Office of Human Resources

Human Resources Workplace Investigation Policy and Procedure

I. Policy Statement

The purpose of this policy and procedures is to outline the general process of the Human Resources Labor and Employee Relations Unit (“Labor and Employee Relations”) when conducting investigations. Labor and Employee Relations follows these standards when responding to and investigating allegations of conduct that may violate university policy. Labor and Employee Relations is ultimately responsible for investigating allegations of employee conduct covered by university policies that fall under the purview of the Office of Human Resources.

Human Resources may initiate a workplace investigation when it has been alleged that an employee’s conduct violates university policy that falls within its purview (for more information, see the Scope section below).

A workplace investigation is a method used to determine what happened, whether a university policy has been violated, and who, if anyone, is responsible—it is not a legal proceeding. The Human Resources Business Partner (HRBP), in consultation with others as appropriate, such as the Director of Labor and Employee Relations, the Vice President of Human Resources, and the Office of General Counsel, will determine if a workplace investigation is necessary in order to address a complaint based on the information provided.

The University reserves the right to place an employee on administrative leave and/or to reassign their duties, prior to the commencement or conclusion of an investigation to (1) protect the physical safety or well-being of members of the Brandeis community; (2) prevent the disruption of, or interference with, the normal operations of the University or the investigation; and/or (3) when such a restriction is deemed necessary by the University. Decisions regarding whether to place an employee on leave will be made by Human Resources in consultation with the Office of General Counsel, and the employee’s supervisor or academic dean, as appropriate.

II. Scope

This policy applies to alleged misconduct that violates university policy, including but not limited to Human Resources policies such as:

Labor and Employee Relations may initiate a workplace investigation concerning, allegations of misconduct that presents a significant risk to, or has a significant impact on the university, the work environment, or the education environment even if not covered by a specific university policy.

Please note, however, that this policy does not apply to matters governed by the Faculty Handbook dispute resolution process, when the respondent is a student, or where the Office of Equal Opportunity (OEO) has jurisdiction.

III. Definitions and Roles
  • Respondent: Individual(s) implicated or accused in the complaint.
  • Witness: A person who has knowledge of the events from personal observation or experience. Witnesses may be identified by the Respondent, Witnesses or by the Investigator. The decision to interview an identified witness is at the sole discretion of the Investigator.
  • Support Person: A member of the Brandeis community who the Respondent may bring with them to any meeting that occurs during the Workplace Investigation. A Support Person does not join in any of the conversations that are the subject of the investigation, and does not speak on the Respondent’s behalf, but instead provides support solely through their presence. A Support Person cannot be a Witness or someone in the Respondent’s reporting structure.
  • Investigator: The investigator will be responsible for gathering information regarding the allegations raised in the complaint, assessing credibility, and making a determination as to whether any applicable university policies were violated. The Investigator is assigned by the Vice President of Human Resources or their designee. If a workplace investigation is initiated, typically the investigation will be conducted by a HRBP, but the assignment is at the sole discretion of the Vice President of Human Resources or their designee. In limited cases, the Vice President of Human Resources or their designee may decide to assign an investigation to an outside investigator who has experience in conducting investigations, but is not directly employed by the University. The decision to assign an investigation to an individual not directly-employed by the University shall be determined in the sole discretion of the Vice President of Human Resources.
  • Workplace Investigation: A fact-based inquiry into an alleged violation of a University Policy or allegation of serious workplace misconduct that presents a significant risk to, or has a significant impact on, the university, the work environment, or the education environment.
  • Preponderance of the Evidence: Standard of proof upon which findings will be determined. Preponderance of the Evidence simply means that it is more likely than not that something either occurred or did not occur.
IV. University Discretion

Brandeis University reserves the right to take reasonable actions to investigate and address complaints and other workplace concerns brought to its attention, including reviewing systems and other sources of available evidence. If a staff member reporting a possible policy violation does not wish for an investigation to take place, the university may nevertheless independently decide to conduct an investigation. In such situations, the university expects the staff member to provide all relevant information to the Investigator and otherwise participate in the investigation as required.

Respondents will be notified of formal Workplace Investigations.

V. Cooperation

Employees are expected to cooperate with administrators as part of their employment responsibilities.

In order for the investigation to be conducted in a timely manner, it is important that the Respondent and Witnesses make themselves reasonably available to the Investigator. The Respondent and Witnesses should know that they have an obligation to comply with instructions from University officials, including the Investigator, and are expected to cooperate with the Investigator throughout the investigation. An employee’s refusal to participate in an investigation may result in a separate disciplinary action. In the event that a Respondent refuses to be interviewed by the Investigator, the investigation will be completed without the benefit of the Respondent’s input and the Respondent will waive their right to participate further in the investigative process.

