and
response, including first aid policies and procedures should be found within an
organization’s response documentation.

1.4. Managing Hazards

An effective risk and hazard management methodology allows an organization to
identify hazards that pose a risk to its workers and resolve them before they cause
injury or illness. It should outline the process for identifying hazards within the
workplace. Risk, remedy, and resources are provided for specific hazards identified
within applicable laws, regulations and codes of practice. The hazards contained in the
following pages have been categorized into the following:

1.4.1. Psychosocial hazards

Psychosocial hazards include but are not limited to stress, violence and other workplace
stressors.

Work is generally beneficial to mental health and personal wellbeing. It provides people
with structure and purpose and a sense of identity. It also provides opportunities for
people to develop and use their skills, to form social relationships, and to increase their
feelings of self-worth.

There are circumstances, however, in which work can have adverse consequences for
health and wellbeing. Risks to psychological health at work may arise from
organizational or personal factors, with the major factors being poor design of work
and jobs, poor communication and interpersonal relationships, bullying, occupational
violence and fatigue. Risks to psychological health due to work should be viewed in the
same way as other health and safety risks and a commitment to prevention of work-
related stress should be included in an organization’s health and safety policies.

1.4.2. Biological hazards

Biological hazards are organic substances that pose a threat to the health of humans
and other living organisms. Biological hazards include pathogenic micro-organisms,
viruses, toxins (from biological sources), spores, fungi and bio-active substances.
58

Biological hazards can also be considered to include biological vectors or transmitters of

disease.

Biological hazards pose risks for many workers in a wide variety of ways. For example,
workers in health care professions are exposed to biological hazards via contact with
human bodily matter, such as blood, tissues, saliva, mucous, urine and faces, because
these substances have a high risk of containing viral or bacterial diseases. Likewise,
people who work with live animals or animal products (blood, tissue, milk, eggs) are
exposed to animal diseases and infections, some of which have the potential to infect
humans or cause serious allergy via sensitization.

1.4.3. Chemical hazards

Hazardous chemicals in the workplace are substances, mixtures and materials that can
be classified according to their health and physicochemical risks and dangers.
Physicochemical hazards generally result from a substance's physical and chemical
properties, as is the case with flammable, corrosive, oxidizing or explosive substances.

A person conducting a business or undertaking has a primary duty to ensure, so far as is

reasonably practicable, that the health and safety of workers and other people are not
put at risk from the business's use, handling or storage of hazardous chemicals.

1.4.4. Ergonomic hazards

An ergonomic hazard is a physical factor within the environment that harms the
musculoskeletal system. Ergonomic hazards include themes such as repetitive
movement, manual handling, workplace/job/task design, uncomfortable workstation
height and poor body positioning.

Ergonomics is the study of how a workplace, the equipment used there and the work
environment itself can best be designed for comfort, efficiency, safety and productivity.
Often we can improve our levels of comfort and productivity with relatively simple
changes.

Ergonomic issues can be associated with a wide range of concerns including the
physical design of workstations, workspaces, the working environment, tools, vehicles,
computer programs and plant. It can also involve cognitive processes such as those
involved with workload, decision making, skilled performance and stress.

1.4.5. Physical hazards

A physical hazard is defined as "A factor within the environment that can harm the
body without necessarily touching it. Vibration and noise are examples of physical
hazards".

Physical hazards include but are not limited to electricity, radiation, pressure, noise,
heights and vibration amongst many others.
 59

1.5. Recovery
Where a worker has been injured the employer has responsibilities. These
responsibilities are usually addressed under a rehabilitation management system that
will usually include an organizational structure, responsibilities, practices, procedures,
processes, and resources, for managing workplace injury or illness.

2. Employee Safety
Typically, safety refers to a condition in which the physical well-being of people is
protected. The main purpose of effective safety programs in organizations is to prevent
work-related injuries and accidents. In other words, safety refers to freedom from hazard,
risk, or injury for employees on the job.

Well-designed and well-managed safety programs can pay dividends in reduced accidents
and associated costs, such as workers’ compensation and possible fines. Further, accidents
and other safety concerns usually decline as a result of management efforts that
emphasize safety.

International Labour Organization (ILO) standards on occupational safety and health

provide essential tools for governments, employers, and workers to establish such
practices and to provide for maximum safety at work. In 2003 the ILO adopted an global
strategy to improve occupational safety and health which included the introduction of a
preventive safety and health culture, the promotion and development of relevant
instruments, and technical assistance.

Successful safety management has been researched extensively. A summary of what is

known about managing safety effectively and reducing accidents includes the following
necessary components, according to ILO standards.

Organizational Commitment

Safety Policies, Discipline, and Recordkeeping

Safety Culture Safety Committees

Inspection, Investigation, and Evaluation

Measuring Safety Efforts

Mathis, R.L. & Jackson, J.H. (2010). Human Resource Management. (13th Edition). Mason,
OH: South-Western Cengage Learning.
60

2.1. Organizational Commitment and a Safety Culture

At the heart of safety management is an organizational commitment to a
comprehensive safety effort that should be coordinated at the top level of
management and include all members of the organization. It also should be reflected in
managerial actions. A president of a small electrical manufacturing firm who does not
wear a hard hat in the manufacturing shop can hardly expect to enforce a requirement
that all employees wear hard hats in the shop. One result of a strong commitment to
safety is that a “safety culture” pervades the organization. Successful programs may use
the following activities in dealing with safety issues.

