How to Respond to a Report
University Compliance manages the resolution of an average of 100 reports per year made to the Ethics and Compliance Hotline. University Compliance staff act in a consultative and advisory role, assisting those offices and individuals with authority to investigate and address reported concerns.
When a report is received, University Compliance conducts an initial assessment to determine if the report contains information that is actionable and which offices or individuals have a role in resolving/addressing the reported concern(s). When needed and possible, University Compliance may confidentially communicate with the reporter to share information and/or request additional information. However, due to the confidential nature of most reports, final investigative outcomes are typically not shared with reporters.
When a report is referred to an office or individual, University Compliance provides all information submitted by a reporter and written guidance to support the review and response process, including a sample report response template.
Upon completing the review and response process, report recipients must provide written confirmation to University Compliance. While confirmations do not need to follow the structure of the sample report response template its structure is recommended.
Confirmations which are thorough and complete include:
- A summary of the inquiry/investigation or an explanation of why an inquiry/investigation was not conducted.
- Relevant information such as names of individuals interviewed/consulted; dates individuals were interviewed; documents reviewed, and/or how each allegation in the report was addressed if multiple concerns were identified.
- Determinations/findings and outcomes.
- Which policy/policies were violated, or an indication that no policy/policies were violated.
- Any corrective or preventative actions.
Important Reminders:
- Practice discretion: only share information from the report that must be disclosed to conduct the inquiry/investigation.
- Inform all individuals interviewed that the inquiry/investigation is confidential.
- Take proactive action to prevent adverse action against the reporter and inquiry/investigation participants.
- If required reporting is warranted by the report, or information revealed during inquiry/investigation, such as reporting to the Office of Institutional Equity, the Threat Assessment and Management Team etc., complete reporting and document the action.
- Units with existing internal assessment and investigative procedures should follow their own procedures. Please consult with University Compliance as needed.