Office of Procedures, Records, and Forms Executive Policy Manual

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Executive Policy #26
Revised January 13, 2020

Internal Investigations Training and Policy

Policy

The University requires training of investigators and the documentation of investigation procedures.

Each University investigative unit is to develop and maintain internal investigative procedures. These procedures should, at a minimum, include:

  • Investigating unit’s scope of authority;
  • Processes for complaint analysis;
  • Protocols for referrals due to issues outside the scope of authority or shared authority, or due to conflicts of interest (including executive-level (dean or above) approval of the referrals);
  • Standards of documentation and reporting; and
  • Practices to maintain security of data and information obtained through the investigation.

Each investigative unit is to ensure that at least one supervisory level employee is trained through the Washington State Department of Enterprise Services Investigator Training Program or other comparable training program. Units are required to retain certification of successful completion of the training. See Training–>Instructor-Led Training on the Department of Enterprise Services website for further information and to schedule investigator training.

The scope of investigation activities for some units may require additional, specific training and certification. Each investigative unit is responsible to ensure appropriate and required trainings are acquired.

Investigations are not to be conducted without involvement and approval from the University department having jurisdiction in the identified area of investigation. See Investigation Units for a list of University units with jurisdiction for specific types of investigations.

Applicability

This policy applies to investigations conducted by university departments whose duties include interviewing witnesses, obtaining documents, or otherwise gathering information that may be used in enforcement or disciplinary actions or proceedings where there is potential for substantial civil or criminal remedies or penalties to be imposed.

This policy applies to University offices responsible for investigating accidents, in accordance with SPPM 2.26.

This policy does not apply to commissioned law enforcement officers, employees who conduct checklist inspections or review application materials for eligibility purposes, and employees whose investigative duties involve simply obtaining documents.

Investigation Units

The following areas have investigative functions and are responsible for complying with this policy. Other unlisted units meeting the requirements indicated under Applicability are also responsible for policy compliance. Links to related procedures are provided when available.

Center for Community Standards

Student Misconduct – apps.leg.wa.gov/WAC/default.aspx?cite=504-26

Compliance and Civil Rights

Discrimination and Sexual Harassment – policies.wsu.edu/prf/index/manuals/executive-policy-manual-contents/ep15-discrimination-sexual-harassment-sexual-misconduct/

Other related civil rights compliance requirements, including:

Environmental Health and Safety

Accident Investigation – policies.wsu.edu/prf/index/manuals/2-00-contents/2-26-investigating-accidents/

Human Resource Services

Faculty Misconduct – Faculty Manual

Staff Misconduct – policies.wsu.edu/prf/index/manuals/60-00-personnel/60-50-corrective-disciplinary-action/

Workplace Violence – policies.wsu.edu/prf/50-00-contents/50-30-workplace-violence/

Workplace Bullying – policies.wsu.edu/prf/50-00-contents/50-31-workplace-bullying-prevention-reporting/

Information Technology Services – Security Unit

Information System/Technology Investigations

Internal Auditor

Irregularity Investigations – policies.wsu.edu/prf/30-00-contents/30-12-internal-audits/

Whistleblower Investigations – policies.wsu.edu/prf/10-00-contents/10-20-improper-governmental-actions-whistleblower-act/

Ethics Investigations – policies.wsu.edu/prf/10-00-contents/10-22-possible-ethics-violations/

Office of the Provost

Faculty Misconduct in Research – Faculty Manual

Risk Management Services

Accident Investigations – policies.wsu.edu/prf/index/manuals/2-00-contents/2-26-investigating-accidents/

Office of the Vice President for Research

Misconduct in Research

Research Noncompliance – ora.wsu.edu/