Consultations and Inquiries

Why should I file a report with the CUIMC Office of Professionalism (OOP)? 

• ​When unprofessional or disruptive behavior occurs in the workplace, learning or clinical environment there are many negative impacts. These impacts affect all members of our community and the patients that CUIMC serves. By reporting a concern, you are helping to raise awareness to the concerning behavior(s) or environment and enable the University and its partners to address the concern appropriately. Addressing the concern includes supporting you, as the complainant and recommending supportive resources to the respondent, which are intended to improve behavior as well as the work, learning and clinical environments. 

How do I file a report with the CUIMC Office of Professionalism? 

• To report a concern, you can send an email directly to the office’s inbox at professionalism@cumc.columbia.edu or submit a public incident report on our website.  

What happens when I file a report? 

• When a report is shared with OOP, a member from our team will connect with you to schedule a meeting to discuss the report and to gain a better understanding of the issues being faced. Once OOP determines that the reported incident is within the purview of the office, a case will be created. If the incident is outside the purview of the office, it will be referred to the appropriate University or affiliate partner, as needed and/or when possible. If warranted, an inquiry will be conducted to obtain additional information about the concern and to inform an appropriate remedy.  

Will my name be shared with anyone after I report a concern? 

• You may request that the University not disclose your identity to anyone else, including the alleged respondent. However, the University cannot guarantee that your identity will not be deduced based on the description of the incident or if this is a matter requiring mandatory reporting. The University strives to preserve the privacy of information shared leading up to and during an inquiry where maintaining such privacy does not conflict with its obligations to conduct a prompt and thorough review of the reported concern.  
• OOP will promptly notify a Complainant making a confidentiality request whether the University will be able to honor it. Whether or not the University is able to grant a request to keep your identity from the Respondent, University personnel will reveal information about inquiry proceedings related to professionalism lapses only to those who need to know in order to carry out their duties and responsibilities. 

Is OOP a confidential resource? 

• No, OOP is not a confidential resource.  

What if I don’t want to report yet, but just want to seek some advice? 

• OOP is happy to meet with individuals seeking advice. Be advised that all members of OOP have a duty to report in certain circumstances. We are also obligated to initiate an inquiry or refer concerns to appropriate institutional partners if they involve patient care or employee safety. 

• As stated above, OOP is not a confidential resource at Columbia University. Confidential resources for employees include the following: Ombuds Office, CopeColumbia, and the Employee Assistance Program.  

What records are retained as it relates to the report and process? 

• OOP retains records in accordance with university policy. A summary of the concern that was reported, documentation provided by parties, and communications to parties are stored in our secure case management system.  

What if I don’t want to report a professionalism lapse, but I am interested in taking advantage of available resources?  

• OOP is eager to assist anyone in the CUIMC community connect to supportive and development focused resources. Access to resources is not dependent on engagement with the inquiry process.  

• To start a discussion about resources that are available reach out to us by emailing professionalism@cuimc.columbia.edu. During this meeting we will talk about your goals, how much time you have to commit to engagement with resources, and then we will share recommendations. 

I received an e-mail from the CUIMC Office of Professionalism (OOP) saying I was involved in a reported concern. What happens next? 

• A member of the OOP team will reach out to you with options for a time to meet and discuss the concern. We ask that every effort be made to be as flexible with your schedule as possible to enable timely scheduling of the meeting. OOP will accommodate in-person or virtual meetings.  

What if I don’t recall the incident I’m being asked about? 

• If you do not recall the event based on the summary provided, you may contact OOP by phone or email to obtain more insight into the concern before your meeting. OOP will share as much information as they are able; however, we ask all parties to understand that we make every effort to maintain the privacy of all involved which can limit the amount of specific information that is shared ahead of your meeting.  

The name of the individual who submitted the report is not provided in the letter I received; can you tell me who submitted the complaint? 

• OOP makes every effort to maintain the privacy of those who report concerns and those who participate in the inquiry process. Therefore, OOP reserves the right to decline to identify individuals involved or those who report concerns. However, OOP recognizes that in some cases it will be easy to identify who reported a concern and must emphasize the importance of non-retaliation.  

Does my Department Chair or Dean know about this concern? 

• OOP notifies your Department Chair or School Dean when an allegation that requires further inquiry is reported. This notification is made before contacting you.  

Can I talk to my Department Chair or Dean about this concern? 

• You are not restricted from speaking with your Department Chair or Dean about the concern. However, you are encouraged to limit your discussion about the concern with others while the inquiry is ongoing so that your privacy and the privacy of others involved is maintained. Limiting discussions also helps to protect against actions that may be perceived as retaliatory. Your Department Chair or Dean may decline your request to discuss the matter while an inquiry is ongoing.  

I’m not comfortable talking to my department leadership about this matter. Are there confidential resources that I can consult? 

• The Employee Assistance Program and the Ombuds Office are confidential resources available to faculty and staff at the University. If you are feeling anxious about the process, we also recommend connecting with CopeColumbia, who also serves as a confidential peer support resource at the medical center.  

Is the meeting with OOP in-person or via Zoom? 

• OOP can typically accommodate either. If you have a preference, please share that in response to your outreach.  

Who will be at the meeting with OOP? 

