preventive law workshop investigating employee misconduct mary elizabeth kurz, vice chancellor and...
TRANSCRIPT
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PREVENTIVE LAW WORKSHOP
Investigating Employee Misconduct
Mary Elizabeth Kurz, Vice Chancellor and General CounselDianne Sortini, Director, Employee Relations &Training
N.C. State University
14 November 2001
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Importance of Developing Investigative Skills
Defend supervisory judgments Comply with contractual obligations/policy Comply with legal requirements Avoid potential legal liability Treat employees fairly
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Potential Legal Claims
Negligence Invasion of Privacy Intentional Infliction of Emotional Distress Defamation Wrongful Discharge Violation of Civil Rights Laws Violation of Constitution Rights Breach of Contract
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When Faced With An AllegationWhat Questions First Arise in Your Mind? What responsibility do I have? What type of liability am I faced with if I
act or don’t act? How do I handle this correctly? How do I investigate this matter? Who can I go to for assistance?
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Objectives of Today’s Workshop
Acquaint you with the basics of good investigation techniques
Provide basic information on who to contact for assistance
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Is an Internal Investigation Necessary?
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Is an investigation necessary?
Anonymous complaints He said/She said Observed behavior/No complaining party
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Who Investigates?
Determine the nature of an issue before initiating an informal investigation.
Determine what the university’s objective is with respect to resolving the issue.
Decide who should be a part of the investigative team.
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Investigative Plan
Determine what policies, regulations, rules, procedures, or practices apply to the matter.
Obtain all relevant documents. Determine who should be interviewed and
in what order.
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Investigative Plan (cont’d)
Determine what questions you will ask. Anticipate questions you may be asked. Develop introductory and closing statement
for your interviews.
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Conducting an Effective Interview
Initial meeting with complaining party Perception of your fairness and objectivity Gathering the evidence Who,What, When, Where, Why, How Chronological Account Names of persons to interview Copies of relevant documents Concluding the interview
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Closing Statement
What are next steps Non-retaliation Confidentiality Witness statement Additional information (documents, witnesses,
other information remembered after interview) Suggestions for resolution/Univ. decision
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Introductory Statement
Nature of Investigation/University’s responsibility to investigate
Neutrality Confidentiality Non-retaliation, importance of truthful
responses Request for lawyer/other person to be present
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Meeting with the Accused Party
Explain the issue Get a detailed account of the events
(chronological) Gathering the evidence Denial of accusations/or won’t participate Concluding the interview Note taking
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Interviewing Witnesses
Introductory statement(what you are investigating, etc.
Neutrality/ no conclusions reached Witness co-operation (truthful information) Non-retaliation, confidentiality Questioning the witness Closing the interview
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Before Closing the Interview
Review the witnesses answers to confirm accuracy.
Invite the witness to provide any additional information if it comes to mind.
Relate the seriousness of the investigation. Remind the witness of the confidentiality of
the investigation. Your follow-up memo.
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Reaching a Decision
Examine objective facts in chronological order
Timeliness in raising the issue Pattern and Practice Motivation Truthfulness
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Assessing Credibility
Demeanor Logic/consistency of story Conflicting statements Corroborating evidence Circumstantial evidence
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Documentation of Investigation
Create separate investigative file. Make log of investigator’s actions, calls by date. Keep contemporaneous and final interview notes for
each witness. (succinct and objective facts; not feelings, beliefs or assumptions)
Keep all communications to and from witnesses, including complainant(s).
Keep all draft and final witness statements. Keep all relevant business records.
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Writing the Investigative Report
Investigative background University policies, practices, etc. at issue Key factual findings on each issue Analysis of key factual findings Conclusion
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Hypothetical Case
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Questions