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                           Initiating Authority
                              
                              - The Office of Human Resources serves as the initiating authority for this policy.
 
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                           Purpose
                              
                              - The purpose of this policy is to establish guidelines and procedures for conducting
                                 workplace investigations within the University to ensure a fair, consistent, and timely
                                 response to concerns and complaints involving violations of policy and misconduct
                                 that are not otherwise governed by WSU Policy 3.06 / Sexual Harassment, Discrimination and Retaliation for Employees,
                                    Students and Visitors or Policy 3.47 / Discrimination Review Procedures for Students, Employees and Visitors.
 
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                           Policy Scope
                              
                              - This policy applies to complaints involving conduct by any Employee or volunteer that
                                 is not subject to investigation under another policy. This includes allegations involving:
                                 
                                 
                                    
                                    - Harassment, bullying, intimidation, retaliation, or negative treatment towards someone
                                       at work that is not likely motivated by race, gender, religion, national origin, disability,
                                       or any other legally protected characteristics;
- Workplace violence;
- Violation of University policy;
- Conduct and/or behavior which adversely affects the safety or well-being of any other
                                       individual or the University community;
- Misuse or misappropriation of University property, assets, or finances.
 
 
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                           Policy
                              
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                                 University CommitmentThe University is committed to ensuring all workplace investigations are conducted
                                 in a fair, impartial, unbiased, and unretaliatory manner. Nothing in this policy is
                                 intended to nor should be construed to limit or interfere with other investigatory
                                 processes within the University.
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                                 Initiation of an Investigation
                                    
                                    - A workplace investigation under this policy may be initiated when:
                                       
                                       
                                          
                                          - A formal complaint or allegation of policy violation or misconduct is made that is
                                             not otherwise governed by WSU Policy 3.06 / Sexual Harassment, Discrimination and Retaliation for Employees,
                                                Students and Visitors or Policy 3.47 / Discrimination Review Procedures for Students, Employees and Visitors; or
- A supervisor, department head, or university official becomes aware of potential misconduct
                                             or policy violation and requests an investigation; or
- Human Resources (HR) determines that an investigation is necessary given the nature
                                             and severity of the complaint and/or to maintain a safe and/or ethical workplace.
 
- Complaints can be made through the following methods:
                                       
                                       
                                          
                                          - By bringing a Complaint to Leadership; or
- By contacting the assigned Human Resources Business Partner (HRBP); or
- Through the Ethics Reporting System; or
- By emailing the HR Service Center; or
- By contacting HR's Employee Relations Specialist; or
- By contacting the IDP HR Director; or
- Or by contacting the Chief Human Resources Officer.
 
- If a Complainant reporting an alleged violation of policy does not wish to pursue
                                       a complaint, HR may nevertheless independently decide to investigate.
 
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                                 Declination to Investigate
                                    
                                    - This policy does not create a right or entitlement to a workplace investigation.
- HR, in consultation with Leadership as may be necessary, may determine, based on the
                                       information, or lack of information, received in the initiation of an investigation,
                                       that an investigation is not necessary, is not reasonable, or does not fit within
                                       the scope of this policy. If HR declines to perform an investigation, the appropriate
                                       parties, including the Complainant, Respondent, and Leadership, as applicable, will
                                       be notified.
 
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                                 Investigative AuthorityA workplace investigation under this policy shall be conducted by HR, or an individual
                                 or entity (including an external third party) who is qualified to complete such an
                                 investigation and does not otherwise have a conflict. HR, or designated investigator
                                 as applicable, will work independently as a neutral party to fact-find and promote
                                 non-biased recommendations based on an objective weighing of evidence in alignment
                                 with University policy.
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                                 Investigation Process, Confidentiality, Garrity Advisement and Cooperation
                                    
                                    - 
                                       
                                       Investigation ProcessThe exact steps involved in any given workplace investigation may vary based upon
                                       the specific circumstances of the case. However, an investigation shall include, but
                                       is not limited to:
                                          
                                          - A thorough review of relevant documents, policies, recordings, video and any other
                                             relevant information.
- Interviews with parties involved, including Complainants, Respondents, and Witnesses.
- Collection and preservation of evidence as needed.
- Objective analysis based on facts and University policies.
 
