Printed on: 09/30/2022. Please go to policy.umn.edu for the most current version of the document.
University of Minnesota  Administrative Policy

Retaliation

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Policy Statement

University community members are prohibited from retaliating (taking an adverse action) against an individual because of the individual’s good faith participation in:

  • reporting or otherwise expressing opposition to, suspected or alleged misconduct;
  • participating in any process designed to review or investigate suspected or alleged misconduct; or
  • accessing the Office for Conflict Resolution (OCR) services.

A causal relationship between the good faith participation in one of these activities and an adverse action is needed to demonstrate that retaliation has occurred.

Reporting Retaliation Concerns

Individuals who believe that retaliation is occurring or has occurred, as a result of their good faith participation in one of the above referenced activities, should follow the reporting options available to them in Administrative Policy:  Reporting Suspected Misconduct. (For more detailed information on reports related to sexual misconduct, see  Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence.)

Reports of retaliation are reviewed, investigated and resolved in the same manner in which other concerns of misconduct are handled.  Individuals who engage in retaliation may be subject to disciplinary action up to and including termination of employment or expulsion.

Intentionally False Reports/Information

Individuals who, knowingly or intentionally, file a false report or provide false or misleading information in connection with an investigation may be subject to disciplinary action up to and including termination of employment, or expulsion.

Reason for Policy

Retaliation is prohibited in the following Board of Regents Policies: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence, Code of Conduct, and Conflict Resolution Process for Employees. A reporting system and protection against retaliation promotes compliance with law and policy and fair treatment of employees. It is important that University community members feel comfortable coming forward to report potential misconduct so that the University has an opportunity to investigate an allegation of misconduct and take action where needed.

Procedures

There are no procedures associated with this policy.

Forms/Instructions

There are no forms associated with this policy.

Appendices

There are no appendices associated with this policy.

Frequently Asked Questions

There are no FAQs associated with this policy.

Contacts

Subject Contact Phone Email
Primary Contact Boyd Kumher 612-626-7852 [email protected]
Retaliation related to discrimination, harassment, nepotism and sexual misconduct claims or investigations Tina Marisam, EOAA 612-624-9547 [email protected]
Retaliation related to research misconduct claims or investigations Frances Lawrenz 612-625-2046 [email protected]
Retaliation related to the Office for Conflict Resolution services Tamar Gronvall, OCR 612-624-0884 [email protected]
All other claims of retaliation Office of Human Resources Human Resources Consultant or Local Human Resources Professional Human Resources Consultant or Local Human Resources Professional

Definitions

Adverse Action
Any action that might deter a reasonable person from engaging in reporting suspected or alleged misconduct, expressing opposition to alleged misconduct, participating in an investigation related to a misconduct allegation, or accessing the Office for Conflict Resolution services. Examples of adverse action include, but are not limited to: impeding the individual’s academic advancement; departing from any customary academic or employment practice regarding the individual; firing, refusing to hire, or refusing to promote the individual; transferring or assigning the individual to a lesser position in terms of wages, hours, job classification, job security, employment or academic status; and threatening or marginalizing an individual. In some situations, retaliatory conduct may also include inappropriate disclosure of the identity of the individual who has made a complaint protected by this policy.
Good Faith Participation
Reporting, or otherwise expressing opposition to, misconduct based on a reasonable belief that misconduct has occurred. Or, honestly participating in an investigation of misconduct or accessing conflict resolution services.
Investigation
The steps taken to analyze all relevant information regarding suspected or alleged misconduct and then determine whether sufficient evidence exists to find that misconduct occurred.
Misconduct
A violation of local, state, or federal law or University policy, or noncompliance with sponsor regulations or requirements. This includes both Board of Regents Policies: Code of Conduct and Student Code of Conduct.
Report in Good Faith
A report made by an individual who reasonably believes that misconduct has occurred and reports the incident.
Retaliation
Taking an adverse action against an individual because of the individual’s good faith participation in reporting suspected or alleged misconduct, expressing opposition to alleged misconduct, participating in an investigation related to a misconduct allegation, or accessing the Office for Conflict Resolution services. (See also Adverse Action.) A causal relationship between good faith participation in reporting and an adverse action is needed to demonstrate that retaliation has occurred.
University Community Members
A University community member is a student, faculty or staff member, University guest, volunteer, contractor, or employee of an affiliated entity.

Responsible Individuals

Responsible Officer
Joan Gabel
University President
Boyd Kumher
Chief Compliance Officer, Office of Institutional Compliance
Owner
Boyd Kumher
Chief Compliance Officer, Office of Institutional Compliance
Primary Contact
Boyd Kumher
Chief Compliance Officer, Office of Institutional Compliance

Responsibilities

All Individuals
Report good faith concerns about retaliation. Be truthful and cooperative in investigations of alleged retaliation.
Central Offices that Receive Reports
Follow procedures for handling reported concerns.
Chief Compliance Officer
Administer the U Report reporting service. Work collaboratively with responsible offices to address concerns of retaliation and communicate results of these efforts according to established procedures. Consult with senior leaders as appropriate. Communicate potential serious misconduct to the President and the Board of Regents. Annually notify employees of their responsibility to report their concerns and where to report them.
Collegiate/Unit Administrators
Follow procedures for handling reported concerns.
Deans, Vice Presidents, Chancellors, Vice Chancellors
Ensure timely follow-up and resolution of reported retaliation in the respective college or unit. Ensure that supervisory staff are appropriately trained on how to prevent retaliation.
Equal Opportunity and Affirmative Action
Investigate concerns of retaliation related to discrimination, harassment, nepotism and sexual misconduct claims or investigations. Communicate information regarding concerns received to appropriate administrators. Consult with the Chief Compliance Officer, Internal Audit, and General Counsel as appropriate.
Human Resources Consultant or Local Human Resources Professional
Investigate concerns of retaliation not related to EEOA and research related misconduct. Communicate information regarding concerns received to appropriate administrators. Consult with the Chief Compliance Officer, Chief Auditor, and General Counsel as appropriate.
Research Compliance Office
Investigate concerns of retaliation related to research misconduct claims or investigations. Communicate information regarding concerns received to appropriate administrators. Consult with the Chief Compliance Officer, Chief Auditor, and General Counsel as appropriate.
Vice President for Human Resources
Appoint Human Resource Liaison to protect against retaliation when appropriate. Respond to concerns of retaliation.

Related Information

Board of Regents Policies:

Administrative Policies:

History

Amended:

August 2021 - Comprehensive Review, Minor Revision. Key Changes:

  • Adds the role for the Vice President for the Office of Human Resources.
  • Other minor changes were made to include clarity.
Effective:
July 2017 - 1. Provides core language to be used in any administrative policy that addresses retaliation for reporting suspected or alleged misconduct (violation of law, rule, regulation or policy.) 2. Covers the University’s position on false reporting or providing false information in an investigation.