Faculty, staff and students have a duty to report suspected improper activities to an appropriate University official.
University Policy 803 “Reporting and Investigation of Suspected Improper Activities and Whistleblower Protection” reads in part that “members of the University community who have reason to suspect the occurrence of Improper Activities should report those improper activities to the appropriate authority.”
Employees should report their suspicions to their immediate supervisor, or if the supervisor is involved in the suspected improper activities, to the supervisor’s manager. Students who suspect improper activities should report their suspicions verbally or in writing to the dean of students or to the dean of the Graduate School.
University Policy 803 defines “improper activities” as:
- A violation of state or federal law, rule or regulation
- A serious or substantial violation of University policy or procedure
- Fraud
- Misappropriation of state resources, including embezzlement
- Substantial and specific danger to the public health and safety
- Gross mismanagement, a gross waste of monies or gross abuse of authority
Any University employee in a supervisory role who receives a report of suspected improper activities must ensure that the matter is promptly reported to his/her supervisor or an appropriate level of University management. Supervisors are expected to use appropriate judgment in determining which matters can be reviewed and disposed of under their authority and which matters must be referred to a higher level of management.
How does a supervisor decide what to do with a report of improper activities, and who can the supervisor turn to for advice and help? It depends on the nature of the complaint. There are many subjects that have specific University proponents and who should be notified of complaints:
- NCAA rules and regulations – Athletics Compliance
- Criminal acts – Campus Police
- Safety issue – Environmental Health and Safety Office
- IT issue – ITS Help Desk
- Fraud - Internal Audit
- Employee relations – Human Resources
- Contract issues – Office of Legal Affairs
- Research misconduct - Research Compliance
Complaints that do not fall within one of these subject areas should be reported to the Department of Internal Audit or the Office of Legal Affairs to determine the appropriate course and scope of review or investigation.
Based on the status of the employee, a complaint or allegation of improper activity should be referred as follows:
- EPA or SPA staff employees – the employee’s immediate supervisor
- Student issue - Dean of Students (undergraduates), Dean of Graduate School (graduate students)
- Faculty issue – Provost
- Senior management (Associate Vice Chancellors/Associate Provosts and above) – General Counsel
Supervisors who decide they should investigate the complaint should consult the Office of Legal Affairs. One of the University’s attorneys can help supervisors plan the investigation to ensure that a proper complaint has been identified, gather appropriate evidence and reach a reasonable conclusion.
After contacting the Office of Legal Affairs, supervisors should expect the attorney providing assistance will offer advice throughout the process. In any event, once supervisors have completed their investigation, they should be certain to connect with the Office of Legal Affairs again to ensure the investigation results are legally sufficient and recommendations are in line with other University policies.
Campus officials note that University Policy 803 is intended to provide an avenue for submitting complaints into the management chain and to ensure these complaints are appropriately reviewed and acted upon.
Supervisors who have questions on University Policy 803 should call the Office of Legal Affairs at 704-687-5732.