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                                       Third Party Participation
                                          
                                          - Third parties, including but not limited to attorneys, union representatives, or personal
                                             advisors, are not permitted to attend or participate in investigative interviews or
                                             meetings on behalf of the employee(s) involved in the investigation, unless required
                                             by law, University policy, or collective-bargaining agreement, as applicable.
- Investigations are conducted as an internal process, and participation is limited
                                             to the involved parties and designated University officials.
- Exceptions may be made in cases where reasonable accommodation is necessary under
                                             applicable disability laws.
 
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                                       Administrative LeaveHR, in conjunction with Leadership, may place an Employee on Administrative Leave.
                                          
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                                             Reason for Administrative LeaveWhether or not an Employee will be placed on Administrative Leave will be made on
                                             a case-by-case basis, considering the nature of the allegations, the health and safety
                                             of any Employee, student, or visitor and/or to avoid interference or disruption with
                                             the investigation.
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                                             NoticeAny Employee placed on Administrative Leave shall be notified in writing of the following:
                                                
                                                - The decision to implement Administrative Leave;
- The reason for the Administrative Leave;
- The expected duration of the Administrative Leave and that the duration may be extended
                                                   if warranted by the investigation; and
- The expectation that the Employee remains available for inquiries related to the investigation
                                                   and to comply with all University policies and directives. This may include, but is
                                                   not limited to, reporting to the workplace to participate in the investigative process
                                                   during normal work hours upon request.
 
 
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                                       ConfidentialityAll investigations shall be conducted with discretion, and information shall only
                                       be shared with individuals who have a legitimate need to know.
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                                       Garrity AdvisementDuring workplace investigations, Employees will be informed of their Garrity rights,
                                       when applicable. These rights ensure an Employee's statements during an investigation
                                       are not used against them in criminal proceedings.
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                                       Employee CooperationUniversity Employees are expected to cooperate with an investigation under this policy.
                                       This includes, but is not limited to, responding to requests for information, making
                                       oneself available for interviews or discussions, answering questions fully and honestly,
                                       maintaining confidentiality, refraining from interfering in any way with the investigation,
                                       and preserving and providing supporting documentation relevant to the investigation.
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                                       Retaliation ProhibitedRetaliation is prohibited against any party or participant involved in the investigatory
                                       processes outlined by this policy. Retaliation includes but is not limited to the
                                       following: Verbal or written threats, threats communicated by electronic means, against
                                       a party. Any Employee engaging in retaliatory behavior will be subject to Corrective
                                       Action or Separation.
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                                       Timelines for Completion
                                          
                                          - The timeline for an investigation will vary based on the specific facts of each case.
                                             HR will make every reasonable effort to promptly initiate and conclude investigations
                                             in a manner that is expeditious and with due diligence. If an investigation is not
                                             concluded within ninety (90) Business Days of initiation, HR will provide written
                                             status updates to the applicable parties, as permitted by University policy. These
                                             updates may include the general reasons why the investigation is continuing (e.g.,
                                             additional interviews are needed, or relevant documentation is being reviewed) and,
                                             where possible, provide an anticipated timeframe for completion. Additional updates
                                             will be provided at least every ninety (90) Business Days thereafter until the investigation
                                             is concluded.
- In cases involving legal or regulatory compliance, investigations shall follow any
                                             applicable statutory deadlines.
 
