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Internal Workplace Inquiries & Investigation ProtocolPurposeThe internal workplace investigation protocol provides a foundation for Integrity and Compliance Office (ICO) team members to conduct impartial investigations of alleged or suspected employee misconduct. The process outlined below attempts to isolate the facts of a reported concern and determine the root cause in order to mitigate risk and/or improve processes. ICO investigators are required to follow this protocol; however, the stylistic approach may differ depending on investigator preference and/or the unique circumstances of an investigation.All inquiries and reports made to the ICO will be assessed and carried out in accordance with this protocol, except in the following circumstances where another university office will have oversight:If a report expresses someone may be in imminent danger, the VCU Police must be immediately notified.If a report is directly related to the VCU Health System and only its employees, it must be forwarded to VCU Health System Compliance Services.Reports alleging student sexual harassment by another student must be forwarded to the Deputy Title IX Coordinator for Student Affairs in the Division of Student AffairsDefinitionsConfidential—Private or only disclosed to university members as necessary to perform an investigation or undertake corrective actions.Credible—More likely factual than not.Formal (Workplace) Investigation—A systematic and thorough examination into a reported concern that determines the nature of the concern, develops the facts through interviews and the review of relevant documents, documents the findings and discloses the findings to the final decision makers.Inquiry—A request for information or assistance from a reporter.Limited Investigation— The process of collecting and examining facts relevant to a reported concern that is deemed credible, but does not warrant a formal investigation based on the available facts. Limited investigations may be expanded to a formal investigation depending on the collected facts. ProtocolInitial Vetting ProcessReview Meric Craig Bloch’s Common Investigation ErrorsDetermine if Report is an Inquiry or ConcernIf the report is an inquiry:Research the topic if unknownRespond with relevant information or introduce the reporter to resources where more information is availableMake note of the close date in the Inquiry and Report Tracker If the report is a concern, move forward with the following Initial Vetting Process steps Review the Reported Concern(s) to Determine Initial Course of ActionDetermine exactly what misconduct is being alleged Separate facts from opinions and feelings and identify what factual evidence the reporter offers to support the alleged misconductAssess the credibility of the reported concern(s) based on whether it is more likely than not the alleged misconduct took place If it is not more likely than not that the alleged misconduct took place, then it is not deemed credible and an investigation is unnecessaryReported concerns that are not credible often involve a:Misunderstanding of policyMiscommunication between the reporter and colleague, where no misconduct existsIf it is more likely than not that the alleged misconduct took place, then it is deemed credible and an investigation may or may not be necessaryReported concerns that are credible do not warrant an investigation when:No other facts are needed to resolve the concernThe report calls for assistance rather than reporting misconductOtherwise, decide whether the report warrants a limited or formal investigationLimited investigations may be expanded depending on collected facts If the report does not warrant an investigation, then make note of the close date in the Inquiry and Report Tracker and follow the closeout procedures in section IV.C Assess What Information is Needed to ProceedIf more information is needed from the reporter to proceed, request the following details if possible:Names of involved parties (subject/ witness)Additional details of reported potential misconductSpecific dates and/or timesDocuments or other tangible evidence If more information is needed and is accessible through other means, conduct preliminary fact-finding by:Reviewing data in electronic systemsRequesting information from central officesDecide Which Department/Office Will Conduct the InvestigationReports of fraud must be shared with Audit & Management Services and the VCU Police without unreasonable delayReports alleging employee sexual harassment, discrimination, harassment and violations of EEO should be shared with Equity and Access Services without unreasonable delayReports alleging student sexual harassment by faculty, staff or contractors must be forwarded to the Deputy Title IX Coordinator for Student Affairs in the Division of Student AffairsReports concerning student affairs should be shared with the Division of Student In cases where there is an appearance of a pattern or practice of misconduct, an office/department refuses to investigate or by request from senior leadership, the ICO will conduct the workplace investigation in accordance with the Investigation Planning Process outlined belowIt is the responsibility of the ICO investigator to immediately disclose and recuse him/herself from an investigation when a perceived or actual conflict of interest or lack of impartiality exists or arisesIf university counsel is present or investigation is being conducted under attorney-client privilege, a written Upjohn warning will be given to participants. See sample Upjohn warning on page 8For all other reported concerns, the ICO will determine what university office is appropriate to conduct the investigation and assist when requestedThe ICO will oversee the investigation by:notifying the appropriate office of the concernrequesting a conclusionrequesting a corrective action plan if necessaryfollowing-up to ensure corrective actions were carried outThe report close out date should be recorded in the Inquiry and Report Tracker when the conclusion or corrective action plan is submitted by the university office (at the discretion of the Integrity & Compliance Officer)When the report is resolved, follow close out procedures in section IV. C Investigation Planning Process for Investigations Conducted by the ICOScope and Plan the InvestigationFor formal investigations conducted by the ICO, Internal Workplace Investigation Plan Template should be used. If an investigator deviates from the plan, the reason should be noted in the Plan Template for each digression for documentation purposesDetermine the objectives of the investigationWhat questions need to be answered to determine whether misconduct existsWhat information is needed to determine the root cause of alleged misconductDetermine the best methodology to achieve objectives Note: Information from a social media website may be used in limited circumstances. Investigators will never request a password or require an employee to log-in to a social media website for the investigator to review. However, investigators may use information on a social media webpage when it is publicly available or a reporter freely shares a screen shot. Assign two investigators with consideration of availability and expertiseAssign responsibility for communication to interviewees, report writing, maintenance