What Happens Next?

Step 1: Report Filed

  • Reporter receives a Report Key and sets a Password (see note 1)
  • The report is provided to UMB

Step 2: Intake

  • Report is reviewed
  • Any questions or information requests are added through EthicsPoint
  • Report is given a Case Number
  • The Case is sent to the appropriate parties for Preliminary Review

Step 3: Preliminary Review

  • Appropriate parties receive the Case
  • A review is conducted to determine if additional information is needed
  • Any questions are added through EthicsPoint
  • Based on available information and/or the desires of the parties to the Case, a decision is made on how to proceed:
    • Option 1: Further Examination Needed - Proceed to Step 4: Investigation
    • Option 2: Report is Unsubstantiated - Proceed to Step 5: Disposition - Unsubstantiated
    • Option 3: Parties to the Case request Informal Resolution - Proceed to Step 5: Disposition - Informal Rsolution

Step 4: Investigation

  • An Investigation is conducted per the appropriate policies
  • Based on the investigation results, the concerns in the Case are either substantiated or unsubstantiated
  • In substantiated cases, a report of the findings is prepared and delivered to the appropriate disciplinary authorities
  • Proceed to Step 5: Disposition

Step 5: Disposition

  • Substantiated - Disciplinary Action
    • Investigation Report is reviewed
    • Determination of appropriate action(s) is made
    • Parties to the Case are informed of the Decision (see note 2)
  • Unsubstantiated
    • No violation was found
    • Not enough information to proceed with investigation
  • Informal Resolution
    • Parties determine alternate action(s) are preferable


Note 1: Questions or Requests for additional information throughout the process will be added to EthicsPoint.  Please use your Report Key and Password to check back regularly for questions or requests! This is especially important if the Report was filed anonymously and EthicsPoint is the only way for the responding persons to communicate with the Reporter. 

Note 2: If the Reporter was not a party (Complainant or Respondent) to the Case, they may not receive information regarding the final disposition due to privacy concerns and/or requirements.