 
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                                 Investigation Findings and Outcomes
                                    
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                                       Investigation Findings
                                          
                                          - Findings of an investigation shall be based upon a preponderance of evidence, determining
                                             what is more likely than not to have occurred. This finding will be based upon the
                                             information gathered as part of the investigation.
- Upon completion of the investigation, a written report shall be prepared, summarizing
                                             findings, evidence reviewed, and conclusions. The written report shall be provided
                                             to the relevant Leadership, as appropriate.
- The findings shall be categorized as:
                                             
                                             
                                                
                                                - Substantiated: Sufficient evidence confirms the violation.
- Unsubstantiated: Insufficient evidence to support the allegation.
- Unfounded: No evidence supports the allegation, or the claim is determined to be false.
 
 
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                                       Outcomes and Actions Following Investigation FindingsWhere investigation findings are substantiated, Leadership shall take appropriate
                                       corrective or disciplinary action in accordance with relevant policies and procedures,
                                       including WSU Policy 3.48 / Coaching and Corrective Action and 3.41 / Separation of Employment.
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                                       Notice to Complainant and RespondentThe Complainant and Respondent shall be made aware of the findings and next steps
                                       as it relates to each of them. In most situations, neither the Complainant nor the
                                       Respondent will be provided findings or other information on the other.
 
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                                 Appeals and ReviewDeterminations are final and are not subject to appeal.
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                                 No Due Proces
                                    
                                    - This policy is solely for administrative purposes and does not confer any right to
                                       a formal hearing or other due process protections. The University reserves the right
                                       to make decisions at its sole discretion, without prior notice, and any actions taken
                                       under this policy are subject to change without notice.
- The University has the right to determine whether, and to what extent, this policy
                                       will be applicable based on the specific facts and circumstances of each situation.
                                       the University reserves full discretion to modify, adapt, or forego any portion of
                                       this policy as deemed necessary to address the unique circumstances of each investigation.
 
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                                 Compliance and Recordkeeping
                                    
                                    - All investigation reports and related materials shall be securely maintained by HR
                                       for a period consistent with University record retention policies.
- The University reserves the right to deviate from, or amend, this policy as necessary
                                       to comply with legal, regulatory, or operational requirements.
 
 
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                           Definitions
                              
                              - For the purpose of this policy only, the following definitions shall apply:
                                 
                                 
                                    
                                    - Administrative Leave: Leave with or without pay that is approved by Leadership as in the best interest
                                       of the University for an Employee pending the outcome of an investigation.
- Business Day: Every official workday of the week. These are the days between and including Monday
                                       through Friday, and do not include public holidays, days where the University is officially
                                       closed, and weekends.
- Complainant: An individual who made a complaint that resulted in the initiation of an investigation.
- Corrective Action: Any type of coaching or corrective action identified in this policy, including verbal
                                       coaching, coaching plan, written corrective action, final correction action, or Separation
                                       initiated by Leadership.
- Employee: An individual who provides services to the University on a regular basis in exchange
                                       for compensation and receives a W-2 for such services. This includes temporary and
                                       part-time Employees.
- Human Resources (HR): This includes the Office of Human Resources and Human Resources for the Division
                                       of Research and Industry & Defense Programs, as applicable.
- Leadership: University Department Chairs, Directors, Deans or any other individual designated
                                       by the University with authority to supervise an Employee.
- Respondent: Individual(s) implicated or accused in a complaint of an alleged violation of University
                                       policy.
- Separation: Voluntary or involuntary termination of employment.
- University: Wichita State University and any Controlled Affiliated Organization.
- Witness: A person who has knowledge of the events alleged in the complaint from personal observation
                                       or experience. A witness may also be identified by the Complainant and the Respondent.
 
 
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                           Applicable Laws And Additional Resources
                              
                              - State of Kansas Workplace Violence Policy
- WSU Policy 3.33 / Eschewing Campus/Workplace Violence
- WSU Policy 3.06 / Sexual Harassment, Discrimination and Retaliation for Employees,
                                    Students and Visitors
- WSU Policy 3.41 / Separation of Employment
- WSU Policy 3.47 / Discrimination Review Procedures for Students Employees and Visitors
- WSU Policy 3.48 / Coaching and Corrective Action