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ADMINISTRATIVE POLICY
Home : Administration & Operations : Compliance and Legal

Reporting and Addressing Concerns of Misconduct

Effective Date: March 2000
Last Update: July 2013
Responsible University Officer:
  • Director
  • Institutional Compliance
Policy Owner:
  • Director, Office of Institutional Compliance
Policy Contact:

Printed on: . Please go to http://policy.umn.edu for the most current version of the Policy or related document.

POLICY STATEMENT

The individuals described below are expected to report concerns if they have a good faith belief there has been a violation of local, state, or federal law or University policy governing any University activity.

  • Employees (faculty and staff);
  • Students;
  • Individuals employed by the University, using University resources or facilities, or receiving funds administered by the University; and
  • Volunteers and other representatives when speaking or acting on behalf of the University.

Employees are encouraged to resolve their concerns at the most local level, by reporting their concerns to their supervisor or other appropriate contact person within their unit. If employees feel uncomfortable addressing their concerns at the local level, or wish for any other reason to address their concerns elsewhere, employees may make their reports directly to University offices responsible for handling the subject area.

Alternatively, employees and other individuals may file a report using the University’s confidential reporting service (via a confidential Web link www.Ureport.ethicspoint.com) or call toll-free 1-866-294-8680).

Reports will be directed to appropriate University administrators for resolution and investigation, as appropriate. Board of Regents or administrative policies and procedures may have specific protocols for handling certain types of concerns such as Administrative Policy: Research Misconduct.

Mandatory Reporting for the Protection of Minors

All University employees and volunteers are required to report to the local police department (including the University Police Departments), county sheriff or local social services agency within 24 hours when they know or have reason to believe a covered child (person under 18 years old) is being physically or sexually abused or neglected, or has been within the past three years, including abuse and neglect by non-University persons. While Minnesota law requires reporting by certain professionals at the University, such as educators (including faculty, instructors, researchers, coaches and deans), health care providers, social workers, and others, the University by policy extends this reporting obligation to all employees and volunteers.
 

Resolution Of Reported Concerns

Appropriate University officials will promptly address all reported concerns, and will notify the reporter when the matter has been fully addressed.

The University's General Counsel, Auditor, and Director of the Office of Institutional Compliance will inform the President and the Board of Regents of any potential serious or widespread legal violations, significant accounting misconduct, or other matters that in their judgment represent a significant compliance concern.

Protection from Retaliation

No one acting on behalf of the University may retaliate against an individual for having made a report in good faith under this policy. Any employee who engages in retaliation may be subject to disciplinary action up to and including termination of employment. Reports of retaliation will be reviewed and investigated in the same manner in which other allegations of misconduct are handled.

REASON FOR POLICY

This policy implements Board of Regents Policy: Code of Conduct and the reporting requirements in Minnesota statute 625-556 (Reporting Maltreatment of Minors.) The University community’s commitment to ethical conduct is detailed in the Code of Conduct. The Code of Conduct addresses the University’s responsibility to promote a culture of compliance which includes efforts to prevent, detect, and correct violations of law or policy, which may result from mistakes, lack of information, or, deliberate misconduct. A reporting system and protection against retaliation promotes compliance with law and policy and fair treatment of employees. This policy and the procedures attached to it support existing University policies and procedures for responding to reports of misconduct, and do not establish any additional rights beyond those already provided by law.

PROCEDURES

FORMS/INSTRUCTIONS

There are no forms associated with this policy.

APPENDICES

FREQUENTLY ASKED QUESTIONS

ADDITIONAL CONTACTS

Subject
Contact
Phone
Fax/Email
Primary Contact(s)
612-626-7852
Policy clarification
Office of Institutional Compliance
612-624-3446
612-626-3949
Legal Questions
General Counsel
612-624-4100
612-626-9624
Questions about reporting
Office of Institutional Compliance
612-626-7852
612-626-7431
Anonymous/confidential reporting of legal/policy violations
Toll Free Outside Reporting Service
1-866-294-8680
Reporting Retaliation
Katie Stuckert or local HR Professional
612-624-6557
612-624-6372
Reporting Retaliation
Tina Marisam
612-626-9357