2.1.1. Safety and Engineering

Employers can prevent some accidents by designing machines, equipment, and work
areas so that workers who perform potentially dangerous jobs cannot injure
themselves and others. Providing safety equipment and guards on machinery, installing
emergency switches, installing safety rails, keeping aisles clear, and installing adequate
ventilation, lighting, heating, and air conditioning can all help to make work
environments safer.

Designing a job properly requires consideration of the physical setting of the job. The
way the work space surrounding a job is utilized can influence the worker’s
performance of the job itself. Several factors that affect safety have been identified,
including size of work area, kinds of materials used, sensory conditions, distance
between work areas, and interference from noise and traffic flow.

2.1.2. Individual Considerations in Accidents

Engineers approach safety from the perspective of redesigning the machinery or the
work area. Industrial psychologists and “human factors” experts see safety differently.
They address the proper match of individuals to jobs and emphasize employee training
in safety methods, fatigue reduction, and health awareness.

Numerous field studies with thousands of employees, have looked at the human factors
in accidents. The results have shown a definite relationship between cognitive factors
and occupational safety. Behavior-based safety (BBS) approaches are efforts to reduce
risky behavior and increase safe behavior by defining unsafe behavior and attempting
to change it. While BBS is beneficial, it does not constitute a complete approach to
dealing with safety.

2.1.3. Work Schedules

Work schedules can be another cause for accidents. The relationship between work
schedules and accidents can be explained as follows: Fatigue based on physical exertion
sometimes exists in the industrial workplace of today. Boredom, which occurs when a
person is required to do the same tasks for a long period of time, is rather common. As
fatigue increases, motivation decreases; when motivation decreases, workers’ attention
wanders, and the likelihood of accidents increases. A particular area of concern is
 61

overtime in work scheduling. Overtime work has been consistently related to accident
incidence because the more overtime worked, the higher the incidence of severe
accidents.

Another area of concern is the relationship of accident rates to different shifts,

particularly late-night shifts. Because there tend to be fewer supervisors and managers
working the “graveyard” shifts, workers tend to receive less training and supervision.
Both of these factors lead to higher accident rates.

2.1.4. Incentive and Recognition

Many companies offered safety incentive programs provided cash, prizes, awards or
other forms of recognition to employees for performance related to "lagging
indicators." That is, management tallied up the number of accidents, incidents and near
misses. If the numbers fell below a certain level, employees would be rewarded. If they
were above the designated levels, they would not be rewarded. Some companies tied
the rewards to individual performance. Others tied them to team, departmental or
even company performance.

Group recognition: The most common and least expensive method. It is also one of the
most effective safety incentive programs. An example would be recognizing employee
groups that work for a period of time without a lost-time accident.

Drawing attention to safe work habits: providing special uniforms or equipment for
employees who have worked a year or more without an accident or providing jackets or
hard hats with safety logos as a way to keep the message of safety in front of
employees.

Tangible gifts: management recognizes and appreciates efforts toward safety such as
safety award pins, trophies, plaques, and useful items imprinted with safety mottoes,
such as pen/pencil sets or tie clips.

Plant safety scoreboards: Constant reminders of the number of days without a lost
work-time injury.

While the philosophy behind such programs seemed sound (giving rewards to
employees for results), there were a number of criticisms levelled at such programs by
some safety consultants. First and foremost on the list of concerns was the idea that
such programs could create pressure on employees not to report accidents, injuries,
near misses or other incidents so as to keep the "record" intact. While one might
expect that coworkers would lead this pressure (and they frequently did), there were
even some documented cases of supervisors and managers pressuring employees not
to report accidents. These cases tended to be in situations where rewards that were
designated for teams or whole departments were on the line.

Another concern was that failure to report incidents, even minor incidents and near
misses, was defeating the whole purpose of a proactive safety program, which is to
generate as much information as possible on trends so that steps can be taken to curb
62

future problems. That is, if employees are pressured not to report incidents,
management will have virtually no information on which to base future safety
initiatives. In fact, some experts suggested, employees should actively be encouraged
to report any and all incidents so preventive measures could be introduced.

A third concern was that, in a lot of cases, accidents could occur through no fault of an
employee, so why penalize the employee or work team for such an incident?

2.2. Safety Policies, Discipline, and Recordkeeping

Designing safety policies and rules and disciplining violators are important components
of safety efforts. Frequently reinforcing the need for safe behavior and frequently
supplying feedback on positive safety practices are also effective ways of improving
worker safety. Such safety-conscious efforts must involve employees, supervisors,
managers, safety specialists, and HR staff members.

For policies about safety to be effective, good recordkeeping about accidents, causes,
and other details is necessary. Without records, an employer cannot track its safety
performance, compare benchmarks against other employers, and may not realize the
extent of its safety problems.

2.3. Safety Training and Communication

An effective method to sensitize employees is goal-oriented safety training sessions,
such as job instruction, basic safety, and accident prevention training. Such preventive,
work-related training is crucial, especially in the early periods of employment. Good
safety training reduces accidents. Supervisors should receive the training first, and then
employees should receive it as well, because untrained workers are more likely to have
accidents. Safety training involving behavioral modeling, lots of practice, and dialogue is
most effective. Safety training can be done in various ways. Regular sessions with
supervisors, managers, and employees are often coordinated by HR staff members.

