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Investigation Process

Generally, investigations include the following steps:

  • An allegation is received from an employee, student or through the confidential anonymous hotline. 
  • If the allegation is made through the hotline, reports are immediately sent to both the Internal Audit Director and the University Attorney.
  • A preliminary evaluation of the allegation is conducted to determine whether it appears to be substantiated, the seriousness of the concern and if it should be referred for further investigation.  
  • The allegation is also reviewed to determine if it may be more appropriately addressed by another department such as Human Resources for personnel issues, Affirmative Action for discrimination issues, General Counsel for legal issues, or Public Safety for safety or security issues.
  • University administration and senior management in the affected area are notified when appropriate.
  • A confidential investigation is conducted by Internal Audit personnel.  The purpose of the investigation is to gather facts related to the allegation, not to determine guilt or innocence of the suspected individual(s).  Investigations typically involve the examination of records and interview of employees.
  • At the conclusion of the investigation, a report is issued to appropriate management and, if necessary, to law enforcement officials.
  • Internal Audit will often follow up by consulting with the department involved about internal control improvements or changes that could be made to internal controls and processes to prevent recurrence, or providing training for staff in the affected department on internal controls and fraud awareness.