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Investigations

 
 
What is an Investigation?
How do I report a concern?
What should I report?
What happens during an Investigation?
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 Receipt of Allegation or Complaint
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 Preliminary Review
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 Assignment of Project
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 Fact Finding
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 Reporting of Results
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 Post Investigation Review
What is Management's role in Investigations?
Who has responsibility for addressing complaints and allegations?
Are Investigations confidential?
Who receives Investigation results?
Why should I report concerns?
Does UAC understand the impact of an investigation on University faculty and staff?
 
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  What is an Investigation?
 
An investigation is an objective review of evidence related to a complaint or allegation. The President and the Board of Trustees have charged UAC with performing investigations related to the University and its related organizations.Reports of concerns and allegations may not be supported by the facts. That is why it is critical that the investigative process be managed discreetly and confidentially to ensure the integrity of the process and protect the reputations of named individuals. Florida law supports the need for confidentiality during investigations and permits active investigations to be classified as exempt from public record. Only those with a legitimate business need are provided with information related to on-going investigations.
 
  How do I report a concern?
  We encourage faculty, staff, and students to initially discuss concerns with their supervisor. However, if an alternative reporting approach is desired, you may contact UAC by phone, letter, e-mail, fax (813-974-3735) or in person. Anonymous complaints may be made using the University's EthicsPoint Hotline.
 
  What should I report?
  Individuals should report what they believe, in good faith, to be fraud, abuse, mismanagement, misconduct, waste or other wrong-doing at the University. Reports must be specific enough to allow for assessment of the allegations.
 
  What happens during an Investigation?
  The investigation process includes the following steps:
   
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Receipt of Allegation or Complaint
Complaints and concerns may be received in UAC directly from an entity or an individual or concerns may be forwarded to UAC from various University offices, management, state and local government agencies, and the State of Florida's anonymous reporting line - the "Get Lean Hotline" system.
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Preliminary Review
Allegations and concerns are reviewed to determine (a) the significance, immediacy or urgency of the matter (for example a health & safety concern), (b) the most appropriate office to address and assess the facts, and (c) whether sufficient information exists for an investigation. If UAC determines that an investigation is warranted as a result of the preliminary review, the appropriate level of management is notified.
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Assignment of Project
Investigations are assigned to UAC staff who are independent of the issues identified and may have expertise in a particular area. Investigations are scheduled based on urgency and staff availability.
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Fact Finding
An objective process is used to gather information internal and external to the organization. This fact-finding process may include conducting interviews. Based on professional standards, information gathered is evaluated to assure that there is adequate evidence to support a conclusion.
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Reporting of Results
Reports are drafted based on the information gathered and assessed by UAC. Exit meetings are held to review draft findings and seek clarification from management and individuals related to the matter under investigation prior to issuing a final report.

The final report is issued a no less than ten (10) working days after a draft of the report has been shared with management. Report copies are distributed only to those individuals with a business need for the information.

The University's Office of General Counsel determines when final reports become public record and has delegated to UAC the responsibility for responding to public record requests
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Post Investigation Review
After assessing the allegations, UAC evaluates the related internal control and compliance impact of an investigation. This information along with related risks and recommendations is reported to senior management in a separate management letter.

Management determines whether and what action will be taken, if any, as a result of an investigation after the report has been issued by UAC.
 
  What is Management's role in Investigations?
 
Supervisors at all levels (including: VPs, AVPs, Deans, Directors, Managers, Supervisors) have an obligation to address concerns related to their employees or operations that are reported directly to them. If an allegation has been made directly to UAC, or referred to UAC for investigation, supervisors have the responsibility to:

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Maintain information related to the investigation in confidence and review issues and concerns with UAC during the course of the investigation.
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Secure and preserve documents and other evidence so as to prevent modification or destruction.
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Address the results of investigations and related internal control and compliance findings.
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Prohibit retaliatory action against an employee or student who brings forward a concern or complaint.
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Forward public record requests related to investigations to the Office of General Counsel or UAC, as appropriate.
 
  Who has responsibility for addressing complaints and allegations?
 