Communication of safety procedures, reasons why accidents occurred, and what to do

in an emergency is critical. Common ways to communicate safety ideas include safety
films or videotapes, safety booklets, posters, motivational talks on safety, and articles in
corporate publications. Without effective communication about safety, training is
insufficient. To reinforce safety training, continuous communication to develop safety
consciousness is necessary. Merely sending safety memos is not enough. Producing
newsletters, changing safety posters, continually updating bulletin boards, and posting
safety information in visible areas are also recommended.

Employers may need to communicate in a variety of media and languages. Such efforts
are important to address the special needs of workers who have vision, speech, or
hearing impairments; who are not proficient in English; or who are challenged in other
ways.

2.4. Safety Committees

Employees frequently participate in safety planning through safety committees, often
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composed of workers from a variety of levels and departments. A safety committee

generally meets at regularly scheduled times, has specific responsibilities for
conducting safety reviews, and makes recommendations for changes necessary to avoid
future accidents. A safety committee should foster a sense of ownership by giving
employees an opportunity to directly improve safety and reduce injuries within a
company, while enhancing communication between management and employees.
Therefore, the committee’s members should come from different department at
different levels.

To achieve this, a commitment to safety must become a shared responsibility between

management and employees. Safety committee members are responsible for
developing and reviewing safety procedures and policies, investigating and reviewing
accidents and communicating safety issues or policies to company employees.

Establishing workplace safety committees is one way management can encourage

employees to participate in implementing and monitoring the company’s safety
program. Typical responsibilities of safety committees include:

• Developing safe work practices.

• Crafting written safety programs.

• Leading safety training.

• Conducting workplace inspections and safety audits.

• Reviewing incidents, near misses, accident investigation reports, claim summaries

and loss analyses to prevent reoccurrences of similar incidents.

• Establishing dispute resolution procedures.

• Proposing and creating safety checklists.

• Promoting employees’ interests in health and safety issues.

• Providing a forum in which labor and management can discuss health and safety
issues and collaborate on solutions.

Ultimately the purpose of safety committees is to help reduce the risk of workplace
injuries and illnesses and ensure compliance with federal and state health and safety
regulations.

2.6. Inspection, Investigation, and Evaluation

It is not necessary to wait for a government inspector to check the work area for safety
hazards. Inspections may be done by a safety committee or by a company safety
coordinator regularly. Problem areas should be addressed immediately in order to keep
work productivity at the highest possible levels.

Organizations investigate business upsets because they are required to by law or their
own company standards, or the public or shareholders expect it. But, whatever the
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motivation, the goal is to identify why the incident happened and to take action to
reduce the risk of future incidents.

Identifying why an accident occurred is useful; taking steps to prevent similar accidents
from occurring is even more important. Closely related to accident investigation is
research to determine ways of preventing accidents. Employing safety engineers or
having outside experts evaluate the safety of working conditions may be useful. If many
similar accidents seem to occur in an organizational unit, a safety training program may
be necessary to emphasize safe working practices.

Investigations often find that similar scenarios have occurred previously but, for a
variety of reasons, did not result in serious consequences. This is increasingly
recognized in high-risk industries where "near misses" are also investigated as well as
incidents which actually resulted in loss. A six-step, structured approach to incident
investigation helps to ensure that all the causes are uncovered and addressed by
appropriate actions.

1.
6. Reporting Immediate
Action

5. Corrective 2. Plan the

Actions Investigation

4. Data 3. Data
Analysis Collection

Six Steps of Incident Investigation

Source: Riskworld (2015). Six steps for successful incident investigation.

2.5.1. Step 1 - Immediate action

In the event of an incident, immediate action to be taken may include making the area
safe, preserving the scene and notifying relevant parties. The investigation begins even
at this early stage, by collecting perishable evidence, e.g. CCTV tapes, samples.

2.5.2. Step 2 - Plan the investigation

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Planning ensures that the investigation is systematic and complete. What resources will
be required? Who will be involved? How long will the investigation take? For severe or
complex incidents, an investigation team will be more effective than a single
investigator.

2.5.3. Step 3 - Data collection

Information about the incident is available from numerous sources, not only people
involved or witnesses to the event, but also from equipment, documents and the scene
of the incident.

2.5.4. Step 4 - Data analysis

Typically, an incident is not just a single event, but a chain of events. The sequence of
events needs to be understood before identifying why the incident happened. When
asking why, we need to identify the root and underlying causes, as well as the direct
causes. Failures and mistakes don't just happen by themselves; organizations allow
error-enforcing environments that encourage direct causes to develop and persist. Such
environments, and the basic management failings behind them, are the root causes -
the ultimate source of the incident.

While human error plays a part in the majority of incidents, people are not generally
stupid, lazy, forgetful or willfully negligent. Human errors occur because of influencing
factors associated with the work, the environment, an individual's mental or physical
abilities, the organization and its management systems. Any investigation which sets
out to find someone to blame is misguided.

2.5.5. Step 5 - Corrective actions

Many investigations make the mistake of raising actions which deal only with the direct
causes - a quick fix, putting last-lines-of- defense back in place. By ignoring the root and
underlying causes, not only do they miss an opportunity to reduce the risk of
recurrence of the incident, but they also leave open the possibility that other, dissimilar
incidents may also occur, arising from the same, common root cause.

2.5.6. Step 6 - Reporting

The investigation is concluded when all outstanding issues have been closed out and
the findings have been communicated so that lessons can be shared. Communication
mechanisms include formal incident investigation reports, alerts, presentations and
meeting topics.

2.6. Measuring Safety Efforts

Organizations should monitor and evaluate their safety efforts. Just as organizational
accounting records are audited, a firm’s safety efforts should be audited periodically as
well. Accident and injury statistics should be compared with previous accident patterns
to identify any significant changes. This analysis should be designed to measure
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progress in safety management.

