University of Louisville
University Employees (administrators, faculty, staff and student employees)
DUTY TO REPORT AND
April 22, 2008
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.
University Employee: Individuals who are administrators, faculty, staff, and/or student employees.
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 he/she has been subject to conduct in violation of this policy should report this concern directly to the University Integrity and Compliance Office or the University Compliance and Ethics Hotline with contact information as follows:
The University Integrity and Compliance Office maintains a compliance reporting system and initiates a 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.
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
Vice President for Risk, Audit, and Compliance
RESPONSIBLE UNIVERSITY DEPARTMENT/DIVISION
University Integrity and Compliance Office
425 W. Lee Street, Louisville, KY 40208
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.