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Institutional Compliance

» Cooperation with Investigations Policy

POLICY STATEMENT

Chapman University is committed to conducting its affairs ethically and in compliance with laws, regulations, and university policies, and safeguarding members of the university community and university resources.

REASON FOR THE POLICY

When a report of potential ethical misconduct or other wrongdoing is made, the university has a responsibility to investigate and implement corrective action, if necessary.  To meet this responsibility, employees of the university must cooperate with investigations.

POLICY

Definition

Investigation – any university-authorized internal examination, inspection, inquiry, analysis, or review to determine facts.  An investigation is not a hearing or legal proceeding and may be formal or informal.  Investigations may be undertaken by university units, including, but not limited to Institutional Compliance, Dean of Students, Equal Opportunity Office, Title IX Coordinator, Legal Affairs, Human Resources, Internal Audit and Public Safety.

Duty to Cooperate

All employees must cooperate fully with investigations undertaken by persons charged with conducting the inquiry.  Cooperation with investigations includes, but is not limited to:

  • Promptly acknowledging and responding to request for information;
  • Making oneself available for meetings with investigating officials;
  • Providing full, accurate, and truthful information;
  • Keeping confidential information learned or transmitted during the investigation, unless directed by legal authorities, and
  • Preserving relevant information and documents.

Non-cooperation or obstruction of an investigation is subject to university disciplinary action, to include termination of employment.

Confidentiality and Non-retaliation

Confidentiality for individuals who are interviewed or otherwise cooperate in an investigation will be maintained to the extent possibly by law.  While absolute confidentiality cannot always be guaranteed, all matters will be kept private (i.e. shared only with those with a need to know).

To protect the confidentiality of individuals who participate in investigation and to protect the integrity of the investigative process, individuals normally will not be informed of the outcome of the investigation.

Retaliation based on an individuals’ cooperation with an investigation is prohibited, and subject to disciplinary action.  All suspected reports of retaliation should be reported immediately to the Chief Compliance officer, or to Legal Affairs, or other senior level personnel.

OFFICE RESPONSIBLE FOR POLICY

Name of Office: Institutional Compliance

Contact information for questions about this policy: Gail Nishida, Chief Compliance Officer, compliance@chapman.edu

WEBSITE ADDRESS FOR THIS POLICY

https://www.chapman.edu/campus-services/institutional-compliance-and-internal-audit/institutional-compliance/policies/cooperation-with-investigations.aspx

WHO APPROVED THIS POLICY

Senior Staff member submitting the policy: Harold Hewitt

Date approved: August 13, 2019

[Signed]

President

PUBLICATION DATES

Effective: August 13, 2019

RELATED MATERIALS

Code of Ethics policy