1 / 22

PREVENTIVE LAW WORKSHOP

PREVENTIVE LAW WORKSHOP. Investigating Employee Misconduct Mary Elizabeth Kurz, Vice Chancellor and General Counsel Dianne Sortini, Director, Employee Relations &Training N.C. State University 14 November 2001. Importance of Developing Investigative Skills. Defend supervisory judgments

colby
Download Presentation

PREVENTIVE LAW WORKSHOP

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. 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

  2. Importance of Developing Investigative Skills • Defend supervisory judgments • Comply with contractual obligations/policy • Comply with legal requirements • Avoid potential legal liability • Treat employees fairly

  3. 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

  4. 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?

  5. Objectives of Today’s Workshop • Acquaint you with the basics of good investigation techniques • Provide basic information on who to contact for assistance

  6. Is an Internal Investigation Necessary?

  7. Is an investigation necessary? • Anonymous complaints • He said/She said • Observed behavior/No complaining party

  8. 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.

  9. 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.

  10. Investigative Plan (cont’d) • Determine what questions you will ask. • Anticipate questions you may be asked. • Develop introductory and closing statement for your interviews.

  11. 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

  12. 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

  13. 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

  14. 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

  15. 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

  16. 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.

  17. Reaching a Decision • Examine objective facts in chronological order • Timeliness in raising the issue • Pattern and Practice • Motivation • Truthfulness

  18. Assessing Credibility • Demeanor • Logic/consistency of story • Conflicting statements • Corroborating evidence • Circumstantial evidence

  19. 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.

  20. Writing the Investigative Report • Investigative background • University policies, practices, etc. at issue • Key factual findings on each issue • Analysis of key factual findings • Conclusion

  21. Hypothetical Case

  22. Questions

More Related