There are several offices on campus that have been charged with the responsibility of conducting investigations based on their expertise. Specific offices at USF with responsibility for specialized investigations include:

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Office of Diversity & Equal Opportunity
  Discrimination or sexual harassment issues. See "How to file a DEO complaint" at: http://usfweb2.usf.edu/eoa/complaint.asp
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Human Resources
  Personnel-related issues, such as the hiring, promotion, compensation or termination decisions for A&P, USPS, and OPS staff. See the grievance process at: http://usf.edu/usfpers/emplrel.html
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Provost's Office
  Faculty & Graduate Assistants Grievance Process see: http://usfweb2.usf.edu/usfgc/ogcweb/currentregs/USF10-113.htm
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 Office of Student Rights & Responsibilities
  Student concerns or grievances associated with performance by non-academic sections of the University see: http://www.sa.usf.edu/srr/page.asp?id=69
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 Public Safety
  Allegations of criminal activity see: http://upolice.up.usf.edu/
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 Division of Research, Integrity & Compliance
  Scientific and Fiscal Misconduct see: http://www.research.usf.edu/cs/
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 USF Health, Professional Integrity Office
  Issues regarding the provision of health-related services see: http://health.usf.edu/pio/index.htm
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 Office of University Audit and Compliance
  Whistleblower complaints. fraud, fiscal misconduct, and other concerns which are not addressed by a specialized investigation see: EthicsPoint Hotline.
 
  Are UAC Investigations confidential?
  Investigations conducted by UAC are professionally and discretely managed. All matters during the course of an investigation are classified as "confidential" and are only provided to University employees who have a business need for this information. Once an investigation has been concluded, however, Florida law requires that many investigations be classified as public record. The USF Office of General Counsel determines when investigation records and reports are considered public and directs the release of information by UAC as required by law, regulation, or governance requirements.
 
  Who receives UAC Investigation results?
 
Throughout the course of an investigation, periodic briefings are provided to the Provost, relevant Vice President(s), or their designees, and a select group of University offices, such as the Office of General Counsel. Once the investigation has been concluded, final results are shared with individuals named in an allegation, management with a need-to-know, Media Relations, and the Office of General Counsel. Other University offices may receive these results based on the nature of their responsibilities and the results of the investigation. While these results are shared with a limited audience, regulations or governance standards may require distribution to research sponsors or selected State of Florida or Federal agencies.
 
  Why should I report concerns?
 
The University is committed to institutional integrity, accountability, and compliance with the law. USF believes in DOING THE RIGHT THING. If you are aware of practices that are not consistent with these values, it is only through open communication of your concerns or questions that the University can address them and make it RIGHT.
 
  Does UAC understand the impact of an investigation on University faculty and staff?
 
The University has an obligation to investigate complaints. There are instances where the uncertainty and discomfort that an investigation may cause is disproportionate to the low materiality of a reported issue. There are also many occasions where misconduct was not intended, which can also increase the unwarranted stress on those under investigation. Unintentional misconduct caused by lack of clear guidelines and procedures is not to be confused with misconduct that is premeditated, systematic and material in value or impact.

We understand that any investigation is accompanied by a degree of stress for all concerned and can have a disruptive effect on the workplace. It can be particularly upsetting for those under investigation because their job, their reputation and even their relationships at and away from work are potentially at risk. It also has a debilitating effect on others in the workplace, such as:

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 Internal witnesses, who may feel uncomfortable about their role, or fear reprisals.
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 Co-workers, who may fear the investigation process or feel anger towards management for allowing the misconduct and/or the investigation to occur.
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 Managers, who may feel a sense of betrayal that the problem was not identified earlier.

In addition, gossip and innuendo about those who might have been involved may create an atmosphere of distrust in the workplace.

Apart from the associated distress, investigations can be costly and time consuming. Although UAC endeavors to minimize disruption in the workplace during an investigation, there are other potential costs to the University, such as:

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 Increases in stress may lead to increased sick leave and decreased productivity.
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 Diversion of resources required to manage issues arising from an investigation, impacts on the workplace and any media or union involvement.
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Implementation of remedial action that may be required after an investigation.

We recognize that there are many instances where an investigation “cure” can be a great deal more costly than its prevention through a proactive evaluation of practices, implementation of controls, creation and education of clear guidelines, policies and procedures. UAC is committed to assisting the University in addressing issues proactively through programs including the University’s Compliance Program.
 
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