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Conducting Investigations

Conducting Investigations. Melanie A. Petersen Partner Fagen Friedman & Fulfrost. Purpose of Today’s Presentation. When to investigate Conducting an “adequate” investigation Protecting FUSD from legal action, concentrating resources on student achievement Supporting core beliefs of FUSD.

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Conducting Investigations

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  1. Conducting Investigations Melanie A. Petersen Partner Fagen Friedman & Fulfrost

  2. Purpose of Today’s Presentation • When to investigate • Conducting an “adequate” investigation • Protecting FUSD from legal action, concentrating resources on student achievement • Supporting core beliefs of FUSD

  3. FUSD Core Beliefs and Commitments • A safe learning and working environment is crucial to student learning • FUSD is a place where collaborative adult relationships are respected and essential to success • BP 4119.21, Professional Standards • The Governing Board expects district employees to maintain the highest ethical standards, follow district policies and regulations and abide by state and federal laws. Employee conduct should enhance the integrity of the district and advance the goals of the educational programs. Each employee should make a commitment to acquire the knowledge and skills necessary to fulfill his/her responsibilities and should focus on his/her contribution to the learning and achievement of district students

  4. Conducting Investigations • Employers must conduct an investigation whenever they are put on notice of possible misconduct

  5. Conducting Investigations • Investigations are often required by law or board policy: • Sexual harassment complaints • Uniform complaint procedures • Williams complaints • Complaints against an employee • Possible discipline

  6. What ConstitutesMisconduct?

  7. Cotran v. Rollins Huding Hall Int’l, Inc. (1998) 17 Cal.4th 93 • Landmark decision • Strengthens employer’s chances of successfully defending against a wrongful termination action • Adequate (prompt, appropriate and effective) investigation is key

  8. Cotran Decision “Good Cause” “reasoned conclusion … supported by substantial evidence gathered through an adequate investigation that includes notice of the claimed misconduct and a chance for the employee to respond”

  9. Conducting Investigations • Be Responsive: • To head off problems, begin the investigation before a formal complaint is received • Take action when the complaint is serious, even if the complainant is reluctant

  10. Conducting Investigations • Investigations must be: • Effective • Thorough • Timely • Within your scope of responsibility

  11. Strive to Provide Excellent Leadership • Impartial • Unbiased • Proactive and responsive • Respect emotions

  12. Remember… Impartial investigators: • Refrain from making snap judgments • Listen objectively • Speak in a manner that puts others at ease • Calmly and confidently approach difficult conversations and ask potentially difficult questions • Probe for additional information and clarifications in order to get a better sense of the “whole picture”

  13. Great Leaders Must Set the Tone • Fair • Equitable • Honest and forthright • Guided by the law and policy A leader’s response will go a long way to assuage the complainant’s fears and concerns. A leader’s response can demonstrate FUSD’s commitment to integrity, both as an employer and educational institution

  14. 10 Steps for Success 1 Meet with the complainant

  15. 10 Steps for Success 2 Assess the nature of the complaint

  16. Determine what facts need to be verified 10 Steps for Success 3

  17. Review the background information 10 Steps for Success 4

  18. Make a list of witnesses 10 Steps for Success 5

  19. Generate questions for each witness 10 Steps for Success 6

  20. Conduct initial interviews and determine if anyone needs to be re-interviewed 10 Steps for Success 7

  21. Prepare the post-interview report 10 Steps for Success 8

  22. Apply corrective action, if applicable 10 Steps for Success 9

  23. Remind all involved of the policies, rules and expectations 10 Steps for Success 10

  24. Your Conduct During the Interview • Act objectively, with no stake in the outcome • Avoid reaching conclusions until the investigation is complete • Maintain standards of personal behavior which are above reproach

  25. For Each Witness • Set up ground rules and explain the process • Explain the need for confidentiality • Take comprehensive notes and date the notes taken • Keep the notes as factual as possible without personal interpretation

  26. For Each Witness • Allow for union representation • Caution employees about retaliatory behavior • Determine if immediate reporting to other agencies is necessary

  27. Writing the Report If asked to forward a written report: • Distinguish between facts and judgments • Make an informed decision, even if only a“he said/she said” • Write with a third party audience in mind

  28. Writing the Report If asked to forward a written report: • Write clearly • Describe the conduct, the inquiry process and the objective facts discovered • Make a fact-baseddetermination

  29. Remember • Child Abuse Allegations • Do not investigate • Call law enforcement and report allegation • Strictly maintain confidentiality • Remember site administrators cannot place teachers on administrative leave

  30. Great Leaders Respect and Protect Confidentiality You play a vital role in helping provide a respectful and professional environment Every employee should havefull confidence in FUSD's commitment to vigilantly protect employee privacy

  31. Effective, Thorough, Timely • Help maintain positive employee morale • Build a sense of ownership and responsibility for personal conduct • Establish strong confidence in FUSD’s commitment to be an excellent and ethical employer

  32. Unfortunate Conclusions If an investigation indicates a performance problem, remember to use the FUSD adopted models of FRISK, which should guide your next steps

  33. Outstanding The outstanding work of our employees is helping the FUSD make great strides in our service to students

  34. We believe that all students can learn We believe that our role as an employer is to create a safe, professional, thoughtful and fair work environment so that our employees can focus their attention on student achievement

  35. Innovative Leaders We value education and your role in making FUSD a courageous and innovative leader in 21st century education

  36. HR.Online is created through a partnership between the Fresno Unified School District's HR Department, the Fresno County Office of Education andFagen Friedman & Fulfrost LLP, leaders in education law Preparing Career Ready Graduates

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