Pol-Duty to Report and Non-Retaliation

policy Duty Report Non Retaliation modified Fri May 15 2020 12:46:01 GMT-0400 (Eastern Daylight Time)

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University of Louisville

OFFICIAL
UNIVERSITY
ADMINISTRATIVE
POLICY

POLICY NAME

Duty to Report and Non-Retaliation

EFFECTIVE DATE

April 22, 2008

POLICY NUMBER

ICO-1.01

POLICY APPLICABILITY

This policy applies to University Employees (administrators, faculty, staff, and student employees).

POLICY STATEMENT

A. Knowledge of or suspicion of misconduct, violations of law, or other wrongdoing must be immediately reported to university management, the University Integrity and Compliance Office, other university compliance officials, or the University Compliance and Ethics Hotline.

B. No employee shall engage in retaliation, retribution, or any form of harassment against another employee for reporting a compliance concern, ethical matter, or other questionable practice. 

C. Employees cannot exempt themselves from the consequences of wrongdoing by self-reporting, although self-reporting may be taken into account in determining the appropriate course of action. 

Any employee who violates this policy will be subject to disciplinary action, up to and including termination.

REASON FOR POLICY

The University of Louisville is responsible for the proper use of its resources and the public and private support that furthers the realization of its mission. The university is committed to conducting its affairs in full compliance with the law and with its own policies and procedures. Such adherence strengthens and promotes ethical and fair practices and treatment of all members of the university community and those who conduct business with the university.  All employees and any other individuals holding positions of fiduciary duty with the university are obligated to perform these duties in compliance with all applicable laws and university policies and procedures.


The purpose of this policy is to encourage and enable good-faith reports by university employees of observed or suspected misconduct or noncompliance with law or with university policies and procedures without fear of retaliation or retribution.

RELATED INFORMATION
DEFINITIONS

University Employee: Individuals who are administrators, faculty, staff, and/or student employees.

PROCEDURES

A. All university management must maintain an open-door policy and assure their faculty and staff that the system truly encourages the reporting of problems and that there will be no retaliation, retribution, or harassment for doing so.

B. Any employee who believes that they have been subjected to conduct in violation of this policy should report their concern directly to the University Integrity and  Compliance Office or the Compliance and Ethics Hotline with contact information as follows:


University Integrity and Compliance Office

University of Louisville

425 W. Lee St.

Louisville, KY 40208

Phone: 502-852-8305

Fax: 502-852-0665

Email: compliance@louisville.edu


Compliance and Ethics Hotline:


Call toll-free 1-877-852-1167 or

Write and submit an online report:
https://app.mycompliancereport.com/report.aspx?cid=uol

The University Integrity and Compliance Office maintains a compliance reporting system and initiates prompt investigation of questionable practices. Specific methods for university employees to report suspicion of misconduct, violations of law, or other wrongdoing are outlined in the Reporting and Investigation Procedure ICO-1.01A


C. The University Integrity and Compliance Office will begin investigations on all reported concerns within 30 days of receipt.

D. Insofar as legal and practical, confidentiality of reported concerns will be maintained.  Only those personnel who have a need to know will be informed.

ADMINISTRATIVE AUTHORITY

Vice President for Risk, Audit, and Compliance

RESPONSIBLE UNIVERSITY DEPARTMENT/DIVISION

University Integrity and Compliance Office

425 W. Lee Street, Louisville, KY 40208

Phone: 502-852-8305

Email: compliance@louisville.edu

HISTORY

This policy replaces and supersedes Institutional Compliance Office Policy ICO-001 entitled “Non-Retaliation/Non-Retribution.”


Revision Date(s): March 4, 2019 minor revisions; January 25, 2019 minor revisions; December 20, 2017; April 25, 2016; May 20, 2015; August 26, 2014; December 18, 2013; September 26, 2011

Reviewed Date(s): December 20, 2017; April 25, 2016; May 20, 2015

The University Policy and Procedure Library is updated regularly. In order to ensure a printed copy of this document is current, please access it online at http://louisville.edu/policies.