Various safety efforts can be measured. Some common ones are workers’
compensation costs per injury/illness; percentage of injuries/illnesses by department,
work shifts, and job categories; and incident rate comparisons with industry and
benchmark targets. Regardless of the specific measures used, it is critical to be able to
track and evaluate safety management efforts using relevant HR metrics.

Employers in a variety of industries have found that emphasizing health and safety pays
off in a number of ways. Lower employee benefits costs for health care, fewer work-
related accidents, lower workers’ compensation costs, and more productive employees
can all be results of employer efforts to stress health and safety.

3. Employee Health
The terms health, safety, and security are closely related. The broader and somewhat
more nebulous term is health, which refers to general state of physical, mental, and
emotional well-being. A healthy person is free from illness, injury, or mental and
emotional problems that impair normal human activity. Health management practices in
organizations strive to maintain employees’ overall well-being.
Employee health problems are varied—and somewhat inevitable. They can range from
minor illnesses such as colds to serious illnesses related to the jobs performed. Some
employees have emotional health problems; others have alcohol or drug problems. Some
problems are chronic; others are transitory. All may affect organizational operations and
individual employee productivity.
Employers face a variety of workplace health issues. In employee safety, cumulative
trauma injuries and exposure to hazardous chemicals. Other concerns associated with
employee health include substance abuse, emotional/mental health, older workers,
smoking, obesity, and fetal protection.
Employers concerned about maintaining a healthy workforce must move beyond simply
providing healthy working conditions and begin promoting employee health and wellness
in other ways. Health promotion is a supportive approach of facilitating and encouraging
healthy actions and lifestyles among employees. Health promotion efforts can range from
providing information and increasing employee awareness of health issues to creating an
organizational culture supportive of employee health enhancements. Going beyond
simple compliance with workplace safety and health regulations, organizations engage in
health promotion by encouraging employees to make physiological, mental, and social
choices that improve their health.
3.1. Level of Health Promotion
The first level of health promotion (see the Figure) leaves much to individual
initiatives for following through and making changes in actions and behaviors.
Employers provide information on such topics as weight control, stress management,
nutrition, exercise, and smoking cessation. Even though such efforts may be beneficial
for some employees, employers who wish to impact employees’ health must offer
second-level efforts, such as more comprehensive programs and actions that focus on
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the lifestyle “wellness” of employees. The third level requires a commitment to

wellness that is seldom seen in employers.

• Benefits integrated with

• Brochures and materials
• Health risk screenings
• Health tests and
• measurements
• Special events and
classes
• Wellness education • programs
program • Dedicated resources and
• Regular health classes facilities
• Employee assistance • Continuous health
programs promotion
• Support groups • Health education
• Health incentives curriculum

LEVEL 1 LEVEL 2 LEVEL 3

Health Promotion

3.2. Wellness Programs

A wellness program is designed to keep employees healthy. These programs are
varied and may focus on smoking cessation, weight control, stress management,
physical fitness, nutrition education, high blood pressure control, violence protection,
work-team problem intervention, and other issues. Wellness programs can help cut
employer health costs and lower absenteeism and turnover by preventing health-
related problems
In short, wellness programs are designed to maintain or improve employee health
before problems arise by encouraging self-directed lifestyle changes. There are two
types of wellness programs. First there are insurance-based programs (that lower
premiums if employees agree to certain lifestyle changes). Second there are
employer-based programs (in which the employer is truly trying to change the lives of
its employees for the better).
Wellness programs usually focus on prevention of health problems, may be offered by
the organization or even its employees, and are frequently conducted in a group
setting. Such programs can also help employees deal with stress management, job
burnout, violent behavior, and chemical dependency and abuse issues. Wellness
programs can be delivered in a group setting at the company, so confidentiality, while
respected, cannot be guaranteed.
Early wellness programs were aimed primarily at reducing the cost and risk of disease.
Newer programs emphasize healthy lifestyles and environment, including reduced
cholesterol and heart disease risks and individualized exercise programs and follow-
up. Employer-sponsored support groups have been established for individuals dealing
with health issues such as weight loss, nutrition, and smoking cessation. The top-
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rated topics for wellness programs are stress management, exercise/fitness,

screenings/checkups, health insurance education, disease management (heart
disease, diabetes, etc.), nutrition and diet, and smoking cessation.
Online and Web-based wellness programs have grown in popularity. These programs
use information and subtle psychology to motivate people to live healthier lifestyles.
They typically focus on exercise, nutrition, sleep, stress, and life balance.
A well-managed wellness program can have impact on employee recruitment,
engagement, and retention. When employees feel that their employer cares about
them as individuals, they tend to be more productive and to want stay where they are
valued.
3.3. Employee Assistance Programs
One method organizations use as a broad-based response to health issues is an
employee assistance program (EAP), which provides counseling and other help to
employees having emotional, physical, or other personal problems. In such a
program, an employer typically contracts with a counseling agency for the service.
Employees who have problems may then contact the agency, either voluntarily or by
employer referral, for assistance with a broad range of problems. Counseling costs are
paid for by the employer, either in total or up to a pre-established limit.
EAPs commonly provide help with troubled employees, problem identification, short-
term intervention, and referral services. The most common employee issues dealt
with in EAPs are: (1) depression and anxiety, (2) marital and relationship problems, (3)
legal difficulties, and (4) family and children concerns. Other areas commonly
addressed as part of an EAP include substance abuse, financial counseling, and career
advice.
Critical to employee usage of an EAP is preserving confidentiality. For that reason,
employers outsource EAPs to trained professionals, who usually report only the
numbers of employees and services provided, rather than details on individuals using
an EAP. The effectiveness of an EAP depends on how well the employer integrates and
supports it in the workplace. Done well, EAPs can help reduce health care and other
costs.
4. Workplace Violence
Workplace violence includes termination, stalking, threats, inappropriate communication,
verbal harassment, defacing of property, invasion of privacy, and confining or restraining
victims. In general, workplace violence includes:
Threatening behavior – such as shaking fists, destroying property or throwing objects.
Verbal or written threats – any expression of an intent to inflict harm.
Harassment – any behavior that demeans, embarrasses, humiliates, annoys, alarms or
verbally abuses a person and that is known or would be expected to be unwelcome. This
includes words, gestures, intimidation, bullying, or other inappropriate activities.
Verbal abuse – swearing, insults or condescending language.
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Physical attacks – hitting, shoving, pushing or kicking.

