Case Analysis and Drawing Conclusions

1. Case Analysis and Drawing Conclusions For Training Purposes Only

2. Case Analysis (Findings) • “Finding” refers to the specific behavior in a specific allegation • A finding cites the material facts related to a specific allegation and articulates the reasoning for determining whether a specific allegation occurred • Findings reconcile any credibility issues and resolve any conflicting evidence

3. Case Analysis (Findings) In order to make sound findings, the investigator MUST: 1 – Know the allegations 2 – Know the evidence 3 – Use the relevant prima facie case

4. Case Analysis (Findings) • Findings should be based on the objective evidence • Cite facts; Do not offer personal commentary • Investigators should “go where the evidence leads them” • Each allegation must have an associated finding

5. Case Analysis (Findings) The language of Findings is important • If there is sufficient evidence to conclude the conduct occurred as alleged, the finding is that the allegation is substantiated • If there is insufficient evidence to conclude the conduct occurred as alleged, the finding is that the allegation is unsubstantiated

6. Case Analysis (Findings) • NEVER issue a finding stating that an allegation did not occur as alleged • For allegations where there is insufficient available evidence for the investigator to conclude whether or not the alleged conduct occurred, the finding is inconclusive * * This finding is for wimps

7. Case Analysis (Findings) Allegation 1: Though Accused denied ever referring to Complainant as a “f@#%ing brown whore,” witness statements confirmed Accused routinely referred to women as “whores.” Accused admitted he used the term “f@#%” in front of Complainant on at least one occasion. Complainant was able to offer a specific time, location and circumstance to describe Accused’s alleged behavior.

8. Case Analysis (Findings) There is sufficient evidence to conclude that the conduct in Allegation 1 occurred as alleged. This allegation is substantiated. OR There is insufficient available evidence to conclude the conduct in Allegation 1 occurred as alleged. This allegation in unsubstantiated.

9. Conclusions • “Conclusion” refers to the relationship between a particular Finding and a specific rule or policy • A conclusion states whether a specific finding is sufficient to determine whether a specific rule or policy has been violated • Conclusions NEVER speak to the legality of the alleged conduct

10. Conclusions It is possible to have one or more substantiated findings and to conclude that there was no violation of a rule or a policy

11. Conclusions In order to conclude the alleged conduct violated DHRM Rule 477-7-15, governing workplace harassment, the evidence must be sufficient to conclude that the complainant was subjected to harassment based, in this case, on her sex, that was unwelcome, pervasive, demeaning, ridiculing, derisive or coercive, and which resulted in a hostile, offensive or intimidating work environment.

12. Conclusions The evidence in the instant case is sufficient for the investigators to conclude that the conduct substantiated in Allegation 1 constituted a violation of DHRM Rule 477-7-15. OR The evidence in the instant case is insufficient for the investigators to conclude that the conduct substantiated in Allegation 1 constituted a violation of DHRM Rule 477-7-15.

13. Analysis and Conclusions • Write to support your finding/conclusion • Make no finding or conclusion with regard to any issue outside the scope of the investigation • Report “management issues” under a separate cover