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Internal Investigations & Decision-Making: Essential Elements

Internal Investigations & Decision-Making: Essential Elements. Education Compliance Group, Inc. P.O. Box 221 Lafayette, CO  80026 (888) 604-6141 www.educationcompliancegroup.com. Investigation readiness.

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Internal Investigations & Decision-Making: Essential Elements

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  1. Internal Investigations & Decision-Making:Essential Elements • Education Compliance Group, Inc. • P.O. Box 221 • Lafayette, CO  80026 • (888) 604-6141 • www.educationcompliancegroup.com

  2. Investigation readiness • Are your processes and documentation in good shape if your department – or a member of your department – is the subject of investigation? Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  3. When should you investigate? • Make a decision to do something. • Federal or state law, or your own policy, may require investigation. • Civil rights laws • Health and safety laws • Drug-free workplace • Background checks • Bus stop issues • Allegations of conduct violations, behavior issues • Contract bidding disputes • Wage & hours issues • Money matters • Policy or prior exceptions demonstrate weakness • Calls from a gov’t agency Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  4. Are you ready? • Critical thinking • What is the point? • Who needs to be involved? • What documents must be gathered? • Critical questioning • Determine key questions to be asked • Don’t assume anything • Focus: What did witness see, hear, touch, smell, feel • Facts: What does the witness “know” v. what the witness thinks he knows Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  5. Are you ready, contd.? • Critical listening • Plan to listen • Don’t interrupt • Focus on facts • Do you have enough facts? • OCR standard • Employee matters • Where does mediation fit in? • What are you going to investigate? Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  6. Who will be the investigator? • HR • Outside consultant • Law enforcement personnel • Your role? • Issues related to coordination between schooldistrict and contractor Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  7. Other things to think about before beginning • Does the concern involve a “biggie”? • What is the relationship to criminal law? • Standard of proof • Use of bus surveillance videos • Policy issues • State of the law • Preserving documents • Keep an open mind Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  8. Placing an Employee on Leave • Administrative Leave With Pay • Administrative Leave Without Pay Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  9. Placing an Employee on Leave Factors to Consider: • Would their presence negatively impact the investigation? • Nature of charges requires the employee to not be in the workplace • The employee is emotionally and/or physically unable to be at work • Enhance ability to protect and preserve evidence Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  10. Have a documented process • Keep an investigation file • Log of investigator’s actions and calls, by date • All communications to and from witnesses • All interview notes, and draft and final witness statements • All complaints • All documents that establish or refute the issues • Relevant physical evidence • Investigator’s report, if any • Documents reflecting notification of results and remedial actions Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  11. Establish an interview plan.Modify & update as needed. • Scope • Who should be interviewed? • Timeline and order of events • Be conscious of availability of witnesses • Documents • Determine and collect all applicable documents prior to interviews Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  12. Establish an interview plan, contd. • Taking and keeping records • Monitoring • Briefing educators and others • Retaliation concerns • Security issues • Communication with others • Minimizing risk of harm in the interim • Confidentiality • Follow-up Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  13. Actions during investigation • Using methods to separate people involved • Concerns about violence/physical harassment • Security of internal information • Document preservation • Changing reporting structures • Contacting school district/ company attorney • Communication with other employees Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  14. Interviewing Students • Who should speak with students? • How many student witnesses are enough? • Recording student statements Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  15. Interviews • Plan questions – who, what, when, where, how • Exactly what happened? • When did it happen? • Where did it happen? • Who was involved, or otherwise present? • Who else may have relevant information? • How did it happen? • In what order? • Why did it happen? • Who is to blame? • Could it have been avoided? • Was this an isolated event , or a pattern? • What impact has it had? • With whom has it been discussed? • Are there documents or things? Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  16. And also. . . • Instill confidence in the system. Make the point that this will not be a haphazard process, but will proceed in an organized way, according to plan • Consider two approaches: • Proceed chronologically in a way that tracks the conduct of the accused and the victim (where applicable) relative to the time period before, during, and after the alleged act of misconduct. • Alternatively, focus on “key events” that may pinpoint the alleged misconduct. Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141

  17. Special considerations • Interviews of students • Interviews of employees • Interviewing the accused • Interviewing the complainant • Formatting questions • Collection and maintenance of documents and artifacts Education Compliance Group, Inc. www.educationcompliancegroup.com 303.604.6141

  18. Analysis and conclusion • Resolving conflicts • Making factual findings • Conclusions • Recommendations • Communication of analysis and findings • Risks Education Compliance Group, Inc. www.educationcompliancegroup.com 303.604.6141

  19. Education Compliance Group, Inc. PO Box 221 Lafayette, CO 80026 888.604.6141 www.educationcompliancegroup.com

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