3.14 / Workplace Investigations

1. 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;
2. Workplace violence;
3. Violation of University policy;
4. Conduct and/or behavior which adversely affects the safety or well-being of any other individual or the University community;
5. Misuse or misappropriation of University property, assets, or finances.

University Commitment

Initiation of an Investigation

1. A workplace investigation under this policy may be initiated when:
   1. 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
   2. A supervisor, department head, or university official becomes aware of potential misconduct or policy violation and requests an investigation; or
   3. 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.
2. Complaints can be made through the following methods:
   1. By bringing a Complaint to Leadership; or
   2. By contacting the assigned Human Resources Business Partner (HRBP); or
   3. Through the Ethics Reporting System; or
   4. By emailing the HR Service Center; or
   5. By contacting HR's Employee Relations Specialist; or
   6. By contacting the IDP HR Director; or
   7. Or by contacting the Chief Human Resources Officer.
3. If a Complainant reporting an alleged violation of policy does not wish to pursue a complaint, HR may nevertheless independently decide to investigate.

Declination to Investigate

1. This policy does not create a right or entitlement to a workplace investigation.
2. 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.

Investigative Authority

Investigation Process, Confidentiality, Garrity Advisement and Cooperation

1. Investigation Process

   The 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:
   1. A thorough review of relevant documents, policies, recordings, video and any other relevant information.
   2. Interviews with parties involved, including Complainants, Respondents, and Witnesses.
   3. Collection and preservation of evidence as needed.
   4. Objective analysis based on facts and University policies.

2. Third Party Participation

   1. 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.
   2. Investigations are conducted as an internal process, and participation is limited to the involved parties and designated University officials.
   3. Exceptions may be made in cases where reasonable accommodation is necessary under applicable disability laws.

3. Administrative Leave

   HR, in conjunction with Leadership, may place an Employee on Administrative Leave.

   1. Reason for Administrative Leave

      Whether 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.

   2. Notice

      Any Employee placed on Administrative Leave shall be notified in writing of the following:
      1. The decision to implement Administrative Leave;
      2. The reason for the Administrative Leave;
      3. The expected duration of the Administrative Leave and that the duration may be extended if warranted by the investigation; and
      4. 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.

4. Confidentiality

   All investigations shall be conducted with discretion, and information shall only be shared with individuals who have a legitimate need to know.

5. Garrity Advisement

   During 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.

6. Employee Cooperation

   University 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.

7. Retaliation Prohibited

   Retaliation 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.

8. Timelines for Completion

   1. 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.
   2. In cases involving legal or regulatory compliance, investigations shall follow any applicable statutory deadlines.

Investigation Findings and Outcomes

1. Investigation Findings

   1. 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.
   2. 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.
   3. The findings shall be categorized as:
      1. Substantiated: Sufficient evidence confirms the violation.
      2. Unsubstantiated: Insufficient evidence to support the allegation.
      3. Unfounded: No evidence supports the allegation, or the claim is determined to be false.

2. Outcomes and Actions Following Investigation Findings

   Where 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.

3. Notice to Complainant and Respondent

   The 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.

Appeals and Review

No Due Proces

1. 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.
2. 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.

Compliance and Recordkeeping

1. All investigation reports and related materials shall be securely maintained by HR for a period consistent with University record retention policies.
2. The University reserves the right to deviate from, or amend, this policy as necessary to comply with legal, regulatory, or operational requirements.

1. 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.
2. 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.
3. Complainant: An individual who made a complaint that resulted in the initiation of an investigation.
4. 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.
5. 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.
6. Human Resources (HR): This includes the Office of Human Resources and Human Resources for the Division of Research and Industry & Defense Programs, as applicable.
7. Leadership: University Department Chairs, Directors, Deans or any other individual designated by the University with authority to supervise an Employee.
8. Respondent: Individual(s) implicated or accused in a complaint of an alleged violation of University policy.
9. Separation: Voluntary or involuntary termination of employment.
10. University: Wichita State University and any Controlled Affiliated Organization.
11. 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.