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Office of Human Resources: Illinois State University

Conducting a Thorough Investigation

Your investigation is a critical element before administering discipline.  It may be helpful to review the supervisor checklist prior to taking any disciplinary action.  The object of any investigation is to determine all relevant facts surrounding the incident (i.e., the who, what, when, where, why, and how) and secure any relevant evidence. There are two kinds of evidence: physical evidence and testimonial evidence

  • Physical evidence is tangible, such as damage equipment or an altered timecard. 
  • Testimonial evidence is provided by witnesses

Coordinating an Investigation

If there is a possible criminal violation(s), you should contact the Illinois State University Police before any investigation is conducted so ISUPD may coordinate any investigative activity. If the matter would involve the Office of Diversity and Affirmative Action (ODAA) such as sexual harassment, you should contact ODAA before any investigation is conducted so ODAA may coordinate any investigative activity. If the matter does not involve criminal charges or ODAA, you should proceed with conducting a thorough investigation.

Steps for a Thorough Investigation

  1. Secure any physical evidence so that it may be preserved for future use. Physical evidence should not be altered in any way and should be kept in its original condition or state.
  2. Determine who all the witnesses are to the incident and interview them. Probing questions that determine the "who, what, when, where, why, and how" should be asked. If an appealable action such as suspension or dismissal is being considered, a written statement signed and dated by each witness normally should be obtained setting forth all of the facts of the incident.
  3. As a general principal, the employee should be given the opportunity to explain their actions before you take disciplinary action. Weingarten Rights: If an employee reasonably believes that disciplinary action could result from an investigatory interview, the employee has the right to representation if requested. If the employee requests representation, you should contact your HR Partner for assistance and advice.
  4. The standard of proof for administrative actions is the preponderance (or weight) of the evidence, which tilts the scales of justice ever so slightly in one direction or the other.
  5. Determining whether there is "just cause" for any disciplinary action