Printed on: 12/13/2018. Please go to http://policy.umn.edu for the most current version of the Policy or related document.
Procedure

Addressing and Investigating Reports of Misconduct that are Reported Outside of the UReport System

Administrative Procedure

Confidentiality

All units who receive concerns of misconduct are responsible for maintaining the confidentiality of the concerns to the extent allowed by law.

Existing Processes and Final Summary Reports

Units may use the Final Summary Report template to document concerns that were reported and their outcomes.

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.

Responding to Reports of Misconduct

  1. Initial Assessment
    1. The unit receiving the complaint/report of misconduct gathers information from the report, which would likely include:
      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 unit 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 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.
  2. Investigations
    1. The unit determines who will investigate the matter and notifies them.
    2. The designated investigator creates 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. A typical investigation should be concluded within 60 days of receiving the matter.
    3. 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
  3. Investigation Determination
    1. Investigator reviews all information to determine whether or not the allegations are substantiated.
    2. If the allegations are substantiated, the investigator will:
      1. Consult with the employee’s manager;
      2. Determine corrective measures to be taken (may want to consult with OHR, the Chief compliance Officer, etc.); and
      3. Identify who will take the corrective measures and what the timeline will be.
    3. If the allegations are not substantiated, go to Step E.
  4. Closeout
    1. Investigation records, including a Final Report Summary if used, must be maintained in accordance with the University of Minnesota’s Record Retention Schedule. The investigator may choose (optional) to complete a Final Report Summary (see Form: Final Summary Report). It is highly recommended that the investigator share the Final Report Summary with leadership as appropriate.
    2. The investigator will determine the best course of action to communicate with the person who submitted the report.
  5. 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.

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