Executive Policy Manual
EP26 – Internal Investigations Training and Policy
Revised January 13, 2020
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 at the Department of Enterprise Services 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.
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.
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
Compliance and Civil Rights
Other related civil rights compliance requirements, including:
- Americans with Disabilities Act (ADA)/Section 504 (Rehabilitation Act of 1973) Compliance
WSU Compliance and Civil Rights ADA Compliance
- Affirmative Action/EEO Compliance – Executive Policy 15: Policy Prohibiting Discrimination and Harassment
Environmental Health and Safety
Accident Investigation – SPPM 2.26: Investigating Accidents
Human Resource Services
Faculty Misconduct – Faculty Manual
Staff Misconduct – BPPM 60.50: Corrective Disciplinary Action
Information Technology Services – Security Unit
Information System/Technology Investigations
Irregularity Investigations – BPPM 30.12: Internal Audits
Whistleblower Investigations – BPPM 10.20: Improper Governmental Actions (Whistleblower Act)
Ethics Investigations – Executive Policy EP45: University Ethics Policy
Office of the Provost
Faculty Misconduct in Research – Faculty Manual
Risk Management Services
Accident Investigations – SPPM 2.26: Investigating Accidents
Office of the Vice President for Research
Misconduct in Research
Research Noncompliance – Office of Research Assurances