Institutional Resources and Handling Complaints
Office of Compliance Assistance
The Office of Compliance Assistance (OCA) is a unit within the Office of the Provost. The activities of OCA focus on federal compliance issues, including conflicts of interest, scientific misconduct, and other issues related to the responsible conduct of research. OCA assists in developing and implementing policies that establish and maintain a climate of integrity at the University
OCA's approach to compliance includes:
- Informing the USU Community about regulations that impact our activities
- Educating administrators, faculty and students about the responsible conduct of research
- Assisting in the implementation of ethics-related policies and procedures
- Investigating and reporting on potential conflicts of interest at USU
The Office of Compliance Assistance is managed by the Federal Compliance Manager at USU. OCA can be reached by calling (435) 797-8305, or e-mailing firstname.lastname@example.org.
Internal Audit Services
Internal Audit Service (IAS)s has the responsibility for reviewing complaints and allegations of a fiscal or related compliance nature. This includes complaints and allegations made under the statutes of the State of Utah and University Policy.
IAS performs these duties through an investigative process designed to address the complaint issues and to provide guidance with internal control issues that may develop as a result of the investigation.
There is no specific venue or format limiting how complaints/concerns must be communicated, but there is a basic need/expectation that the information provided will establish sufficient predication for review.
Complaints/concerns are received from a variety of sources and venues:
- Direct from the complainant as a specific communication (in-person, through letter/email or phone call or established hotlines)
- Referral from colleges and University offices
- Audits or other Internal Audit Services engagements
- Through the news media
The Internal Audit Services hotline (435-755-7118) is a resource for all University faculty and staff to raise issues, seek advice and report concerns related to proper business conduct and ethical dilemmas. This telephone hotline has been designated to receive information about improprieties or other concerns. If calling after hours please leave a voice mail. Internal Audit Services will respond to your concern(s) in a timely and professional manner. The hotline has been designed to ensure anonymity unless the caller provides their name.
Overview of Investigation Process
The first step is generally a preliminary fact finding stage to determine if the complaint presents the predication needed for an investigative review. If the complaint may be more appropriately addressed by another area such as Human Resources for personnel issues, Student Services for student issues, Office of Affirmative Action/Equal Opportunity for affirmative action issues, USU Police Department for criminal issues, University Counsel for legal issues, it is referred to the appropriate area.
After the preliminary review, assistance may be requested from the unit head, the University's general counsel, or the University police department. For each investigation, assigned Internal Audit Service's personnel must document their independence from the issues presented.
Fact finding and evidence gathering procedures should be as objective as possible. Employee interviews are conducted as necessary. Evidence gathered should be from sources independent of the unit or subject employee when possible.
At the conclusion of the investigation, a report is issued to appropriate management and, if necessary, to prosecuting officials.
A University Internal Audit Services Website has been developed to provide a resource for University employees. The site contains useful links to other USU ethics-related websites, Control Awareness Training and additional information on reporting concerns. The site address is http://www.usu.edu/intaud.
Internal Audit Services Hotline
Available 24 hrs/day to confidentially report impropriety in university-related business