Disciplinary and Harassment Investigations

T ABLE OF C ONTENTS

8-20 S

S ECTION 1 Introduction ...................................................................................................................................................................6

S ECTION 2 When Should an Investigation Be Conducted? .............................................................................................................6 A. When There is a Possible Violation of a Standard of Conduct .......................................................................6 B. When There is Alleged or Suspected Discrimination OR Harassment ...........................................................7 1. Practice Pointers to Recognize the Triggering Duty to Investigate..........................................................8 2. What if the Complainant Does Not Want an Investigation? ....................................................................8 3. When Should the Investigation Begin? ....................................................................................................8 C. Before the Investigation Begins ....................................................................................................................10 1. Follow the Agency’s Investigation Procedure .......................................................................................10 2. Document the Complaint .......................................................................................................................11 3. Review the Allegations: What Type of Discrimination or Harassment?...............................................11 S ECTION 4 Who Should Be Assigned to Conduct the Administrative Investigation? ...................................................................15 A. Selecting the Right Person for the Job ..........................................................................................................15 1. Credibility, Rank and Experience ..........................................................................................................17 2. Personality, Demeanor and Character ....................................................................................................17 3. Impartiality.............................................................................................................................................18 4. Harassment Investigations: Accountability, Continuity and Experience ...............................................18 5. Report-Writing Ability...........................................................................................................................18 B. When to Use an Outside Investigator ............................................................................................................18 C. Investigator Determines the Facts .................................................................................................................19 D. Using an Attorney to Conduct an Investigation ............................................................................................19 E. Using an Attorney to Direct a Third Party Investigation...............................................................................20 F. Must an Outside Investigator Be a Licensed Private Investigator? ...............................................................20 S ECTION 5 Beginning the Investigation .........................................................................................................................................21 A. Preliminary Issues to Consider Prior to Starting the Investigation................................................................21 B. When Do You Advise the Employee That He/She is the Subject of the Investigation? ...............................23 C. What if the Subject Matter of the Investigation Relates to Criminal as Well as Administrative Misconduct? 23 D. Have a Good General Knowledge of Agency Policy Regarding the Conduct Alleged .................................26 S ECTION 6 Gathering the Facts......................................................................................................................................................27 A. Create a Binder..............................................................................................................................................28 B. Background Documents ................................................................................................................................28 1. Personnel Files .......................................................................................................................................28 2. Prior Complaints ....................................................................................................................................29 C. Documentary and Physical Evidence ............................................................................................................29 D. Interviews ......................................................................................................................................................30 1. Goals of the Interviews ..........................................................................................................................30 2. Preparation for the Interviews ................................................................................................................30 3. Interview Protocol..................................................................................................................................38 S ECTION 3 What Standard Does an Investigation Have to Meet? .................................................................................................14

Disciplinary and Harassment Investigations ©2020 (s) Liebert Cassidy Whitmore iv