4.1. Antecedences of Violence

The formula for violence is: “Stress + Inappropriate responses + Opportunity”.
4.1.1. Stress
Stress often precipitates violence. Factors beyond the employer's control include an
unstable economy, domestic problems, and poor health. Factors the employer can
control are harassment, poor management style, pressure for increased productivity,
and unrealistic job expectations.
4.1.2. Inappropriate responses
People who are at risk of violence tend to be isolated, identify too much with their job,
show a lack of restraint, have a tendency to blame others, have strong biases and
obsessions, and may have a history of violence.
4.1.3. Opportunity
Having a zero tolerance policy for weapons possession will minimize the chances of a
spur-of-the-moment violent act.
4.2. Workplace Violence Context
Workplace violence is violent acts directed at someone at work or on duty. For
example, physical assault, threats, harassment, intimidation, and bullying all qualify.
Workplace violence can occur in four contexts:
4.2.1 Criminal
A crime is committed in conjunction with the violence by a person with no legitimate
relationship with the business (e.g., robbery, shoplifting, trespassing).
4.2.2. Customer
A person with a legitimate relationship with the business becomes violent (e.g.,
patients, students, inmates, customers).
4.2.3. Coworker
A current or past employee attacks or threatens another employee (e.g., contractor,
temp).
4.2.4. Domestic
A person who has no legitimate relationship with a business but has a personal
relationship with the victim commits some form of violence against an employee (e.g.,
family member, boyfriend).
Too often violence that begins at home with family or “friends” can spill over to the
workplace. One in five homicides of women at work is perpetrated by current or
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former husbands or boyfriends. Also, many abused women report being harassed
frequently at work, by telephone or in person, by abusing partners. A reaction by
employers is to ignore obvious signs of domestic violence. In fact, some employers
have been sued and found liable for ignoring pleas for help from employees who later
were victims of domestic violence in company parking lots or on employer premises.
Most workplace homicides were criminal, and only a small number were between
coworkers. Work-related homicides have decreased. Employees in some of these
occupations and others such as nurses routinely receive training on dealing with
violent behaviors.
4.3. Workplace Violence Warning Signs
There are a number of warning signs and characteristics of a potentially violent person
at work. Individuals who have committed the most violent acts have had the relatively
common profile such as verbal threats, blaming others, conflict with others,
intimidation, telephone or email harassment, upset over minor injustices, etc.
A person with some of these signs and characteristics may cope for years until a
trauma pushes that person over the edge. A profound humiliation or rejection, the end
of a marriage, the loss of a lawsuit, termination from a job, or other sources of stress
may make a difficult employee turn violent.
4.4. Workplace Incivility and Bullying
Workplace incivility occurs when rude behavior by ill-mannered coworkers or bosses
makes the targets of incivility feel annoyed, frustrated, or offended. Most do not find
incivility serious enough for formal action. But incivility can escalate into bullying,
which is more likely to require action. Bullying is behavior that the victim perceives as
oppressive, humiliating, threatening, or infringing on the victim’s human rights. Such
behavior must occur over an extended period of time. Bullying, especially by
supervisors, can result in damage to the employee and to the organization and
turnover. Perceptions of organizational support moderate the impact on a person’s
intention to leave an organization due to bullying. This suggests a need for
management attention to the problem through training, policies, and codes of
conduct.
4.5. Dealing with Workplace Violence
The increase in workplace violence has led many employers to develop policies and
practices for trying to prevent and respond to workplace violence. Policies can identify
how workplace violence is to be dealt with in conjunction with disciplinary actions and
referrals to Employee Assistance Programs (EAPs). Training of managers and others is
an important part of successful practice.
One application of these policies is a violence response team. Composed of security
personnel, key managers, HR staff members, and selected employees, this team
functions much like a safety committee, but with a different focus. Such a team
conducts analyses, responds to and investigates employee threats, and may even help
to calm angry, volatile employees. Employers must be careful because they may face
legal action for discrimination if they discharge employees for behaviors that often
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precede violent acts. For example, in several cases, employees who were terminated
or suspended for making threats or even engaging in physical actions against their
coworkers then sued their employers by claiming they had mental disabilities covered
under the domestic laws.
Post-violence response is another part of managing workplace violence. Whether the
violence results in physical injuries or deaths or just intense interpersonal conflicts, it is
important that employers have plans to respond afterward. Their response must
reassure employees who may be fearful of returning to work or who experience
anxiety and sleeplessness, among other reactions. Providing referrals to EAP
resources, allowing employees time to meet with HR staff, and arranging for trained
counselors on-site are all part of post-violence response efforts.
4.6. Violence Prevention
In most workplaces where risk factors can be identified, the risk of assault can be
prevented or minimized if employers take appropriate precautions.

