Purpose

The University, including its trustees, officers and all employees, have an obligation and commitment to conduct all affairs of the University in accordance with the highest standards of integrity and ethics, and in compliance with applicable federal and state laws and University policies. In order to promote these policies, the University is promulgating a specific policy governing the reporting of allegations of improper or illegal conduct (hereafter “Misconduct”), including the protection of the persons making such allegations and/or cooperating in an investigation of such allegations.

Scope

This policy applies to all trustees, officers, current and former employees of the University, including part-time employees, student employees and individuals serving as independent contractors to the University, who are not themselves employers (hereafter collectively referred to as “Employees”).

Policy

General Policy

University Employees should be able to raise concerns and disclose information that the Employee reasonably believes demonstrates Misconduct by an Employee in connection with that Employee’s University employment. An Employee who makes a good faith disclosure of information that may evidence Misconduct, such as a violation of law, University policy or other wrongful conduct, should not be subjected to any adverse employment or retaliatory action based on the disclosure. On the other hand, an Employee who knowingly makes a false allegation, or whose allegations are not made in good faith, should not be protected under this Policy.

Report of Misconduct

An Employee who becomes aware of Misconduct should report the Misconduct as soon as possible, but in any case no later than one (1) year after becoming aware of the claimed Misconduct.

Employees should report Misconduct to their immediate supervisor or other appropriate administrator. However, in the interest of confidentiality, or where there is a potential conflict of interest, or if the Employee is more comfortable in doing so, the Employee may instead bring information regarding claimed Misconduct to the attention of the Chief Human Resources Officer or the Vice President for Legal Affairs and General Counsel. Any University Employee who receives a report of Misconduct shall advise the Vice President for Legal Affairs and General Counsel of the complaint of Misconduct and the resolution, if any, of the complaint. General Counsel shall maintain a record of all such complaints.

Investigation of Misconduct

An Employee should provide as much detail as is available when reporting Misconduct. A report should be made in writing, acknowledged by the Employee making the complaint.

The University will maintain the confidentiality of the Employee reporting the Misconduct to the extent practical. However, the University cannot guarantee confidentiality, and the identity of a person making a complaint may become known. The University will determine the appropriate course of action to be taken upon receipt of a complaint of Misconduct. Anonymous complaints may or may not be investigated. Non-specific, broad or unsubstantiated allegations lacking an evidentiary support may or may not be investigated.

Duty to Cooperate

All Employees have a duty to cooperate with any investigation commenced in furtherance of this Policy. Any current employee who violates this Policy shall be subject to disciplinary action, up to and including termination.

Protection of Employees Reporting Misconduct

An Employee shall not be the subject of any retaliatory action based on the Employee’s good faith report of a claim of Misconduct pursuant to this policy or the Employee’s assistance in investigating a claim of Misconduct. Any such retaliatory action is prohibited. Note that an employee may be the subject of discipline or an adverse personnel action for reasons unrelated to the making of a report.

Related Policies and References

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