Internal Complaint Review Procedures
Review procedures include the following steps:
- Receipt of a complaint or allegation – complaints and allegations may be received through the Ethics Line (1-866-758-2146), via email (email@example.com), US postal mailings, fax (217-206-6211), or by referral from the Office of Executive Inspector General for the Agencies of the Illinois Governor.
- Initial Review – all reported complaints and allegations are reviewed to determine 1) the significance and immediacy of the matter; 2) whether sufficient information exists to initiate a review; and 3) the most appropriate office to address the situation considering the nature and topic of the complaint or allegation. Documentation of complaints or allegations received and reviewed is maintained by the University Ethics and Compliance Office and is considered confidential by law.
- Assignment of Review – If, after initial review, an investigation is warranted, Ethics and Compliance Office staff conducts and/or coordinates the investigation with other university staff that is independent of the concern and has the expertise to adequately review the complaint or allegation.
- Review of Facts – an independent and objective review of information available to the University is conducted. Information gathered through review of materials and interviews, as necessary, is evaluated to determine whether there is sufficient evidence to support a conclusion regarding the complaint or allegation.
- Communication of the Results – The Illinois State Officials and Employees Ethics Act (5 ILCS 430 20-95) specifically states that documents generated by an ethics officer are exempt from the provisions of the Illinois Freedom of Information Act (5 ILCS 140); hence it is rare for the findings of an internal review to be publicly reported. Results of investigations are kept confidential for the protection of all involved, including the initiator of the complaint or allegation. Results are shared on a need–to-know basis only. The University President, Executive Director of Ethics and Compliance, and General Counsel determine when a public report will be issued.
- Follow-up – The Ethics and Compliance Office will follow-up as necessary to verify resolution has been attained based on the findings, if any, resulting from the investigation.
** If it is determined there is not sufficient information or evidence to support the allegation, the case will be documented and closed until such time that further information is available.