4.6.1. Written Policy

The most important component of any workplace violence prevention program is
management commitment. Management commitment is best communicated in a
written policy.
One of the best protections employers can offer their workers is to establish a zero-
tolerance policy toward workplace violence. This policy should cover all workers,
patients, clients, visitors, contractors, and anyone else who may come in contact with
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company personnel.
By assessing their worksites, employers can identify methods for reducing the
likelihood of incidents occurring. A well-written and implemented workplace violence
prevention program, combined with engineering controls, administrative controls and
training can reduce the incidence of workplace violence in different workplaces.
4.6.2. Workplace Surveillance
Numerous employers have installed video surveillance systems in workplaces. Some
employers use these systems to ensure employee security, such as in parking lots,
garages, and dimly lit exterior areas. Other employers have installed them on retail
sales floors and in production areas, parts and inventory rooms, and lobbies. When
video surveillance is extended into employee restrooms, changing rooms, and other
more private areas, employer rights and employee privacy collide. It is important that
employers develop a video surveillance policy, inform employees about the policy,
perform the surveillance only for legitimate business purposes, and strictly limit those
who view the surveillance results. Because filming can implicate privacy rights,
however, employers must be very careful not to cross the line.
4.6.3. Background check
Many professional institutes recommended that all organizations should implement to
prevent workplace violence. If you fail to do an employment background check on
applicants for certain positions, you could make your organization vulnerable to a
negligent-hiring lawsuit by any worker or customer who’s been hurt by a violent
employee.
4.6.4. Violence Training
The purpose of the training course is to help employees and supervisors better
understand the scope and nature of violence in the workplace. Participants will learn
how to recognize the key elements of a comprehensive workplace violence prevention
program, how organizational systems impact workplace violence, how to apply
individual strategies, and develop skills for preventing and responding to workplace
violence.
4.6.5. No-Weapons Policies
Many employers have "no weapons" policies which are often posted on doors and in
entryways. Weapons are defined to include all devices that are intended to inflict
harm, injury or death to an individual, such as, but are not necessarily limited to,
firearms, knives, throwing devices, chemical and inert sprays or agents, stun guns,
clubs, or types of devices that are designed to discharge some type of projectile, as
well as any other type of device used to inflict injury to another individual, or to
threaten to do so.
4.6.6. Employee Assistance Programs (EAPs)
An Employer Assistance Programs (EAP) is a valuable and viable resource for
employers to utilize to address the issues of violence in the workplace. EAPs are
workplace-based programs that provide services to employers and employees on a
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wide range of issues that can impact an individual and a company’s bottom line.
Losses, both personal and professional, often require confidential and professional
assistance. EAPs have the capacity and experience to intervene with individuals, as
well as to develop preventative infrastructures organization-wide. Many EAPs
already offer violence counseling and education as a part of comprehensive health and
wellness centered portfolios of employer services.
4.6.7. Psychological Assessments
Many employers conducted psychological testing, such as personality assessment, for
pre-screen job applicants who intent to be involved in workplace violence. However,
psychological assessments cannot predict workplace violence precisely according to
many researches.
4.6.8. A Post-incident Review
Post-incident response and evaluation are essential to an effective violence prevention
program. All workplace violence programs should provide comprehensive treatment
for employees who are victimized personally or may be traumatized by witnessing a
workplace violence incident. Injured staff should receive prompt treatment and
psychological evaluation whenever an assault takes place, regardless of its severity.
Provide the injured transportation to medical care if it is not available onsite.
Consequently, a strong follow-up program for these employees will not only help them
to deal with these problems but also help prepare them to confront or prevent future
incidents of violence.
5. Security Management
Workplace security involves the physical and procedural measures used to protect people,
property, and information. The goal of workplace security is to reduce or eliminate the
risks of loss of an organization's assets-both tangible and intangible-from causes and
events not within the normal boundaries of conventional profit/loss activities.
Data security is an ongoing part of any employee experience. So the responsibility
naturally falls to the department tasked with overseeing onboarding, employee training,
company culture and the redress process. HR has to implement data protection policies
and procedures, educate the workforce and provide awareness training. Employees need
to buy into this process from the moment they join the firm. HR needs to turn each new
hire into a convert and ensure that they’re constantly updated with new security
developments. Educating employees about basic threats like phishing scams and password
protocol will also reinforce your security.
Risk assessments are a great way to find out if additional employee training is required.
Work closely with your IT department to identify potential risks with the technology you
are using.
Moreover, a comprehensive approach to security management is needed to address a
wide range of issues, including data security and workplace violence. HR may have
responsibility for security programs or may work closely with IT, security managers or
consultants. Security programs can also include a proprietary or contracted security force.
Whichever type of security force is used, employees need to assist them in security
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efforts.

