In order to facilitate decisions, internal investigations are sometimes necessary. The focus of this operational memorandum is directed to those official actions generally led by the district director of internal audit and/or the executive district director of human resources at the request of the chancellor or other cabinet member(s). The district legal counsel may serve as a resource to either Human Resources or Internal Audit, and will generally make recommendations on the use of outside legal counsel when necessary. In rare cases, the district legal counsel may serve as the primary investigator, but since he would be primary legal representation in future related court actions, his involvement is normally secondary and advisory. Depending upon the circumstances, all three operational areas may be required to work closely in order to bring closure in a fair and expedient manner.
Issues related to appropriate fiduciary actions and business procedures are generally investigated via district internal audit. These would include, but are not limited to, alleged theft of district funds or property by employees, alleged theft of district property by outside contractors, missing district property, any fraudulent activity by employees or contractors, etc. In certain instances the director of internal audit may be required to work in conjunction with the college police department to ensure that adequate evidence is gathered should criminal prosecution be warranted. District legal counsel will be advised of all investigations initiated and will be consulted as necessary. The director of internal audit will work closely with local college management, as appropriate, on all investigations pertaining to their location. If the circumstances warrant it, the director of internal audit may call upon the expertise of other district personnel for assistance with the investigations.
Issues related to people (employees) that may result in action including, but not limited to, suspension without notice and termination, and complaints in areas of Equal Employment Opportunity and sexual harassment are generally investigated via District Human Resources (the district).
- The district will collaborate with location human resources to develop the necessary details.
- The district will impose necessary rules of confidentiality on all parties and, in most cases, will require a signed statement of understanding from all parties. While the anonymity of a complaining party will be respected when requested, such individuals will be carefully advised that the district reserves the right to use information gained to make appropriate decisions and that anonymity cannot be guaranteed.
- The district will contact the necessary individuals for interviews, to request written statements and to clarify complaints and responses as necessary. While a fair and speedy answer is a priority, the ultimate issue is a fair and complete investigation in order that appropriate decision making can occur. The initial telephone contact related to the investigation with key parties will occur within 48 hours of initial receipt.
- Upon completion of the investigation, the district will schedule an appointment with the cabinet member to share the recommendations verbally and present the written summary document. The district will provide guidance and assistance in considering the recommendations, identifying alternatives and sharing the resulting decision(s) with parties involved.
- If a monetary settlement of any kind is considered, the district legal counsel will be fully briefed regarding the investigation and will be responsible for the preparation of appropriate documents and necessary releases, etc.
- Upon decision and action, the cabinet member will provide a brief, written summary of actions taken, including copies of any correspondence with the parties involved, to the district to complete the investigation file. If actions/decisions require board action, the chancellor will be briefed in detail prior to the final decision of the cabinet member.
- The investigation file is maintained separately from the personnel file of any party involved.
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