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Investigations

The University conducts investigations in a variety of situations to gather information, understand concerns, and inform appropriate decision-making.

Investigations are conducted by a trained, neutral investigator and are designed to be fair, thorough, and respectful of all individuals involved.

Types of Investigations

There are two main types of investigations conducted by the CRP Office:

Misconduct & Compliance Investigations

Formal investigations into potential violations of policy, employment contracts or Collective Bargaining Agreements, or conduct standards where disciplinary action may result. 

Examples include:

• Alleged violations of employment misconduct or failure to carry out the responsibilities of employment
• Alleged violations of the Discrimination, Harassment, & Retaliation Policy
• Alleged violations of the Sexual Harassment Policy

Inquiries & Fact Finding

Inquiries conducted to understand an incident, assess a practice, or inform decision-making. These investigations are not disciplinary in nature. 

Examples include: 

• Incident reviews
• Policy & practice inquiries
• Disparate impact analysis

Misconduct & Compliance Investigations

General Process

This is a general overview. The scope of any investigation varies depending on the nature of the matter, its potential outcomes, and the governing policy and procedures. If a specific policy establishes its own procedures for a matter, individuals should follow those procedures.

1. Matter Received
   • A concern, complaint, or referral is received by the appropriate authority. The nature of the matter determines which office or process applies.
   • CRP may not be the appropriate initial authority. Before submitting a concern to CRP, consider the following:
     • Concerns related to faculty should be reported to the applicable Dean.
     • Concerns regarding discrimination, harassment, sexual harassment, or retaliation should be submitted using the .
2. Intake & Assessment
   • The matter is reviewed to determine jurisdiction, applicable policy, and whether a formal investigation or inquiry is warranted. 
3. Notification
   • Relevant parties are notified as required. Notification requirements vary based on the type of matter and governing policy.
4. Investigation or Inquiry
   • Evidence is gathered, interviews are conducted, and records are reviewed. The scope and methods depend on the nature of the matter. 
5. Findings & Report
   • A report or summary of findings is prepared. Distribution and format depend on the type and outcome of the matter. In most Misconduct & Compliance Investigations, the accused individual will have the right to review the report and have an opportunity to submit a response. 
6. Outcome & Next Steps
   • Appropriate action is taken based on findings. For disciplinary matters, this may involve a separate process governed by applicable policy, procedures, or contracts. 

Rights of a Party

Rights vary by investigation type, applicable policy, and potential outcomes. The following reflects general rights of parties. Specific rights will be communicated at the time of notification. 

1.  Notice
   • Right to be informed of the nature of the matter and applicable process, as required by governing policy. 
2. Representation
   • In matters that may lead to discipline, the accused individual may have the right to union or personal representation. Specifics depend on the matter type. 
3. Opportunity to respond
   1. The accused individual has the opportunity to respond to the allegations as provided by the governing process. 
4. Non-retaliation
   • Participation in an investigation is protected and retaliation against any party or witness is prohibited. 
5. Confidentiality
   • Information is handled with appropriate confidentiality consistent with policy and legal requirements. 

Inquiries & Fact-Finding Investigations

General Process

This is a general overview. The scope of any investigation or inquiry varies depending on the nature of the matter, its potential outcomes, and the governing policy and procedures. If a specific policy establishes its own procedures for a matter, individuals should follow those procedures.

1. Matter Received
   • A concern, request, or referral is received by the appropriate authority. The nature of the matter determines which office or process applies. 
   • CRP may not be the appropriate initial authority. Before submitting a concern to CRP, consider the following:
     • Concerns related to a specific department or college should be reported to the applicable supervisory authority or Dean.
     • Concerns regarding disparate impact based on a protected status should be submitted using the .
2. Intake & Assessment
   1. The matter is reviewed to determine whether an inquiry is appropriate, define the scope, and identify the applicable framework or policy area. 
3. Notification
   • Relevant parties are notified as appropriate to the scope of the inquiry. Notification requirements are less formal than in disciplinary matters and are determined by the nature of the review.
4. Inquiry & Fact-Finding 
   • Information is gathered through interviews, records review, and data analysis as appropriate. In some cases, participation may be expected as part of normal work responsibilities.
5. Findings & Report 
   • A summary of findings is prepared and issued to the appropriate authority. Format and distribution depend on the purpose and scope of the inquiry.
6. Outcome & Next Steps 
   • Findings inform recommendations, corrective measures, or policy changes. Inquiries do not result in individual disciplinary action. If the scope of an inquiry changes in a way that affects an individual, that person will be notified.

Requesting an Investigation

Managers and supervisors may request an investigation into matters within their area of authority. The appropriate process depends on the nature of the concern. Not all employment-related investigations are conducted by CRP. In certain matters, the supervisor and Human Resources may conduct the investigation directly.

Policy and program administrators may request inquiries related to specific policies, programs, or compliance areas within their area of authority. 

Individual employees or students may report a concern to the appropriate authority, who will determine whether an investigation or inquiry is warranted. Employees and students do not typically initiate investigations directly. 

Questions or Support

If you have questions about an investigation or your role in the process, you can contact our office for guidance.