Ethics and Compliance Investigations
All concerns submitted to the VCU Helpline or directly to the ICO are taken seriously. We appreciate very much the courage it takes to make a report about something you have experienced in your work environment, especially when reporting outside of your unit.
Our goal is to address reported concerns with a fair and transparent process, and we are happy to answer any questions our university community members may have. You can reach us at ucompliance@vcu.edu.
Here's a little more detail about the process:
We ask:
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- Is the information credible?
- Does it relate to university activities and personnel?
- Do we have enough information to proceed, or do we need to ask for more?
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- exactly what the issues are
- which office is best equipped to handle them
- whether any conflicts of interest may exist that need to be addressed so the concerns can be neutrally investigated
Most of the time, the concerns are best handled by other departments at the university. In those cases, the ICO refers the information to them and stays in communication with those departments as they proceed with their investigations or processes.
Sometimes, a concern or allegation needs to be investigated by a neutral and independent office like the ICO. We examine the concerns, which may include an initial intake meeting with the reporter (the person who submitted the concern) to get more information before committing to a formal investigation.
If you feel this is not happening, please let us know - we will look into it and follow up with you.
A notice announcing the close of the investigation will be provided to reporters and any participating witness who requests one.
The ICO will communicate investigative findings to the appropriate senior leaders, who will then work in partnership with Employee Relations or other offices to determine what actions to take.
Leaders are responsible for responding to misconduct and taking action to prevent it from happening again.
What is misconduct?
Misconduct is defined as failing to meet university expectations, defined as compliance with laws, regulations or universitywide policies and procedures. This includes the most commonly violated policy, Expectations of Ethical Conduct [DOC].
VCU's commitment to non-retaliation
By asking a question, raising a concern in good faith, or participating in a workplace investigation, you are following the Code of Conduct and doing the right thing. Retaliation (or threat of retaliation) is not tolerated.
VCU defines retaliation as an adverse employment action, or credible threat of an adverse employment action, taken against an employee who has reported known or suspected misconduct, participated in an inquiry or investigation, or raised a concern. Disciplinary action resulting from performance or taken as a result of misconduct is not considered retaliation. Types of adverse action include, but are not limited to: dismissal from employment; demotion; unfounded negative job references; loss of salary or benefits; transfer or reassignment; denial of promotion that otherwise would have been received; and/or unwarranted written notices or change in day to day job duties. Managers should be especially mindful of taking actions that may be perceived as retaliation. To learn more, please review the universitywide Duty to Report and Protection from Retaliation policy.
Crimes are reported to VCU Police and the Commonwealth’s Attorney's Office.
Questions about this process may be directed to the University Chief Ethics & Compliance Officer at 804-828-2336.