5.1. Security Audit

In a security audit, HR staffs conduct a comprehensive review of organizational
security. Sometimes called a vulnerability analysis, such an audit uses managers inside
the organization (e.g., the HR manager and the facilities manager) and outsiders (e.g.,
security consultants, police officers, fire officials, and computer security experts) to
assess security issues.
Typically, a security audit begins with a survey of the area around the facility. Such
factors as lighting in parking lots, traffic flow, location of emergency response
services, crime in the surrounding neighborhood, and the layout of the buildings and
grounds are evaluated. The audit also may include a review of the security available
within the firm, including the capabilities of guards. Another part of the security audit
reviews disaster plans, which address how to deal with events such as earthquakes,
floods, tornadoes, hurricanes, and fires.
5.2. Controlled Access
A key part of security involves controlling access to the physical facilities of the
organization. Many workplace homicides occur during robberies. Therefore,
employees who are most vulnerable, such as taxi drivers and convenience store
clerks, can be provided bulletproof partitions and restricted access areas.
Many organizations limit access to facilities and work areas by using electronic access
or keycard systems. Although not foolproof, these systems can make it more difficult
for an unauthorized person, such as an estranged spouse or a disgruntled ex-
employee, to enter the premises. Access controls also can be used in elevators and
stairwells to prevent unauthorized persons from entering designated areas within a
facility.
Controlling computer access may be an important part of securing IT resources.
Coordination with information technology resources to change passwords, access
codes, and otherwise protect company information may be important.
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Also, HR should protect sensitive personal information by ensuring that CVs and other
personal candidate information is only accessible to those individuals directly involved
in the recruitment process.
5.3. Violence Training
Research has shown that most breaches of cyber security (or cyber-crimes) are staff
related, resulting from employees’ inadvertent use of technology, through either not
understanding risks, mistakes or lack of compliance with organizational policies. While
recognizing the technical complexities involved in combatting cyber-crime, and the
need to work closely with IT as well as security professionals, HR has a pivotal role to
play in ensuring an organization’s systems along with its policies for monitoring and
protecting against cyber crime are consistent.
Managers, HR staff members, supervisors, and employees should be trained on how
to recognize the signs of a potentially violent employee and what to do when violence
occurs. During training at many firms, participants learn the typical profile of
potentially violent employees and are trained to notify the HR department and to
refer employees to outside counseling professionals. Such training requires observers
to notice verbal and nonverbal reactions by individuals that may indicate anger or
hostility, and to listen to individuals exhibiting such reactions.
5.4. Employment Screening
A key facet of providing security is screening job applicants. HR management is
somewhat limited by legal constraints on what can be done, particularly regarding the
use of psychological tests and checking of references. However, firms that do not
screen employees adequately may be subject to liability if an employee commits
crimes later. For instance, an individual with a criminal record for assault was hired by
a firm to maintain sound equipment in clients’ homes. The employee used a passkey
to enter a home and assaulted the owner; consequently, the employer was ruled
liable for not doing an adequate background check. Of course, when selecting
employees, employers must be careful to use only valid, job-related screening means
and to avoid violating local labor laws.
5.5. Security Personnel
Providing adequately trained security personnel in sufficient numbers is a critical part
of security management. Many employers contract for these personnel with firms
specializing in security. If security is handled in-house, security personnel must be
selected and trained to handle a variety of workplace security problems, ranging from
dealing with violent behavior by an employee to taking charge in natural disasters.
However, a significant threat to an organization’s systems is that posed by disgruntled
employees deliberately attacking it or stealing information and passing it to other
parties. Yet HR in conjunction with management could reduce this risk in a number of
ways according to the Chartered Institute of Personnel and Development (CIPD),
including:

• Considering whether it is wise for an employee to work their notice. Other

options may be more sensible such as placing them on garden leave, making a
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payment in lieu of notice (subject to contractual provisions);

• Observing the behavior of employees who may be leaving your business or who
have served notice – are they working unusual hours, coming in early or leaving
late?

• Looking out for the appearance of USB sticks or portable hard drive devices
when the practice is to access all information online through the organization’s
systems;

