INVESTIGATING STAFF SEXUAL MISCONDUCT Employment Law Considerations National Institute of Corrections/American University, Washington College of Law July 7-12, 2002
Dec 22, 2015
INVESTIGATING STAFF SEXUAL MISCONDUCT
Employment Law Considerations
National Institute of Corrections/American University, Washington College of Law
July 7-12, 2002
CORRECTIONAL INSTITUTIONS AS EMPLOYERS
In relationship to an employee, managers of a correctional institution are:
– 1) Invested with the state’s police power– 2) (usually) public employers subject to federal
and state constitutional law– 3) employer subject to general employment
laws
DIFFERENT SOURCES OF LAW
Police Powers -- Criminal and Constitutional Law
Public Employer -- State and Federal Constitutional and Statutory Law
General Employer -- Title VII, Common Law, and Other Laws
CRIMINAL LAW vs. EMPLOYMENT
LAW Garrity - statement compelled as condition
of employment cannot be used against employee in criminal prosecution
if criminal prosecution is a goal, employment issues must be handled differently
FACTS:
Corrections officer placed on administrative leave pending investigation of alleged sexual misconduct with an inmate
Officer informed, by supervisors and employee handbook, that if he did not cooperate with police and take a polygraph test, he would be terminated
Officer filed motion to suppress self-incriminating statement and polygraph results because they were made under fear of losing his employment
RESULT:
Trial Court granted motion to suppress and Court of Appeals affirmed
• Officer reasonably believed that he had no choice but to make statement to police as part of internal investigation
• Moral: State can either:– Compel answers to job related questions as a part of internal
investigation, which cannot be used in criminal investigation, or– Choose to prosecute, in which case cannot terminate for failure
to answer job related questions
FACTS:
Correction officer was arrested and indicted on charges of 3rd degree rape and other charges related to alleged sexual misconduct with an inmate
Officer was ultimately acquitted of all charges Officer filed suit against the county and county
investigator, alleging false arrest and malicious prosecution
Officer argued no probable cause for arrest because investigator induced accuser, who had a history of mental illness and drug abuse, to fabricate accusations
RESULT:
defendant’s motion for summary judgment granted because:
• No evidence that investigator induced allegations
• Questions about veracity of informant doe not automatically defeat probable cause
– Investigators found sufficient corroborating evidence
– Moral: Finding of probable cause defeats a malicious prosecution claim
CONSTITUTIONAL REQUIREMENTS APPLY TO GOVERNMENT ACTING
AS EMPLOYER
due process rights privacy rights
BALANCING TEST
Courts will balance employer needs against employee rights to some extent in employment context
EXAMPLE
Facts:– Food Service supervisor accused by a third party witness of
sexual misconduct with an inmate– Employee suspended without pay for two weeks, pending
investigation– After investigation concludes with accusation
unsubstantiated, employee reinstated with full back pay– Employee alleges violation of due process rights based on
lack of pre-suspension hearing
– Court balanced: • minimal intrusion on employee’s rights: Suspension
was temporary and lost wages were insubstantial, against
• Prison’s substantial interest in the investigation and safety concerns
SEX/RACE DISCRIMINATION CLAIMS
Plaintiff must show treated differently from others of same group
Best defense is to show all people are treated equally
FACTS:
Native American-Hispanic corrections officer accused of sexual misconduct by inmate in the “special needs unit”
Officer was placed on administrative leave with full pay, pending investigation
Officer reinstated and promoted after investigation failed to turn up evidence of misconduct
Officer filed suit, alleging administrative leave was racially motivated, violating state anti-discrimination laws– Placed on leave, despite exemplary record, as a result of accusations by an
inmate with credibility issues
– Alleged that At least one white officer was not placed on leave following similar allegations
RESULT:
At the trial level, jury found for officer. Defendant appealed, claiming results of polygraph test on inmate should have been admissible to rebut charge of discrimination
The appellate court reversed the lower court’s decision– no racial motivation established, similarly situated white officers
treated similarly
– also remanded with instructions to allow the admission of the inmate’s polygraph test
• Polygraph, while not admissible as evidence of officer’s sexual misconduct, was admissible to establish non-discriminatory motive for placing officer on administrative leave
FACTS:
African American Correctional Supervisor was fired following an investigation into allegations of sexual misconduct with an inmate– Investigation concluded there was sufficient evidence for
termination based on DNA evidence, witness statements, polygraph
