16.7.6 Investigative Processes

(Last Modified on April 12, 2022)

A. Evaluation: Each institution will include in its procedures, a process for evaluating and resolving complaints received on the Ethics Line, assigning a case manager, establishing and maintaining communications with all appropriate parties, establishing an estimated timeframe for the resolution of reports received, and ensuring that cases are properly documented and closed. The evaluation process shall also include determining if the concerns raised in the report should be directed to a particular supervisor for remediation or to a department or office for investigation in accordance with previously established policies and procedures of the institution.

B. Case Manager: A case manager will be assigned to all Ethics Line reports received. The case manager will be responsible for the proper handling of the case, including determining if the case should be directed to a department or office in accordance with previously established policies and procedures, the assignment of additional investigators (if needed), conducting interviews, documenting all relevant information in the case file, ensuring that timely communication is maintained with all appropriate parties, including the reporter and the accused, ensuring that any required corrective action is taken, and closing the case in the case management system in a proper and timely manner. If a case is directed to another department or office for remediation, the case manager maintains the responsibility to ensure the case is properly resolved, that appropriate communication is maintained with all parties and for closing the case in the case management system.

C. Communication with the Reporter / Complainant: A response to the reporter / complainant shall be made within two (2) business days of the receipt of the Ethics Line report that, at a minimum, acknowledges receipt of the report. The reporter also may be asked to provide additional details to assist in evaluating and resolving the matter reported. The reporter shall be kept informed of the status of the investigation and shall be notified concerning the resolution of the case and, when appropriate, the action taken.

D. Communication with Named Persons: Named persons alleged to have committed a violation shall be notified of the allegations made and shall be kept informed of the status of the investigation. Notification shall be made at the time and to the extent that the case manager determines that it will not adversely affect the integrity of the investigation. Notifications should be coordinated with both the applicable institution’s Office of Human Resources and the named person’s supervisor or supervisory chain.

E. Corrective Action: Any recommended corrective action pertaining to USG employees will be taken by or coordinated with the institution’s human resources department. Corrective action includes, but is not limited to, recommended training, retraining, counseling, reprimands, suspensions and the termination of employment, consistent with the institution’s progressive discipline policy and other applicable policies.

F. Closing the case: Once all necessary investigative acts have been completed and properly documented, the administrative process to properly and promptly close the case must be completed. These closure processes shall minimally include: notifying the reporter/ complainant, documenting the resolution and action taken, and making the required entries in the case management system in a manner that properly documents the date on which the case is closed.

G. Case Resolution: Reports which confirm a policy violation, identify significant safety or environmental concerns, substantial inefficiencies, or the identification of significant institutional risks should be closed as “Substantiated” or “Partially Substantiated”. There can be instances when an employee is cleared of wrongdoing, but the report is closed out as “Substantiated” or “Partially Substantiated” due to the finding of significant safety or environmental concerns, substantial inefficiencies or the identification of significant institutional risks. In all cases, the report and/or the notes in the case management system should indicate if an employee was cleared of allegations of wrongdoing, policy violations or unethical behavior.