Finding the Facts - Disciplinary and Harassment Investigation

T ABLE OF C ONTENTS

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S ECTION 1 Introduction ...................................................................................................................................................................8

S ECTION 2 When Should an Investigation Be Conducted? .............................................................................................................8 A. When There is a Possible Violation of a Standard of Conduct .......................................................................8 B. When There is Alleged or Suspected Discrimination OR Harassment ...........................................................9 1. Practice Pointers to Recognize the Triggering Duty to Investigate........................................................10 2. What if the Complainant Does Not Want an Investigation? ..................................................................10 3. When Should the Investigation Begin? ..................................................................................................11 C. Before the Investigation Begins ....................................................................................................................12 1. Follow the District’s Investigation Procedure ........................................................................................12 2. Document the Complaint .......................................................................................................................16 3. Review the Allegations: What Type of Discrimination or Harassment?...............................................17 S ECTION 4 Who Should Be Assigned to Conduct the Administrative Investigation? ...................................................................20 A. Selecting the Right Person for the Job ..........................................................................................................20 1. Credibility, Rank and Experience ..........................................................................................................21 2. Personality, Demeanor and Character ....................................................................................................22 3. Impartiality.............................................................................................................................................22 4. Harassment Investigations: Accountability, Continuity and Experience ...............................................23 5. Report-Writing Ability...........................................................................................................................23 B. When to Use an Outside Investigator ............................................................................................................23 C. Investigator Determines the Facts .................................................................................................................23 D. Using an Attorney to Conduct an Investigation ............................................................................................24 E. Using an Attorney to Direct a Third Party Investigation...............................................................................25 F. Must an Outside Investigator Be a Licensed Private Investigator? ...............................................................25 S ECTION 5 Beginning the Investigation .........................................................................................................................................26 A. Preliminary Issues to Consider Prior to Starting the Investigation................................................................26 B. When Do You Advise the Employee That He/She is the Subject of the Investigation? ...............................28 C. What if the Subject Matter of the Investigation Relates to Criminal as Well as Administrative Misconduct? .........................................................................................................................28 D. Have a Good General Knowledge of District Policy Regarding the Conduct Alleged .................................31 S ECTION 6 Gathering the Facts......................................................................................................................................................32 A. Create a Binder..............................................................................................................................................33 B. Background Documents ................................................................................................................................34 1. Personnel Files .......................................................................................................................................34 2. Prior Complaints ....................................................................................................................................34 C. Documentary and Physical Evidence ............................................................................................................35 D. Interviews ......................................................................................................................................................35 1. Goals of the Interviews ..........................................................................................................................35 2. Preparation for the Interviews ................................................................................................................36 3. Interview Protocol..................................................................................................................................43 S ECTION 3 What Standard Does an Investigation Have to Meet? .................................................................................................19

Disciplinary and Harassment Investigations ©2019 (e) Liebert Cassidy Whitmore iv