Prince Sultan University PSU
Compliance and Policies Office
Compliance Policies
| Policy Code: | COP0004 |
| Policy Name: | Compliance Investigation Policy |
| Handler: | Compliance and Policies Office, Office of the President |
| Date Created: | 22 March 2022 |
| Date of Current Review: | N/A |
| Approved by: | University Council |
| Date of Approval: | 25 May 2022 |
Purpose:
This policy is to provide the standards for responsible boards and committees when conducting investigations following a complaint, report of misconduct or violation of a university's internal rules, regulations and policies or governmental laws.
Scope:
The policy covers all university investigations that pertain to the PSU Stakeholders, including faculty, staff, students, alumni, and all other stakeholders, who may be involved. When a complaint of potential legal or ethical misconduct or other wrongdoing is raised, the University/institution has a responsibility to investigate and implement corrective actions, if necessary, through its appointed disciplinary and grievance boards. Complaints can be made against actions described as serious offenses, inappropriate; or unacceptable repeated behavior.
Policy Statement
The Institution is committed to conducting its investigations ethically in compliance with laws and regulations, university policies and procedures and to treating fairly all the university staff, students, alumni and all parties involved.
Terms Definitions| Investigation | A formal inquiry, examination, inspection analysis and thorough research for facts. The goal of the investigation is usually to determine how or why a certain action happened. An investigation is not a hearing. |
| Investigator or Investigation team | The Grievance and the Disciplinary Boards are the ones doing the investigation, either by internal members of the boards or authorized appointed members by the higher management. Responsibility: gather and present the evidence to the chair of the board. |
| Complaint | A report of a compliance violation |
| Complainant | A staff member, a faculty, student, alumni or any other stakeholder involved, who alleges a compliance breach. |
| Violation | Any action resulting in a:
See the appendices of the possible cases of disciplinary and grievance actions in the Compliance Policies Manual “Grievance and Grievance Appeal Policy and Disciplinary and Disciplinary Appeal Policy” |
Applicability/Procedure
The policy includes all the University/ institution staff, faculty, students, alumni and any other stakeholder part involved.
The university is committed to investigating any complaint of the potential breach of laws, rules, regulations and policies, any complaint of potential legal or ethical misbehavior or any other act of compliance violation. For the applicability of this policy, the investigators, either individual or a team shall meet the requirements of the investigation policy.
- • Investigations shall be conducted by neutral individuals or investigation teams as required by the complexity of the case.
- • Investigations may be conducted by different departments or offices as per the request of the management.
- • Investigators shall be professional and avoid any intimidation in interviewing the respondent or the witnesses.
- • Investigators shall act in compliance with the rules, policies and regulations.
- • Investigators should collect and present the evidence followed by an investigatory report whereas the decision-maker (see the definition above) will analyze the evidence and pronounce a decision.
- • Investigation outcome shall be reviewed to check compliance with the investigation policy.
- • The results and recommendations of the investigators should be implemented.
- • Investigators, while collecting the evidence, shall interview relevant witnesses.
- • The University/institution will ensure all investigations are handled by the authorized Office/department.
- • Upon receiving a complaint, the receipt is documented by the Compliance and Legal Office. It is then analyzed and evaluated to determine whether the case will be placed for investigation and submission to either the Disciplinary Board or Grievance Board to take the proper action.
Violation
Any violation of this policy, including an investigation failing to meet the requirements of a fair, professional and free of any conflict of interest or retaliation will result in disciplinary action.
Storage and Destruction of Background Investigation Information
If applicable, the investigators will store hard copies in a separate, locked and secure location. The electronically stored information will be retained in accordance with the Compliance and Legal Office policy (See "Compliance Record Maintenance Policy, Compliance Policies Manual”)
Reservation of Rights
Contact Information
The University/ Institution reserves the right to terminate an employee during the employment, with the presence of information of serious concern during the investigation process and the collected evidence phase and this lies within the guidelines of applicable rules, regulations and procedures.
The University also reserves the right to rescind an offer of employment to a candidate with the presence of information of serious concern.
| Subject | Department/Office | Phone/Email/ | Phone/Email/Webpage |
|---|---|---|---|
| Notice of a Complaint | University Compliance and Legal Office | + 966 4948035 | complianceofficer@psu.edu.sa |
Related Information
| University Links | |
| Forms | Report a Concern, Misconduct or Violation |
| Related Links | |
| Procedures | Compliance Investigation Policy, Applicability/procedure |