Whistleblower Policy
| Policy number | 11-07 |
| Responsible office | Office of General Counsel |
| Enforcement official |
Enforcement official
General Counsel
|
| Classification | Board of Trustees Policy |
| Category | Federal and State Civil Protections |
Statement of policy
The University requires all students, employees, members of boards, volunteers, contractors, and other individuals acting on behalf of or providing services to the University to report acts they in good faith perceive as being a violation of law and/or University policy, rules, or other requirements. This policy is intended to encourage the disclosure to the appropriate officials so that prompt and appropriate action can be taken. Individuals are prohibited from intimidating other University members from reporting such acts, and are subject to disciplinary actions, such as possible expulsion. Those who intentionally or carelessly report false information in a report are subject to disciplinary and/or legal action.
Summary of contents/major changes
The purpose of this policy is to encourage the reporting of acts perceived in good faith as being a violation of law and/or University policy, rules, or other requirements to the appropriate officials so that prompt and appropriate action can be taken. Changes to the policy were made to reflect the change in structure of the Internal Audit Department which is now a function of the Office of General Counsel and the elimination of the Director of Internal Audit position.
1. Purpose of Policy
The University requires all students, employees, members of boards, volunteers, contractors, and other individuals acting on behalf of or providing services to the University to report acts they in good faith perceive as being a violation of law and/or University policy, rules, or other requirements. This policy is intended to encourage the disclosure to the appropriate officials so that prompt and appropriate action can be taken. Individuals are prohibited from intimidating other University members from reporting such acts, and are subject to disciplinary actions, such as possible expulsion. Those who intentionally or carelessly report false information in a report are subject to disciplinary and/or legal action.
2. Stakeholders Most Impacted by the Policy
This Whistleblower and Retaliation Policy applies to all students, employees, members of boards, contractors, volunteers, and other individuals acting on behalf of or providing services to Western 麻豆传媒应用 University.
3. Key Definitions
3.1. Whistleblower: A person who discloses information that they reasonably believe is evidence of illegality, gross waste or fraud, mismanagement, abuse of power, general wrongdoing, or a substantial and specific danger to public health and safety.
3.2. Good-Faith: Honesty or sincerity of intention.
3.3. Retaliation: When an employer punishes an employee for engaging in legally protected activity. Retaliation can include any negative job action, such as demotion, discipline, firing, salary reduction, or job or shift reassignment.
3.4. Anonymous: Person whose name is unknown or withheld.
3.5. Collective Bargaining Agreements: A written legal contract between an employer and a union representing the employees.
4. Full Policy Details
4.1 This Whistleblower and Retaliation Policy applies to all students, employees, members of boards, contractors, volunteers, and other individuals acting on behalf of or providing services to Western 麻豆传媒应用 University.
4.2 Western 麻豆传媒应用 University encourages all students, employees, members of boards, volunteers, contractors, and other individuals acting on behalf of or providing services to the University to report acts they in good faith perceive as being a violation of law and/or University policy, rules, or other requirements. This policy is intended to encourage the disclosure to the appropriate officials so that prompt and appropriate action can be taken.
4.3 The University is committed to protecting individuals from interference in making a good faith report of violation under this policy and from retaliation as a result of such good-faith reporting. Individuals may not retaliate against any other individual on the basis of that individual making a good faith report of a violation. Individuals may not use or attempt to use authority or influence related to their University position or association to interfere with another individual鈥檚 rights to make a report of violation as provided for in this policy.
4.4 False or misleading information within a report of violation
4.4.1 Individuals who knowingly or with disregard for the truth give false or misleading information in conjunction with a report of violation or knowingly make a false report of violation, are not entitled to the protections of this policy, and shall be subject to appropriate discipline, law enforcement, and/or other action. Reports of violation made pursuant to this policy that are not eventually substantiated, yet are still made in good faith, do not subject the reporting individual to such disciplinary action.
4.5 Retaliation prohibited
4.5.1 In accordance with the provisions of applicable law, an individual shall not be discharged, receive or be threatened with adverse employment action, or otherwise be retaliated against regarding the individual鈥檚 compensation, terms, conditions, location, or privileges of employment on the basis that the individual, or a person acting on behalf of the individual, makes a good faith report of violation, or because an individual is requested by a public body or court to participate in an authorized investigation, hearing, inquiry, or court action.
4.5.2 An individual whom the University finds to have taken such retaliatory action against an individual who has filed a report of violation is subject to action deemed appropriate by the University, which may include discipline up to and including termination from the University.
4.6 Confidentiality; Anonymous and Other Reporting
4.6.1 A report of violation may be submitted anonymously. However, without sufficient information or a contact who can provide additional needed information, an investigation may not be able to be successfully concluded. Good faith reports of violation will be kept confidential except on a need to know basis and in order to investigate and take appropriate action in response to the report of violation as determined by the University. In some instances, reporting may also be required under law or University policy.
4.6.2 In the event individuals are uncertain about their reporting obligation, they should consult with the University鈥檚 Office of General Counsel.
4.7 Procedures; Implementation; Clarifications and Revisions
4.7.1 The president or his/her designee is authorized to enact procedures to implement this policy and to make interpretations and clarifications and revisions of this policy in accordance with applicable law; provisions of collective bargaining agreements consistent with law and University policy; and other policies, rules, and requirements applicable to the University. Nothing in this policy shall be interpreted to preclude anyone from reporting criminal matters to law enforcement agencies or exercising any reporting rights protected by applicable law.
4.8 Required cooperation
4.8.1 To the greatest extent allowed by law, policy, and contract, all individuals are required to cooperate and provide requested information to University personnel authorized under this policy or procedures enacted to implement this policy, and/or to investigate and determine the merits of reports of violation and/or complaints of retaliation. Any individual in violation of this policy is subject to action deemed appropriate by the University, which may include discipline up to and including termination from the University.
5. Accountability
Individuals are prohibited from intimidating other University members from reporting such acts or retaliating against those that have reported such acts and are subject to disciplinary action, up to and including dismissal from employment by the University. Those who intentionally or carelessly report false information in a report, are also subject to disciplinary action, up to and including dismissal from employment by the University.
6. Related Procedures and Guidelines
To make a report:
7. Additional Information
None
8. FAQs
8.1 How do I report a perceived violation?
Answer: A report can be made anonymously here on the
8.2 As a whistleblower am I protected from retaliation from a co-worker?
Answer: From a legal perspective only the employer can retaliate. However, if the employer allows a co-worker and/or co-equal to retaliate it is the employer who is retaliating by permitting the treatment
| Effective date of current version | October 8, 2020 |
| Proposed date of next review | April 1, 2021 |
| Certified by |
Carrick Craig |
| At the direction of |
Edward Montgomery |