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What
is an Investigation? |
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How
do I report a concern? |
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What
should I report? |
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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 |
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What
is Management's role in Investigations? |
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Who
has responsibility for addressing complaints and
allegations? |
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Are
Investigations confidential? |
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Who
receives Investigation results? |
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Why
should I report concerns? |
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Does
UAC understand the impact of an investigation on
University faculty and staff? |
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What is an Investigation? |
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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. |
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How do I report a concern? |
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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. |
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What should I report? |
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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. |
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What happens during an Investigation? |
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The
investigation process includes the following steps:
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Receipt
of Allegation or Complaint |
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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 |
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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 |
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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 |
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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 |
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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 |
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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. |
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What is Management's role in Investigations? |
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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. |
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Who has responsibility for addressing complaints and allegations? |
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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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Are UAC Investigations confidential? |
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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. |
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Who receives UAC Investigation results? |
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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. |
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Why should I report concerns? |
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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. |
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Does UAC understand the impact of an investigation on
University faculty and staff? |
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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 OUAC 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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© 1998 - 2006 · University Audit & Compliance
3702 Spectrum Boulevard · Suite 180 · Campus Mailpoint ADM241 · Tampa, FL 33612-9444 ·
(813) 974-2705
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