• Looking out for any employees asking for information that they are not
authorized to access or asking for information they would not usually need to
access for the performance of their duties.
6. Workplace Privacy
Privacy is the word we give to being able to keep certain information to ourselves and to
control what happens to our personal information. It also refers to being able to do things
without interference by others. Personal information can be sensitive in nature such as
information about a person's race, ethnicity, political opinions, membership of political
associations, membership of professional associations and trade unions, religious or
philosophical beliefs, sexual preferences, health and genetic information or criminal
records.
Employers will have access to personal information about employees. This information
may be sensitive and employees may wish to keep this information private. This means
that employers will need to think about the way in which they collect, use and disclose
information they obtain from employees.
Many applicable privacy laws only apply to employee personal information if the
information is used for something that is not directly related to the employment
relationship between the employer and the employee. Nonetheless, best practice
employers think carefully about any personal information that they have about their
employees and treat that information in accordance with the privacy laws.
It is good privacy practice for employers to tell employees when they collect their personal
information. In doing so, the employer could tell the employee why they are collecting the
information and who the employer might pass that information on to. Best practice
employers allow employees to access personal information about themselves which is held
by their employer. Employees should also be able to have that information corrected or
verified if it is incorrect, out of date or incomplete. There are several areas of HR in which
privacy rights are established.
6.1. Privacy Issues
6.1.1. Employment Records
Employees generally have a right to privacy in their personnel records, except in a few
specific circumstances. That means employers are generally not permitted to disclose
personnel records to third parties without a legal obligation to do so or the
employee’s permission. The right can be found in state statutes, codes, or by judicial
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case law. Also, employees in most states have the right to request access to their
personnel files upon proper notice.
6.1.2. Personal Identity
With the increase in identity theft, various statutory laws have been enacted to
protect the privacy of social security numbers. For example, many countries expressly
limit and/or prohibit the use of all or part of social security numbers as computer
passwords or employee ID numbers. Some states also limit whether and to what
extent social security numbers can be used on itemized wage statements. There also
are many country or state laws that require extensive disclosures by employers in the
event a company suspects that certain kinds of personal information about
employees or belonging to them may have been compromised.
6.1.3. Employee Monitoring
There are extensive anti-eavesdropping laws that prohibit tapping into or listening to
telephone conversations, voicemail systems, and electronic communications systems.
For example, some countries have civil and criminal statutes that require both parties
to a telephone conversation to consent to being recorded or listened to, while other
states require that only one party consent. Surveillance by camera is also subject to
various legal requirements regarding notice and disclosure to employees.
6.1.4. Medical Records
Many different federal and state laws protect the privacy of employee medical
information and require various disclosures about how the information is maintained,
who has access to it, and how it may be used. Medical information about an
employee must be kept separate from other employee records and access to it is
severely restricted. The information is expected to be kept confidential between the
company and the employee.
6.1.5. Drug Testing
Employers who conduct drug testing are required to maintain the confidentiality of
the test.
6.1.6. Background checking
Employers who require background checks as part of the hiring or employment
process are required to maintain the confidentiality of the background information
received. There are many laws that restrict the type of background information (such
as criminal history, finances, bankruptcy, etc.) that an employer can inquire into, as
well as how far back in time an employer is allowed to look. Included in these laws are
various requirements to obtain consent to get the information and disclosures to the
employee about how the information will be and ultimately is used. And there are
additional notice requirements if the information is used to make an adverse
employment decision.
There are also certain kinds of employee information that an employer is required to
keep confidential, but which employees may have the right to disclose and discuss.
For example, under some labor laws, employees have the right to engage in
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concerted, protected activities. And that right applies regardless of whether the
employees are unionized. If an employee felt he or she was unfairly paid and got
together with other employees to discuss their compensation, it could be an unfair
labor practice under the laws to take action against the employees for disclosing or
discussing wage information, or their terms and conditions of employment.
Some countries also have statutes that make it illegal for employers to prohibit
employees from discussing information that the employer is required to maintain as
private and confidential. For example, the California in the U.S. has labor code
sections that make it illegal for employers to prohibit employees from discussing or
disclosing their wages or working conditions, or to take action against them for doing
so.
As you can see, employers need to be well versed in a multitude of applicable laws
regarding privacy. Human resources and legal professionals can help identify the laws
that apply to you, and help you draft policies that meet your specific business needs.
Be sure to work with your own experts so that customized solutions can be designed
and implemented.
6.2. Privacy Principles
No matter how sensitively the organization gathers information leading to disciplinary
actions, it should also consider privacy issues when deciding who will see the
information. In general, it is advisable to share the information only with people who
have a business need to see it—for example, the employee’s supervisor, union
officials, and in some cases, co-workers. Letting outsiders know the reasons for
terminating an employee can embarrass the employee, who might file a defamation
lawsuit.
HR professionals can help organizations avoid such lawsuits by working with managers
to determine fact-based explanations and to decide who needs to see these
explanations. There are some general principle for protecting employees’ privacy as
follows:

• Ensure that information is relevant.

• Publicize information-gathering policies and consequences.

• Request consent before gathering information.

• Treat employees consistently.

• Conduct searches discreetly.

• Share information only with those who need it.

7. Emergency Action Plans
A workplace emergency is an unforeseen event or situation that threatens the safety of a
company's employees, customers, or the public. A workplace emergency may cause
physical or environmental damage, and may disrupt business. Emergencies may be natural
disasters, criminal based, or accidental by nature.
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According to Occupational Safety and Health Administration (OSHA) in the U.S., every
workplace must have a formal emergency evacuation plan that can be implemented in
cases of fires or other disasters. Such a document should include specifications for alarm
systems, detailed evacuation maps, emergency lighting and a training plan that ensures
that all employees are familiar with and are able to play their part in an emergency
evacuation. Once employees are properly informed and trained, emergency drills should
be carried out, allowing for evaluation of the effectiveness of the plan and the
accompanying staff training program.
Following are examples from the General Industry Standards for emergency action plans:

Reed, S.M. (2017). A Guide to the Human Resource Body of Knowledge (HRBoK). Hoboken,
New Jersey: John Wiley & Son.

7.1. Written and oral plans

An emergency action plan must be in writing, kept in the workplace, and available to
employees for review. However, an employer with 10 or fewer employees may
communicate the plan orally to employees.
7.2. Minimum elements
An emergency action plan must include at a minimum:

• Procedures for reporting a fire or other emergency;

• Procedures for emergency evacuation, including type of evacuation and exit

route assignments;

• Procedures to be followed by employees who remain to operate critical plant

operations before they evacuate;
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• Procedures to account for all employees after evacuation;

• Procedures to be followed by employees performing rescue or medical duties;

and

• The name or job title of every employee who may be contacted by employees
who need more information about the plan or an explanation of their duties
under the plan.
7.3. Employee alarm system
An employer must have and maintain an employee alarm system. The employee
alarm system must use a distinctive signal for each purpose.
7.4. Training
An employer must designate and train employees to assist in a safe and orderly
evacuation of other employees.
7.5. Review the plan.
An employer must review the emergency action plan with each employee covered by
the plan:

• When the plan is developed or the employee is assigned initially to a job;

• When the employee's responsibilities under the plan change; and

• When the plan is changed

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