Officer filed suit, alleging workplace discrimination, on grounds of – Replacement of African American investigating officer– White officer facing similar accusations was not terminated– General atmosphere of racial intolerance, particularly following
involvement in prior action for systemic racial discrimination
RESULT:
– District Court awarded summary judgment to employer and Court of Appeals affirmed, because:
• Replacement of AA officer was based on conflict of interest• Dismissal of criminal charges had no bearing on evidentiary
results of internal investigation• White officer not terminated ; the two cases were factually
dissimilar. • Two white officers facing similar accusations were terminated. • No nexus shown between circumstantial evidence of racial
hostility and termination decision
MORAL: CONSISTENCY AVOIDS LAWSUITS
enforcing policies in some cases but not others creates a bad evidentiary record
discretionary action can be made to look like something it’s not
important to enforce disciplinary and other policy rules across the board, without exceptions
important to train supervisory staff on this policy
FACTS:
Prison warden accused of sexually harassing a correction officer Asked to resign by two County officials, which he did a few
days later. article detailing the sexual misconduct charge later appeared in
the paper Warden filed suit on various grounds, including defamation
RESULT:
Employer wins: No defamation because article presented “fair
gist” of investigation report and there was no evidence any official abused their privilege
DEFAMATION LAW: SOME BASICS
Defamation covers false statements that damage a person’s reputation
But, it’s better to avoid reaching point in litigation where must argue about truth or falsity of the statements
courts have tried to develop rules that shield employers from frivolous lawsuits
PROTECTION AGAINST DEFAMATION CLAIMS
Even in private sector, “qualified privilege” protects representatives of employers who give out allegedly defamatory information for legitimate business purpose
QUALIFIED PRIVILEGE PROTECTION AGAINST DEFAMATION CLAIMS
To gain protection of qualified privilege, employer must show– lack of malice– good faith– belief in truth of statement made– legitimate business purpose in making allegedly
defamatory statement
PROACTIVE STEPS
Establish and adhere to policy limiting dissemination of information about employee investigations
Limit dissemination of information to“Need to know” basis
Implement policies protecting employee personnel files and investigative records
Implement consistent policy on reference checks
Avoid and/or carefully word press releases, etc., especially before investigation complete
UNIONIZED EMPLOYEES
Disciplinary actions governed by terms of collective bargaining agreement
Employee has right to union representation
Arbitration is key forum for resolving disputes about employee discipline
ARBITRATION
Both sides have right to legal representation and to present evidence
Employer may not interfere with right of employees to testify at arbitration hearing
Arbitrator is not required to follow finding of misconduct in another forum, even a criminal court
PUBLIC SECTOR UNION ISSUES
Rules regarding union activity by state and municipal employees are established by state law, not federal law
State law also defines administrative procedures for public employee discipline
PROACTIVE STEPS IN UNION CONTEXT
Run training sessions, which include clear statement of disciplinary rules
Give union policy statement on disciplinary procedures for staff sexual misconduct
Review collective bargaining agreement for inconsistent terms; request modifications if necessary
NONUNION CONTEXT:PRIVATE SECTOR
Most private-sector nonunion employees are “at will” employees who can be fired at any time for any nondiscriminatory reason
Employee personnel manuals can modify the at-will rule
PROACTIVE STEPS: NONUNION, PRIVATE SECTOR
Check personnel manuals, revise or eliminate any problematic terms
Distribute to employees policy statement on employee sexual misconduct
Develop and adhere to consistent procedures on access to disciplinary and personnel information, reference checks, etc.
PRIVACY ISSUES
In public sector, U.S. constitution applies
basic test is “did the employee have a reasonable expectation of privacy?”
courts will engage in a fact-specific inquiry
PROACTIVE STEPS: EMPLOYEE SURVEILLANCE
Provide general notice about employee surveillance methods
Restrict surveillance methods to those reasonably necessary
Use even-handed procedures for selecting surveillance targets
PSYCHOLOGICAL TESTING
No legal bar under federal law to using, EXCEPT as it may indicate discrimination – e.g., asking about religious views
Should check with your legal counsel about state law bars
In public sector, privacy concerns re: intrusive questions may also be issue
EMPLOYEE POLYGRAPH PROTECTION ACT
federal law prohibits most polygraph testing in private sector but exempts public employees
Many states have rules limiting or prohibiting polygraph testing; check with your legal counsel