This policy is to provide standards for responsible parties when conducting Investigations following a complaint, report of misconduct or violation of a university internal policy or external governmental law or regulation.
The Policy Statement
University of the Pacific is committed to conducting its investigations ethically and in compliance with laws, regulations, and University policies, and to treating fairly members of the University community
The policy covers all University Investigations that pertain to University constituents, including faculty, staff, students, alumni, and vendors.
When a Complaint of potential legal or ethical misconduct or other wrongdoing is made, the University has a responsibility to investigate and implement corrective action, if necessary. To meet this responsibility, Investigators must observe these minimum standards.
A. The University is required to document and track all Complaints for evaluation and compliance with this Policy.
B. Investigations may be conducted by various University departments or offices pursuant to their own internal investigation policies and procedures, but in all matters, the following minimum standards must be met:
C. Investigations outcomes will continuously be reviewed to ensure this Policy is being followed and the results and recommendations of the Investigations have been implemented.
Investigation Review Team (IRT)
The University will ensure all Investigations are handled by the appropriate department. Complaints may be received by various university departments or offices, including, but not limited to, the following: Compliance Committee Member, Compliance Lead, Equal Opportunity Office, Title IX Coordinator, Office of General Counsel, Human Resources, and Internal Audit. Upon receiving a Complaint, care shall be taken to document receipt, and promptly to transmit notice of the nature and contents of the allegation to the IRT.. Upon the receipt of a report of an alleged Violation, the IRT will evaluate the information received to determine where the matter will be placed for Investigation.
The IRT consists of the following members (or their designee): Chief Audit Executive, Chief Compliance Officer, AVP of Human Resources, and Title IX Coordinator. The General Counsel will serve as advisor to the IRT's initial review and assignment by IRT. The IRT may determine, on an ad hoc basis, to include a subject matter expert when necessary.
Violations Any violation of this Policy, including conducting an Investigation below the standards outlined above, is subject to University disciplinary action, up to and including termination of employment.
Standards for University Investigation [SB1] Procedures