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RESPONDING TO REPORTS

Related Policy – Whistleblower Protection

About This Procedure

Responsible Officer
University President

Policy Owner
Director of Human Resources

Policy Contact
Kate Ketterling

Issued
2019-09-12

University Procedure


Responding to Reports

Individuals receiving reports will escalate reports to the Office of Human Resources or appropriate university administrator that can properly address and investigate the report (if there is a conflict with the Office of Human Resources.

  • Reporting requirements and investigation procedures may be subject to procedures set forth in other university policies.
  • If the investigation of a report that was done in good faith and investigated internal personnel is not to the whistleblower’s satisfaction, then he/she has the right to report the event to the appropriate legal or investigative agency.

Assessing Claims

  1. The Office of Human Resources or university administrator receiving the complaint/report of misconduct gathers information from the report.
    • The Office of Human Resources or university administrator determines if an investigation is warranted.
  2. If it is determined that an investigation is not warranted, the division director or university official works with the reporter and communicates how they came to the conclusion to close out the matter. The unit might also identify other steps that the reporter might take or other resources to assist with their concern.

Investigating Claims

  1. The Office of Human Resources or university administrator determines who will investigate the matter and notifies the investigator.
  2. The designated investigator creates an investigation plan.
  3. The investigator conducts the investigation.

Adjudicating Claims

  1. The investigator reviews all information to determine whether or not the allegations are substantiated.
  2. If the allegations are substantiated, the investigator will:
    • Consult with the employee’s supervisor;
    • In consultation with relevant university offices, determine corrective measures to be taken.
    • Identify who will take the corrective measures and what the timeline will be.
  3. If the allegations are not substantiated, the investigator will close out the investigation

Closing out an Investigation

  1. Investigation records must be maintained in accordance with the university policy.
  2. The investigator will determine the best course of action to communicate with the person who submitted the report and all other relevant parties.

Associated Action Monitoring

  1. If the allegation was substantiated and an action plan was created, the investigator should meet with relevant leaders and/or human resources professionals to determine the appropriate monitoring actions.