Finding the Facts - Disciplinary and Harassment Investigation

T ABLE OF C ONTENTS

8-20 E

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 ...........................................................8 1. Practice Pointers to Recognize the Triggering Duty to Investigate..........................................................8 2. What if the Complainant Does Not Want an Investigation? ....................................................................9 3. When Should the Investigation Begin? ....................................................................................................9 C. Before the Investigation Begins ....................................................................................................................10 1. Follow the District’s Investigation Procedure ........................................................................................10 2. Document the Complaint .......................................................................................................................15 3. Review the Allegations: What Type of Discrimination or Harassment?...............................................15 S ECTION 4 Who Should Be Assigned to Conduct the Administrative Investigation? ...................................................................19 A. Selecting the Right Person for the Job ..........................................................................................................19 1. Credibility, Rank and Experience ..........................................................................................................20 2. Personality, Demeanor and Character ....................................................................................................21 3. Impartiality.............................................................................................................................................21 4. Harassment Investigations: Accountability, Continuity and Experience ...............................................21 5. Report-Writing Ability...........................................................................................................................22 B. When to Use an Outside Investigator ............................................................................................................22 C. Investigator Determines the Facts .................................................................................................................22 D. Using an Attorney to Conduct an Investigation ............................................................................................22 E. Using an Attorney to Direct a Third Party Investigation...............................................................................23 F. Must an Outside Investigator Be a Licensed Private Investigator? ...............................................................24 S ECTION 5 Beginning the Investigation .........................................................................................................................................25 A. Preliminary Issues to Consider Prior to Starting the Investigation................................................................25 B. When Do You Advise the Employee That He/She is the Subject of the Investigation? ...............................26 C. What if the Subject Matter of the Investigation Relates to Criminal as Well as Administrative Misconduct? 27 D. Have a Good General Knowledge of District Policy Regarding the Conduct Alleged .................................30 S ECTION 6 Gathering the Facts......................................................................................................................................................31 A. Create a Binder..............................................................................................................................................32 B. Background Documents ................................................................................................................................32 1. Personnel Files .......................................................................................................................................32 2. Prior Complaints ....................................................................................................................................33 C. Documentary and Physical Evidence ............................................................................................................33 D. Interviews ......................................................................................................................................................34 1. Goals of the Interviews ..........................................................................................................................34 2. Preparation for the Interviews ................................................................................................................34 3. Interview Protocol..................................................................................................................................42 S ECTION 3 What Standard Does an Investigation Have to Meet? .................................................................................................18

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