• Typically, two members of the OOP team will meet with you to discuss the concern and hear your perspective. If the matter involves an NYP affiliate, a representative from NYP may also join the conversation. 

Am I able to have a support person attend the meeting with me? 

• Yes, you may have a support person join you at any meeting you have with OOP. Please visit our website to review additional information regarding the role of a support person.  

How should I prepare for my meeting with OOP? 

• OOP will provide you with a summary of the concern in the outreach letter you received. If you have recollection of the specific concern, OOP recommends that you prepare a statement outlining your recollection of the event, which can be used as a guide when sharing your perspective and/or be submitted to OOP before or during your meeting.  

What happens in the meeting? 

• OOP will begin the meeting by allowing all who are present to introduce themselves. OOP will review information about privacy expectations for the meeting and the process, Columbia’s non-retaliation policy, and the role of the support person (if present). OOP will then present a summary of the reported concern and allow you to respond with your perspective. OOP and representatives attending the meeting may ask clarifying questions. You will also have the opportunity to ask questions. The meeting will conclude with a brief review of the next steps.  

What happens after the meeting? 

• OOP will review the information collected through the inquiry, including the information you present at the meeting. OOP will determine, based on the information collected, if there are policy violations or actions inconsistent with our shared code of values – CUIMC Cares.  

• OOP provides a summary of their conclusions to your department chair or dean for review. This summary may also include recommendations for remediation or resources if appropriate.  

• Your department chair or dean will review the information and recommendations. During this review, your department chair or dean may determine whether any additional appropriate actions are required based on university policy.   

• Finally, OOP, your department chair, or dean will follow up with you in writing to share an update and formally conclude the inquiry process.  

What kind of remediation or support resources do you typically offer? 

• Resources offered by OOP are supportive in nature and aim to assist in helping CU professionals grow and thrive in their roles.  

• Recommended resources also aim to be relevant to the professionalism lapse being addressed.  

• Resources can range from readings and podcasts to more interactive tools like learning modules and external professional development programs.  

What if I didn't have a professionalism lapse that required remediation, but I am still interested in taking advantage of available resources?  

• OOP is eager to assist anyone in the CUIMC community connect with supportive and development focused resources. Access to resources is not dependent on engagement with the inquiry process.  

• To start a discussion about resources that are available reach out to us by emailing professionalism@cuimc.columbia.edu. During this meeting we will talk about your goals, how much time you have to commit to engagement with resources, and then we will share recommendations.  

What records are retained as it relates to the report and process? 

• OOP retains records in accordance with university policy. A summary of the concern that was reported, documentation provided by parties, and communications to parties are stored in our secure case management system. 

I have other questions that were not addressed above, who should I contact to get my questions answered? 

• Please reach out to our office by emailing professionalism@cumc.columbia.edu if you have additional questions.  

An advisor/support person may provide support to their advisee during inquiry meetings and advice about the inquiry before or after the meeting. However, they may not speak for, answer questions or present on behalf of their advisee, nor may they behave in a manner that is disruptive to the inquiry process. 

FAQ: 

• Am I able to have a support person attend the OOP meeting with me?
  • Yes. You may be accompanied by one support person of your choice from the beginning of the inquiry process through the resolution of the inquiry.
• Do I have to have a support person attend the meeting with me?
  • No, you do not need to have a support person. Most individuals who meet with OOP choose to attend without a support person. 
• Can the support person participate in the meeting and/or speak on my behalf?
  • A support person may not answer questions or present information on your behalf during your meeting with OOP. OOP and our partners will direct all questions to you and expect you to reply. 
• Who can serve as my support person?
  • A support person can be anyone of your choosing, with some limited exceptions. A support person may be an affiliate from within the University or someone external to your department or University.  
• Who cannot serve as my support person?
  • If your support person is a Columbia affiliate, they must serve in equal or higher rank to you and may not be someone you supervise or be someone whose role in the inquiry process may pose a conflict of interest. For example, if you are an Assistant Professor/Attending, a Resident or Fellow may not serve as your support person, but an Assistant Professor or higher rank faculty member may serve as your support person. 
• Can I have someone external to the University serve as my support person?
  • Yes, you may choose to ask someone outside of Columbia to serve in this role. Non-affiliated support persons must adhere to the guidelines outlined above. 
• My support person has a scheduling conflict and cannot come. Will you reschedule to allow my support person to attend?
  • OOP will make every effort to accommodate the schedules of parties who are needed at the meeting. However, schedules for you and those leading the meeting are the priority when considering the date and time. Therefore, please work directly with your support person to ensure their availability. 
• Is there any other information I should be aware of regarding the support person’s role?
  • Consistent with University guidelines, a support person may:
    • Talk quietly with their advisee or pass notes in a non-disruptive manner.
    • Take a break, at the advisee’s request, to speak privately with the advisee.
    • Review information provided to the advisee by the investigators.
    • Assist the advisee with preparing written submissions to the investigative team in advance of any inquiry meeting.    
  • A support person may not:
    • Speak on behalf of the advisee.
    • Pose questions to the investigators.
    • Answer questions posed to the advisee.
    • Make requests (outside of scheduling and accommodations).
    • Provide information to the investigators.
    • Be disruptive.