Internal investigations decision making essential elements
This presentation is the property of its rightful owner.
Sponsored Links
1 / 19

Internal Investigations & Decision-Making: Essential Elements PowerPoint PPT Presentation


  • 75 Views
  • Uploaded on
  • Presentation posted in: General

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.

Download Presentation

Internal Investigations & Decision-Making: Essential Elements

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.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.


- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -

Presentation Transcript


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

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


When should you investigate

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


Are you ready

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


Are you ready contd

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


Who will be the investigator

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


Other things to think about before beginning

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


Placing an employee on leave

Placing an Employee on Leave

  • Administrative Leave With Pay

  • Administrative Leave Without Pay

Education Compliance Group, Inc. www.educationcompliancegroup.com 888.604.6141


Placing an employee on leave1

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


Have a documented process

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


Establish an interview plan modify update as needed

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


Establish an interview plan contd

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


Actions during investigation

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


Interviewing students

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


Interviews

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


And also

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


Special considerations

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


Analysis and conclusion

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


Education compliance group inc

Education Compliance Group, Inc.

PO Box 221

Lafayette, CO 80026

888.604.6141

www.educationcompliancegroup.com


  • Login