Best Practices for Conducting a Fair Investigation
Explore the key elements of conducting an effective investigation, including determining scope, developing a plan, and remaining impartial. Learn about common investigation mistakes to avoid and the importance of thoroughness in reporting. Understand the role of the investigator and considerations for selecting the right person to lead the investigation process.
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Role of the Investigator, Framing the Scope of an Investigation, and Developing an Investigation Plan By Jennifer Glad, Associate Legal Counsel Kyleen Breslin, Title IX Coordinator
In this training Role of the investigator Determining the scope of an investigation Investigation Plan Do your homework Interview plan Evidence plan
Why do we care about this? Most common investigation mistakes include: Failing to plan Ignoring complaints Delaying investigations Losing objectivity Not planning for interviews Not collecting or considering all relevant evidence Not conducting a thorough investigation Failing to create a thorough written report
Necessary Elements of an Investigation A neutral, impartial and objective investigator 1 All necessary witnesses are interviewed 2 All relevant evidence is collected and considered 3 The correct standard of proof is applied (preponderance of the evidence) 4 A thorough investigation report is prepared with a rational and defensible conclusion 5
Role of the Investigator Conduct a fair and impartial investigation The investigator may not serve as an advocate or advisor for either party Personal experiences, biases, or empathy cannot change the way an investigator approaches an investigation or findings
Who Should Investigate? Determine if a policy (e.g., Title IX) dictates who will investigate Investigator must be: Trained and knowledgeable Impartial, unbiased and free from conflicts Consider whether an outside investigator should be retained Availability of investigators Actual or perceived biases or conflicts Other considerations
Investigation Process Make Develop investigation plan Frame scope of investigation Conduct investigation determinations and prepare reports
Scope of Investigation The scope of the investigation should be: Clearly defined and articulated Based on relevant policies/law Supported by the allegations The scope of investigation may change throughout the investigation as more information comes in
Scope Considerations Investigations can be formal or informal, short or extensive, depending on the allegations and specific facts and circumstances: Is there a formal complaint that the complainant wants to move forward with Evaluate potential risks (legal, safety, recurrence, etc.) What are the policy/law violations at issue If there is a violation, what is the potential outcome Is the issue susceptible to informal resolution Do you need to interview additional witnesses to obtain all the facts and information
Develop an Investigation Plan Consider purpose and scope of investigation Identify policies/laws, etc., that are implicated Develop an interview plan Identify evidence to be collected and reviewed Develop investigation timeline
Do Your Homework Review any relevant information necessary to understand the issues and what facts and evidence may need to be gathered: policies procedures collective bargaining agreements Identify additional sources of information (e.g., legal, human resources, etc.)
Develop an Interview Plan Identify persons to be interviewed (parties, others with relevant information) Determine order and timeline of interviews Develop a list of questions based on allegations, potential policy violations, available documents, etc. Consider follow up interviews to address new information or discrepancies and allow opportunity to respond to new allegations
Create an Evidence Plan Identify all likely sources of relevant evidence: Social media Text or voice messages E-mail Photos Physical evidence Develop a plan of how this evidence may play into your investigation Is there any evidence that needs to be preserved immediately (e.g., security footage)?
