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Standards for University Investigations Policy


Purpose/Background

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. 

Definitions

TermDefinition
ComplainantPerson, whether anonymous or not, who alleges a Compliance Violation.
ComplaintReport made of a Compliance Violation
ConstituentUniversity community which includes faculty, staff, students, alumni, and vendors
ViolationAny action or failure to act by a University constituent that results in: 1) a violation of state or federal law, rules or regulations; 2) a violation of University policy or procedure; 3) fraud, theft or misappropriation of University or government resources; 4) a significant and unreported conflict of interest; or 5) substantial and specific danger to the University community or the public health and safety.  This includes complaints of discrimination, bias, and research misconduct.
Decision MakerPerson or persons responsible for receiving the results of an Investigation, for determining the facts in light of the evidence presented, and for deciding what University response is required, if any.
InvestigationUniversity-authorized internal examination, inspection, inquiry, analysis, or review to determine facts. An Investigation is not a hearing and may be formal or informal.
Investigation Review Team (IRT)Group assigned to review and evaluate incoming Complaints for appropriate assignment and disposition.
InvestigatorPerson or persons charged with responding to a Complaint by gathering and presenting the evidence to the Decision Maker for determination and a decision. 

 

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

Applicability/Responsibility

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:  

  1. All Investigators and Decision Makers must be free of personal interest or bias in the case, and should also guard against the perception of bias.
  2. Retaliation based on an individual's cooperation with an Investigation is strictly prohibited.
  3. There must be a separation of duties between the Investigator and the Decision Maker. The Investigator gathers and presents the evidence, while the Decision Maker reviews evidence to determine the facts and decides what University response is required, if any.
  4. Within the realm of the subject matter, the Investigator will make all reasonable efforts to interview relevant parties.
  5. Investigations must be conducted in a professional manner to avoid an atmosphere of intimidation. 
  6. Decision Makers must ensure appropriate due process for person(s) affected by the Investigation outcome. 

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. 

Contact Information 

SubjectDepartment Phone/Email/WebpagePhone/Email/Webpage
Notice of a ComplaintUniversity Compliance Officer209.932.7597 

 

Related Information

ItemDescription
University Links 
Forms 
Related Links 
Procedures  Standards for University Investigation

 


About This Policy
Last Updated
6/25/2020
Original Issue Date
6/25/2020

Responsible Department
Compliance