Printed on: 08/20/2018. Please go to http://policy.umn.edu for the most current version of the Policy or related document.

ADMINISTRATIVE PROCEDURE

Addressing and Investigating Reports of Misconduct: UReport

Confidentiality

 The Office of Institutional Compliance (OIC) and units/individuals, who receive concerns of misconduct including those concerns captured through the UReport system, are responsible for maintaining the confidentiality of the concerns to the extent allowed by law. OIC will hold documentation of concerns received via UReport confidential to the extent allowed by the law. Information about UReports, including the outcome of any review of those UReports, are shared on a need-to-know basis or as otherwise required by law. The University President, the Chief Compliance Officer, and General Counsel determine when a public report will be issued.

Communicating with the Reporter/Complainant

OIC will handle updates to reporters through the UReport system which will include, at a minimum, acknowledgement of the initial report, notification that the report has been assigned and to whom, and notification that the matter has been reviewed and the UReport closed. Any request for additional information made via the UReport system will go through OIC.

If the reporter has self-identified, the investigator may also communicate directly with the reporter during the review, investigation, etc.

Responding to UReports

  1. UReport Evaluation and Assignment
    1. OIC will communicate to the reporter promptly (usually within 2 business days), acknowledging receipt of the report and inquiring as to whether or not the same matter has been reported or investigated elsewhere. If the matter has been reported or investigated elsewhere, OIC will contact the appropriate party(s) to gather additional information.
    2. OIC will, in partnership with other units as appropriate, determine whether additional information should be requested form the reporter and assess whether the reported matter could be a violation of law or University Policy.
      1. If OIC determines that the matter is not a violation of law or University policy, OIC will document this conclusion in the UReport system and close the UReport.
      2. If it is unclear whether the UReport violates law or University Policy, or if additional follow up is warranted, OIC will assign the matter to a University unit or individual to address the UReport. In this case, OIC will update the UReport with the assignment, a high level timeline, and contact information to whom the UReport was assigned.
  2. Initial Assessment
    1. The assigned unit/individual reviews the information provided on the report to identify the following.
      1. Name of the complainant      
      2. Brief description of the alleged violation or concern
      3. Law/regulation/policy that was allegedly violated
      4. The dates and location of the alleged violation or conduct      
      5. Unit or individual(s) alleged to have engaged in the violation or conduct
      6. Individuals named in the report who may have knowledge of the alleged violation or conduct
    2. The assigned unit/individual determines if an investigation is warranted, considering the following:
      1. Is there sufficient information to conduct an investigation?
      2. Is the reporter responding to requests for information?
      3. What is the likelihood of confirming the validity of the allegation from other sources?
      4. Given the nature of the allegation, what additional expertise would be needed to explore the matter further?
    3. If it is determined that an investigation is not warranted, the unit/individual works with OIC to respond to the reporter and close out the report. The unit/individual will also:
      1. Determine if follow steps are warranted;
      2. Contact the responsible administrator about follow up steps, as appropriate; and
      3. Complete steps outlined in Section D, below.
  3. Investigations
    1. If it is determines that an investigation is warranted, the investigator will create an investigation plan, which includes:
      1. the scope and objective of the investigation;
      2. identification of the particular law(s) or University policy(s) that are alleged to have been violated;
      3. the names of the individuals who would be interviewed;
      4. the approach to be used for the interviews (e.g., interviewer, how they will be scheduled, where they will occur, sequencing of the interviews);
      5. list of support documentation to be requested; and
      6. the schedule or timeline for the investigation. The investigator will advise OIC when an investigation is anticipated to take more than 75 days and will periodically update OIC regarding progress and expected completion date.
    2. The investigator conducts the investigation (see Appendix: Best Practice for Conducting Interviews).
      1. Schedule interviews
      2. Conduct interviews
      3. Document interviews
      4. Gather additional documentation
      5. Summarize the information collected from interviews and other sources
  4. Investigation Determination
    1. Investigator reviews all information to determine whether or not a violation of law or policy is substantiated.
    2. If it is determine that there is no violation of law or policy, go to E below.
    3. If it is determined that there was a violation of law or policy, the investigator will:
      1. consult with the employee’s appropriate University manager or administrator;
      2. determine corrective measures to be taken (possibly in consultation with OHR, the Chief Compliance Officer, or others);
      3. identify who will take the corrective measures and timeline; and
      4. complete the steps in E below.
  5. UReport Close
    1. The investigator completes the UReport Summary (see Form: Final UReport Summary) or their own, internal report summary and forwards the completed document to OIC. If the investigation exceeds the specified timelines in C.1 above, an explanation for the delay must be included in the UReport Summary.
    2. OIC will update the UReport system and close the UReport, within 2 business days of receiving the UReport Summary. The reporter will receive notification via the UReport system.
  6. Associated Action Monitoring
    1. If a violation of law or University policy was found and an action plan was created, the investigating unit will monitor completion of action items.

Existing Processes and UReport Summary

Units may use an alternate process to review reported concerns, conduct investigation, and document the outcomes, so long as all the procedural steps and the elements of the UReport Summary are included.

Events that Require Engagement with Other Units

If, during the course of the investigation, any of these situations become apparent, please contact the unit specified below.

  1. Contact Law Enforcement for any emergency or imminent danger.
  2. Contact the Office of the General Counsel (OGC) if the reported matter is:
    1. misconduct by a high-level University official/senior leader;
    2. widespread or serious violations of law or University policy;
    3. a situation that may result in criminal charges;
    4. a situation that may require the University to self-report a violation to an outside agency or entity;
    5. any other circumstance that requires that the investigation be conducted under the attorney-client privilege; or
    6. the possibility that a reporter has also made a disclosure to the public or to an external authority; or
    7. There is an indication that the reporter or 3rd party has engaged legal counsel or that a lawsuit may be initiated.
  3. Contact the Office for Equal Opportunity and Affirmative Action (EOAA) if the reported matter involves sexual harassment, sexual assault, stalking, or relationship violence.
  4. Contact the Office of Human Resources(OHR):
    1. when the report involves a bargaining unit employee to guide the investigator on the role of the union steward when conducting the investigation and any future interviews; or
    2. when named person’s behavior is ongoing and needs to be stopped/addressed prior to investigation ending.

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