of the Internal Workplace Investigation Plan Template and maintenance of the Internal Workplace Investigation Timeline of Reported Events based on availability and expertise. Identify specific documents needed to support the alleged misconduct (e.g., policies, business records, reports, emails, etc.)Identify individuals to interview (e.g., subject, witness, compliance area expert)Consider the interview order (least likely to be involved…subject)Collecting EvidenceNote: Not all investigations will require both document review and interviews. When applicable, ICO investigators should adhere to the following processes; however, not necessarily in a specific order. Create and begin tracking reported events using the Internal Workplace Investigation Timeline of Reported EventsDocument Review ProcessReview reports, business records and policies identified in II.A.2.c that are immediately accessible, including personnel files of all known subjects, completion records for Integrity and Compliance Annual Education and attestation statements regarding the Code of Conduct for all known subjectsFor documents that are not immediately accessible, request this information (or access to electronic databases/resources) from other university offices Assess the credibility of documentationIs it relevant? (Is it applicable to the reported concerns)Is it material? (Is it a key/significant piece of evidence?)Is it authentic? (Is it accurate, is it supported by other facts?)Determine whether or not documentation corroborates interview statements or other evidenceFor formal investigations, use the Internal Workplace Investigation Plan Template Interview ProcessBased on the reported concern(s) and reviewed documentation, list key topics to cover for each interviewee Topics should be organized and progress from non-threatening to more difficult subjectsFor formal investigations, Internal Workplace Investigation Plan Template should be usedManage interviewee expectationsDo not make promises to the reporterDo not express personal opinions on any of the discussed topicsDo not offer quid pro quoScheduling interviewsGive the interviewee venue options that offer privacy such as:Stokes HouseThe interviewee’s office/buildingCampus meeting roomReview the ACS-ICO General Interview Guidelines Taking interview notesDuring the interview, ICO investigators should:Record individuals present, date and time Use direct quotesCorroborate statements of other interviewees if possibleDocument observed behaviors (e.g., body language, lack of cooperation, nervousness, fear)For formal investigations, use the Investigation Interview Memo to translate handwritten notes to an impartial summary of facts The interview memo should be created within two working days when possibleShred handwritten notes after the interview memo has been created and savedAssess the credibility of interviewees based on competence/demeanor, consistency/corroboration of statements, plausibility, motive to deceive, omission of important information, specificity of details and whether the interviewee is a direct witness or statements is hearsayDetermine whether or not statements corroborate other interview statements or documentationFor formal investigations, use the Internal Workplace Investigation Plan Template Closing an InvestigationEvaluationReview documentation and interview statementsDetermine what most likely occurred based on the factsInclude this information in the Synopsis section of the Internal Workplace Investigation Plan TemplateDraft a conclusionClassify reported concerns as:Substantiated - violations of expectations, policy, regulation, or law are foundUnsubstantiated - no violations of expectations, policy, regulation or law existIndeterminable - too general in nature for reasonable further inquiry and additional information from the reporter after 60 days of the request Other - inquiries; reports not related to current VCU employees or during employment with VCU; or allegations withdrawn by the reporter and no further investigation was warranted based on the factsPrepare a Memo/Final ReportUse the ACS Report Template for formal investigationsComplete the Investigation Memo for both limited and formal investigations for the fileRefer to the Final Report Elements & Points to Consider and Final Report Language Considerations when drafting the reportReview Meric Craig Bloch’s The Real Ingredients of a Good ReportFinal internal review belongs to the assigned investigators to confirm any edits madeReport CloseoutNote to investigators: Before communicating the conclusion of the investigation with any participants, consult the Integrity & Compliance Officer and/or the Executive Director of Audit and Compliance Services.For formal investigations, send final report to appropriate senior leadershipNotify reporter that the report has been closed and the investigation is complete either through email or through the VCU Helpline to document communication and closure of the reportShare details of the conclusion as appropriate (see note above)Reminder about non-retaliation policy when appropriateAs appropriate, notify witnesses and subject that the investigation is closed Reminder about non-retaliation policy when appropriateMake sure all material documents are included in the investigation fileFollow-upFollow-up with senior leadership to ensure appropriate corrective action was takenIf appropriate corrective action was not taken, the ICO may escalate the matter through the chain of commandInterviewee FAQs Am I in trouble?You might be…Will I receive a copy of the final report?No, reports are shared with a select number of individuals at the senior level. However, you will be notified when the investigation is complete and a conclusion is reached.When will the conclusion be reached?A final conclusion will not be reached until the completion of the investigation. The timeline of the investigation depends on a number of variables, and I am unable to say for sure, but you will be notified when it is complete.Upjohn Warning for Participants in Investigations under Attorney-Client PrivilegeI am a lawyer for Corporation A. I represent only Corporation A, and I do not represent you personally.I am conducting this interview to gather facts in order to provide legal advice for Corporation A. This interview is part of an investigation to determine the facts and circumstances of X in order to advise Corporation A how best to proceed.Your communications with me are protected by the attorney-client privilege. But the attorney-client privilege belongs solely to Corporation A, not you. That means Corporation A alone may elect to waive the attorney-client privilege and reveal our discussion to third parties. Corporation A alone may decide to waive the privilege and disclose this discussion to such third parties as federal or state agencies, at its sole discretion, and without notifying you.In order for this discussion to be subject to the privilege, it must be kept in confidence. In other words, with the exception of your own attorney, you may not disclose the substance of this interview to any third party, including other employees or anyone outside of the company. You may discuss the facts of what happened but you may not discuss this discussion.Do you have any questions?Are you willing to proceed? ................
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