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Duty to Report and Non-Retaliation

Policy Library Root
 
 
University of Louisville
OFFICIAL
UNIVERSITY
ADMINISTRATIVE
POLICY
 
University Employees (administrators, faculty, and staff)
 
POLICY NAME
DUTY TO REPORT AND
NON-RETALIATION
EFFECTIVE DATE
April 22, 2008
POLICY NUMBER
ICO-1.01
 
POLICY STATEMENT 
 
A.      Knowledge of or suspicion of misconduct, violations of law, or other wrongdoing must be immediately reported to University management, the Institutional Compliance Office, other University compliance officials, or the University Compliance Hotline.
 
B.      No employee is permitted to engage in retaliation, retribution, or any form of harassment against another employee for reporting compliance-related concerns.
 
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 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 he/she has been subject to conduct in violation of this policy should report this concern directly to the Institutional Compliance Office or University Compliance Hotline with contact information as follows:
 
 
Institutional Compliance Office
University of Louisville
Institutional Compliance Office
425 W. Lee St.
Louisville, KY 40208
Phone: 1-502-852-8305
Fax: 1-502-852-0665
 
Compliance Hotline: 1-877-852-1167
 
Web- Reporting Option: See “Compliance Hotline Reportingoption on ULink found under the External Links section of the Faculty/Staff tab.
 
The Institutional Compliance Office maintains a compliance reporting system and initiates prompt and confidential 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 Institutional Compliance Office will begin investigations on all reported concerns within 30 days.
 
 
D.  Insofar as legal and practical, confidentiality of employee concerns will be maintained.  Only those personnel who have a need to know will be informed.
 
HISTORY 
This policy replaces and supersedes Institutional Compliance Office Policy ICO-001 entitled “Non-Retaliation/Non-Retribution.”
 
Revision Date(s): April 25, 2016; May 20, 2015; August 26, 2014; December 18, 2013; September 26, 2011
Reviewed Date(s): ​​April 25, 2016; May 20, 2015
 

ADMINISTRATIVE AUTHORITY

Sr. VP for Finance and Administration and CFO/COO

RESPONSIBLE UNIVERSITY DEPARTMENT/DIVISION

Institutional Compliance Office
425 W. Lee Street, Louisville, KY 40208
502-852-8305
compliance@louisville.edu

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.