5 minute read
6 Steps to Effectively Document Investigations
by taspa
Conducted by School Districts
Having efficient and clear guidelines on how to conduct investigations is paramount to the reliability and integrity of the investigation findings and outcome.
These 6 steps will help you improve your complaint investigation process and make sure you are gathering and documenting every step of the way. Below is a summary of the suggested steps you should take:
STEP #1: RECEIVING A COMPLAINT
Before you are bogged down by policy, you must first consider if any part of the complaint requires immediate action, if so:
• Contact 911 if an immediate threat to health or safety is presented.
• Contact TDFPS (CPS)/law enforcement as soon as possible if abuse and/or neglect is suspected.
• Contact law enforcement if criminal activity is suspected.
• Contact HR/Safety and Security if technology
BY CHAD TIMMONS
“hold” is needed on an employee’s technology accounts or if the accounts require a search (need to be frozen to preserve evidence).
• Contact Safety and Security if audio/video recordings need to be preserved.
• Identify necessary resources and contacts within the District.
• Avoid contact between complainant and alleged perpetrator.
If none of the above apply, determine if the complaint requires an investigation or if it can be resolved through informal resolution. Here is a nonexclusive list of issues/allegations that should raise an immediate red flag that an investigation should follow:
• Complaints about discrimination, harassment, and retaliation
• Serious misconduct
• Suspected mistreatment, abuse and/or neglect of students
• Violations of law
• Misuse or abuse of alcohol, drugs, and/or other prohibited substance(s)
• Violations of District policy
• Misappropriation of District funds/property
• Any case deemed necessary by the appropriate administrator receiving the grievance.
While it is not always possible, consider if you can separate complainant, accused, and witnesses. Sometimes taking interim action like placing a party on administrative leave is necessary to avoid further damage. If separating the parties is not possible, issue directives to relevant parties not to discuss the incident subject to the investigation. Notify parents, if appropriate. Write down pertinent facts as they occur or are reported.
Sometimes complaints contain various issues that fall under different investigatory policies. Refer to the District Board Policies and separate each issue by policy.
STEP #2 – MAKE AN INVESTIGATION PLAN, QUICKLY!
It is crucial that you create a plan outlining the issue(s), the potential violations, and identify all the witnesses and parties that may have relevant knowledge about the situation. The faster you get through this process, the sooner you can begin interviewing witnesses and the least likely people are to forget key information and details.
It is important to mention that you should create a confidential folder or file where you keep records of the investigation to maintain the integrity of the investigation.
STEP #3 CONDUCTING THE INVESTIGATION
Now that you have identified the correct policy and made an investigation plan, it is now time to begin the investigation! Begin by contacting the complainant, accused, and witnesses, and inform them of the complaint/ violation being investigated and set up interviews. If possible, you should also solicit their written statements.
Although this is a serious investigation, you may be more successful receiving details from the parties if you frame the interview as an opportunity for the parties to provide their side of the story. A successful interviewer will typically:
• Stay neutral, nonjudgmental
• Review their understanding of the story
• Ask one question at a time
• Ask multiple versions of the hard questions
• Ask the hard questions towards the end
• Ask open-ended questions Do not walk into the interview with any party with a preconceived notion of what the party is going to say.
If possible, record interviews and request records from all parties supporting their statements. Review all information provided by all parties and make note of the reliability. Make appropriate arrangements if it will be necessary to look through an employee’s email, computer, hard drive, and other electronic devices.
STEP #4 DOCUMENTING THE INVESTIGATION
Conducting the investigation is only half of the work – to have a reliable investigation and outcome, it is the investigator’s job to properly document every step of the investigation, the findings, and rationale for any actions.
Here is a quick reference to best practices when documenting an investigation:
• Email: Create a folder for conversations for each individual and print out sensitive emails.
• A face-to-face or telephone meeting:
◦ Immediately write down what was discussed.
◦ Send an email after the conversation documenting what you discussed and ask the party to reply if this is/is not an accurate summary of the discussion.
◦ Print out the properties showing the person received and opened the email.
• An Interview: Record, collect and store written statements from the individuals.
• An incident you witness: Write down your observations, use only FACTS, avoid conclusory and insufficiently specific statements, use direct quotations rather than summaries or inferences.
◦ EX: Carly was angry v. Carly spoke in a loud voice. She was crying. She had her arms crossed.
• Something that happened online: Take a screenshot, print it, and timestamp it. Write down the location, folder, or link where it is located.
• Something that happened via text: Take a screenshot (preferably showing the actual phone numbers as opposed to the name the contact was saved under), timestamp it, and have recipient write a statement regarding the context and interpretation of the text.
While these documentation guidelines can be a burden on the investigator, it is necessary for the integrity of the investigation and outcome. Poorly documented investigations invite attacks based on bias and inaccuracy – and even if it is not true – if you cannot prove otherwise, it will decrease confidence in the investigation outcome.
STEP #5 MAKING A DECISION
In this stage, the investigator’s efforts come fullcircle and it should be fairly easy to determine if any disciplinary/non-disciplinary actions should be recommended. The investigator should use the following non-exclusive factors:
• What were the pertinent facts?
• What specific policy was involved?
• Employee’s history?
• Mitigating circumstances?
• Employer’s past practices?
• Conclusions?
WRITE DOWN IN AN INTERNAL MEMO every step you have taken in the investigation summarizing your findings, the weight given to the evidence reviewed, and the decision/recommendation on any disciplinary/non-disciplinary actions. Consider all actions and consequences (suspension, termination, training, administrative leave, etc.) and the outcome in previous investigations on similar issues to ensure consistency. Are there any damages? If so, consider if any remedial measures can be taken.
REMEMBER: Fairness and consistency are the touchstones of employment law. All decisions should be supported by the evidence. Review the policy once more to make sure there are no gaps in the investigation and all factors are weighed accordingly.
STEP #6 CONCLUDING THE INVESTIGATION
Make a final memo of the findings and share these with the complaint, accused, and other parties who must be notified. In the report, include:
• The Background
• Application of District Guidelines or Policies
• Key Factual Findings (Summary and Analysis)
• Conclusion and Recommendations
We hope this information is helpful to you. If you would like individualized assistance to discuss your District’s process, feel free to contact Abernathy, Roeder, Boyd, Hullett, P.C. at 214544-4000, or visit our website, http://www. abernathyroeder.com/.