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Suggested Investigation and Documentation Process
- Observe/receive report of employee's performance, conduct, or attendance problem.
- Obtain any documentation that contains information about the situation (e.g. reports, performance data, attendance records).
- Determine if there were any witnesses to the situation and obtain written statements (or interview summaries) of what they observed.
- Get the employee's explanation of what happened and why. Document it.
- Organize the information (chronologically, by issue, etc.)
- Determine the undisputed facts of the situation (who, what, when, where, how).
- Determine what, if any, conclusions are reasonable based on the conflicting information:
- Is some documentation more reliable or significant than other documentation?
- Are some witnesses more credible or unbiased than others?
- Is there a history of similar situations for the employee?
Note: The standard for a reasonable conclusion in an administrative investigation is based on a "preponderance of the evidence"--it is more likely than not (at least 51%) that the conclusion is what really happened. This standard is less stringent than the criminal justice standard of "beyond a reasonable doubt".
- Assess whether there were any mitigating or aggravating circumstances (Was the employee provoked? Was there a personal tragedy? Was there a willful disregard of instructions?)
- Determine what the actual (or possible) impact of the situation is that the employee should be held accountable for based on the facts and conclusions.
- Seek assistance/guidance, as needed, from others:
- supervisors/managers who have experience with similar situations and investigations;
- human resources professionals (Organizational Consulting, Affirmative Action) for technical advice on investigative procedures and relevant policies/laws.
Note: For allegations of unlawful conduct (as opposed to breach of policy or failure to meet standards), refer to appropriate university office.
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