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Institutional Compliance

» Compliance Complaint Policy

POLICY STATEMENT

This policy services to protect University employees who disclose information where the employee has reasonable cause to believe that the information discloses a violation of state or federal statute, or a violation of or noncompliance with a local, state, or federal rule or regulation.

REASON FOR THE POLICY

The University seeks to encourage and enable employees to report to the University good faith concerns regarding illegal conduct within the university.

POLICY

What is a whistleblower?
A "whistleblower" is an employee who discloses information to a government or law enforcement agency, to a person with authority over the employee or to another employee who has the authority to investigate, discover, or correct the violation or noncompliance, or who provides information to, or testifies before, any public body conducting an investigation, hearing, or inquiry, where the employee has reasonable cause to believe that the information discloses:

  1. A violation of a state of federal statute,
  2. A violation or noncompliance with a local, state or federal rule or regulation, or
  3. With reference to employee safety or health, unsafe working conditions or work practices in the employee's employment or place of employment, and
  4. Regardless of whether disclosing the information is part of the employee's job duties.

The term "employee" refers to all faculty (whether full-time, part-time, tenured, tenure track, or nontenure track), all full-time and part-time staff and administrators, and all student employees.

What protections are afforded to whistleblowers?

  1. The University prohibits all University employees from making, adopting or enforcing, any rule,
    regulation, or policy preventing an employee from being a whistleblower.
  2. The University prohibits all University employees from retaliating against an employee who is a whistleblower.
  3. The University prohibits all University employees from retaliations against an employee for refusing to participate in an activity that would result in a violation of a state or federal statute, or a violation or noncompliance with a local, state or federal rule or regulation.
  4. The University prohibits all University employees from retaliating against an employee for having exercised his or her rights as a whistleblower in any former employment.
  5. The University prohibits all University employees from retaliating against an employee because the employee is a family member of a person who is, or is perceived to be, a whistleblower.

Any employee who discriminate or retaliates against another employee as a result of his or her protected actions as described in this policy may be subject to corrective action, up to and including termination. Examples of potentially retaliatory actions include but are not limited to discharge, demotion, suspension, harassment, or intimidation of an employee protected under this policy.

How to report improper acts

  • Employees having information regarding possible violations should report, if appropriate, through procedures such as Animal Care and Use and Human Subject Research as identified at the Office of Research website.
  • Employees having information regarding possible violations of local, state or federal statutes, rules, or regulations, or who believe they have been discriminated or retaliated against as a result of their protected actions as described in this policy, may make a report online via the  Chapman University, Institutional Compliance website or by calling the Chapman University Ethicspoint Hotline at 888-493-1870.

OFFICE RESPONSIBLE FOR POLICY

Name of Office: Institutional Compliance

Contact information for questions about this policy: Gail Nishida, Chief Compliance Officer, nishida@chapman.edu

WEBSITE ADDRESS FOR THIS POLICY

https://www.chapman.edu/campus-services/institutional-compliance-and-internal-audit/institutional-compliance/policies/compliance-complaint-policy.aspx

WHO APPROVED THIS POLICY

Senior Staff member submitting the policy: Harold Hewitt

Date approved: August 29, 2018

[signed]

President

Publication Date

Effective: August 29, 2018

Related Materials

none

Approved on August 29, 2018

[signed]

Daniele C. Struppa

President, Chapman University