Other Contacts:

DEFINITIONS

Human Resource Liaison
A person assigned by the Vice President for Human Resources to assist in preventing retaliation or unfair treatment of individuals for having reported potential violations of local, state or federal law or University policy.
Investigation
The steps taken to analyze all relevant information regarding an allegation and then determine whether sufficient evidence exists to find that misconduct occurred.
Misconduct
A violation of local, state, or federal law or University policy.
Report in Good Faith
An individual who reasonably believes that a violation has occurred and reports the incident.
Retaliation
Taking an adverse action against an individual because of the individual’s good faith participation in the protected activity of reporting suspected misconduct. Examples of retaliation include, but are not limited to: impeding academic advancement, departing from any customary academic or employment practice regarding the individual, and termination of position, demotion, threats, and marginalization of the individual. A causal relationship between good faith participation in the protected activity of reporting and an adverse action is needed to demonstrate that retaliation has occurred.
Ureport
A confidential reporting service, administered by the Office of Institutional Compliance for the purpose of receiving reports of potential law or policy violations through a toll free number (1-866-294-8680) or Web site (www.Ureport.ethicspoint.com).

RESPONSIBILITIES

All Individuals
Report good faith concerns about possible violations of local, state, or federal law or University policy governing any University activity. Are truthful and cooperative in investigations of alleged wrongdoing.
Central Offices that Receive Reports
Follow procedures for handling reported concerns.
Collegiate/Unit Administrators
Follow procedures for handling reported concerns.
Deans, Vice Presidents, Chancellors, Vice Chancellors
Annually notify employees of responsibility to report concerns and where to report them. Ensure timely follow-up and resolution of reported allegations in respective college or unit. Ensure that retaliation in response to the good faith reporting of violations of law or University policy does not occur.
Director of the Office of Internal Audit
Investigate allegations of financial and operational misconduct. Communicate information regarding allegations received to proper administrators. Consult with the General Counsel. Communicate with the President and the Board of Regents regarding potential serious financial or operational violations.
Director of the Office of Institutional Compliance
Administer the UReport, a confidential reporting service. Work collaboratively with responsible offices to address reported allegations of misconduct and communicate results of these efforts according to established procedures. Coordinate with the General Counsel and the Director of Internal Audit in communicating potential serious violations to the President and the Board of Regents.
General Counsel
Conduct investigations where the assertions of the attorney-client privilege and/or other legal issues require the General Counsel’s involvement. Consult and coordinate with the Directors of the Offices of Internal Audit and Institutional Compliance as appropriate. Communicate with the President and the Board of Regents regarding potential serious legal violations.
Human Resource Liaison
Collaborate with responsible administrators to respond to concerns about retaliation or unfair treatment of individuals for having reported in good faith suspected violations of law or University policy
Vice President for Human Resources
Appoint Human Resource Liaison to protect against retaliation when appropriate. Respond to concerns of retaliation.

RELATED INFORMATION

HISTORY

Amended:
July 2013 - Minor Revision - Added paragraph about Mandatory Reporting for the Protection of Minors to Statement, added FAQ: University Employees Reporting Child Abuse, Neglect, and Sexual Assault. Updated definitions and responsibilities sections.
Amended:
July 2012 - Comprehensive Review, Major Revision - 1. Incorporates a new section on mandatory reporting for the protection of minors. 2. Clarifies the section on retaliation and incorporates a definition of retaliation that could be used across the multiple policies that prohibit this behavior.
Amended:
May 2007 - Amended Policy and added related information to meet new requirements in section 1902(a)(68) of the Social Security Act.
Amended:
July, 2005 - Changed policy title from "Dealing with Financial and Operational Misconduct" to current title, expanded scope, amended responsibilities, and revised procedures to reflect expanded scope and outside reporting service.
Amended:
March 2002 - Added procedure on Reporting NCAA Violations. Policy Statement, Contacts and Responsibilities sections revised to reflect the inclusion of NCAA violations in the policy scope.
Effective:
March 2000

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Last modified on June 30, 2014