The Respondent and Witnesses should also know that they are prohibited from knowingly making false statements and/or knowingly submitting false information to the Investigator. Knowingly providing false information at any point in the investigative process may result in a separate disciplinary action.

VI. Retaliation

Brandeis University strictly prohibits retaliation against any member of its community for reporting or inquiring in good faith about what the member believes to be misconduct covered by this policy, or for participating in an investigation or proceeding related to such activity.

Brandeis University expressly forbids community members from taking any form of retaliatory action against any member of the University community who in good faith voices concerns, seeks advice, files a complaint or grievance, seeks the aid of Human Resources, serves as a witness or participates in investigations, compliance reviews, proceedings or hearings, or opposes actual or perceived violations of Brandeis University policies.

VII. Investigation Process
The exact steps involved in any given workplace investigation may vary based upon the specific circumstances of the case. What follows is an example of steps taken in a typical workplace investigation, but note that the process could vary based on each specific case.
  1. Investigator(s) conduct an intake interview with individual(s) who have direct knowledge of the alleged conduct violation and review supporting evidence, if provided. Based on the initial intake interview and assessment, possible next steps may include, but are not limited to:
    • Gathering further information, including from others, before deciding on next steps
    • Taking no action
    • Referring the issue to the employing department leadership
    • Facilitating an informal resolution
    • Starting an investigation
  2. If it is determined that an investigation is warranted, the Respondent will be notified of the investigation in writing by the Investigator(s). This written notification will include the allegations of misconduct being investigated and the implicated university policies. Should the scope of the investigation change during the Workplace Investigation, the Respondent will be notified in writing of the additional allegations of misconduct and any additional policies that may be implicated.
  3. The Investigator(s) collects information by, among other things, interviewing the Respondent as well as other witnesses as they deem appropriate. The Respondent may bring a Support Person with them to investigative meetings.
  4. The Investigator(s) determines findings after reviewing information collected in the interviews and the evidence provided by participants. 
  5. The Investigator(s) documents written investigative findings and provides these findings to the Respondent in draft form. The Respondent may review the draft investigation findings for five (5) business days and provide comments or points of clarification to the Investigator(s) by the close of business on the fifth business day. The Investigator(s) may decide in their sole discretion as to whether to incorporate the Respondent’s comments or revise the draft findings.
  6. The Investigator finalizes the written investigative findings and communicates the findings to appropriate leadership along with recommendations for next steps.
  7. The Respondent is made aware of the findings and next steps.
VIII. Workplace Investigation Interviews

During investigation interviews, the Respondent and other Witnesses will have the opportunity to present information and materials related to the complaint. The Investigator(s) will ask questions related to the complaint, listen, and take notes. They will ask for the names of any other individuals who may have information or knowledge of the situation and about what happened.

The Respondent and Witnesses should not discuss any information learned as a result of the
pending Workplace Investigation with anyone outside of the investigation. Respondents, however, are not restricted from discussing allegations in order to gather information relevant to the investigation. In order to protect the integrity of the investigation, Respondents should not disclose information about the investigation beyond what is necessary in order to gather information relevant to the complaint.

While Respondents and Witnesses to the investigation may suggest individuals who they believe may have information or knowledge of the situation, the Investigator(s), in their sole discretion, shall have the ability to determine who shall be interviewed during a Workplace Investigation.

IX. Findings

The findings will be determined based upon a preponderance of the evidence standard (more likely than not).

The Investigator(s), after finalizing their investigative findings, will first discuss the findings with appropriate department/unit leadership and will provide consultation and make recommendations in determining appropriate next steps. Recommendations may include but are not limited to, training, adjustments to protocol/procedures, a facilitated meeting, corrective action, suspension, termination, etc.

The Respondent is made aware of the findings and next steps. To the extent appropriate, the
Complainant will be informed of the outcome of the investigation and the general actions taken as a result.

X. Appeal

While the Investigator(s)’ findings are not subject to appeal, should the findings of a Workplace Investigation result in a corrective action for a Respondent, the Respondent may appeal the corrective action under the Appeal Policy and Procedure for Staff. Please note that the Appeal Policy and Procedure for Staff does not cover all levels of corrective action and specifically excludes terminations from employment. Please consult the Appeal Policy and Procedure for Staff for additional information.

Effective 10/17/2025