ADDRESSING CLAIMS OF MISCONDUCT

Related Policy – Misconduct

About This Procedure

University Procedure

Assessing reports

The Office of Human Resources (or other designated administrator or deliberative group) receives reports of real or suspected misconduct. The Office of Human Resources or designee will determine if the claim best fits with investigative procedures related to this policy or if there is another appropriate procedure that should be utilized to address the report.

If there is an any imminent danger or threat, the Office of Human Resources or anyone else receiving a report should immediately notification law enforce and the university Campus Safety and Emergency Management office.

Responding to reports of misconduct

1. The Office of Human Resources, designee, or anyone else receiving a report should gather the following:
   1. Name of complainant
   2. Misconduct details

1. Description of alleged violation or concern
2. Dates and locations (if applicable) of the alleged violation or conduct

• Law or policy that was violated

1. Name of person(s) alleged to have planned, participated in, known about, or potentially know about the alleged violation or conduct

1. The Office of Human Resources or designee will perform an initial investigation to evaluate the validity of the claim
   1. If further investigation is warranted, the Office of Human Resources will open a formal investigation
   2. If it is determined that an investigation is not warranted, the Office of Human Resources will communicate to the reporter how the conclusion was reached and close the inquiry.

Investigating misconduct claims

Investigations

• The Office of Human Resources or designee will determine who will investigate the claim. This may we the Office of Human Resources
• The designated investigator creates an investigation plan, which includes:

1. the scope and objective of the investigation;
2. identification of the particular law(s) or University policy(s) that are alleged to have been violated;
3. the names of the individuals who would be interviewed;
4. the approach to be used for the interviews (e.g., interviewer, how they will be scheduled, where they will occur, sequencing of the interviews);
5. list of support documentation to be requested; and
6. the schedule or timeline for the investigation. A typical investigation should be concluded within 60 days of receiving the matter.

• The investigator conducts the investigation (see Appendix: Best Practice for Conducting Interviews).

1. Schedule interviews
2. Conduct interviews
3. Document interviews
4. Gather additional documentation
5. Summarize the information collected from interviews and other sources

Adjudicating misconduct claims

1. Investigator reviews all information to determine whether or not the allegations are substantiated.
2. Investigation determination
   1. If the allegations are substantiated, the investigator will:
      1. Consult with the employee’s manager and other university community members
      2. Determine corrective measures to be taken after consulting with university counsel, university senior leadership, university community members, or university regents, as appropriate

• Identify who will take the corrective measures and what the timeline will be.

1. Work with the Office of Human Resources and appropriate university leadership about what monitoring actions, if any, are needed

1. If the allegations are not substantiated, the investigator will notify the complaint, and relevant university parties how the conclusion was reached and close the inquiry.

3. The investigator will work with the Office of Human Resources to provide a report summary for notification and for archival purposes.
4. The investigator will submit all supporting documents and evidence used in the investigation to the Office of Human Resources for archival purposes.

The Office of Human Resources or designee will notify all relevant parties about the determination, as appropriate.