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Ethics

Protection Against Reprisal for Good Faith Disclosures (Whistleblower Protection) (III.A.4)

Volume III: Ethics
Chapter A: Conduct
Responsible Executive: President
Responsible Office: Office of the Vice President for Ethics and Compliance
Date Issued: July 15, 2010
Date Last Revised: November 18, 2011

TABLE OF CONTENTS

Statement of Policy
Reason for This Policy
Individuals and Entities Affected by This Policy
Who Should Know This Policy
Exclusions
Website Address for This Policy
Contacts
Definitions
Responsibilities
Procedures
Related Documents, Forms, and Tools
History and Updates
Appendix A

STATEMENT OF POLICY

Purdue University is committed to protecting from Retaliation individuals who, acting in good faith, disclose unlawful or fraudulent Misconduct. Retaliation against any individual for making a Good Faith Disclosure, participating in an investigation of a Good Faith Disclosure, or enforcing this policy is strictly prohibited. Overt or covert acts of Retaliation against an individual or group for exercising rights or responsibilities under this policy will be subject to appropriate and prompt disciplinary or remedial action.

All University faculty, staff, and students are required to follow the policies set forth by the University to maintain and uphold the integrity and quality of education provided by Purdue University. If an individual knows of an unlawful or fraudulent act of Misconduct, including but not limited to theft, bribery, misuse of property, fraud, violation of University policy, violation of state and/or federal law or regulation, or coercion by a University faculty or staff member to commit an unlawful act, he or she is encouraged to contact the appropriate University official (see Procedures and Appendix A).

This policy is not to be used to bring knowingly false allegations of Misconduct against any employee, student, volunteer, agent, or contractor. Disciplinary action will be taken against any individual found to have made a report of Misconduct in bad faith, or any individual who, in bad faith, is found to have encouraged another person or group to make such a report.

REASON FOR THIS POLICY

This policy is meant to protect from Retaliation any person who is making a Good Faith Disclosure to University officials.

INDIVIDUALS AND ENTITIES AFFECTED BY THIS POLICY

All units, students, faculty, staff, volunteers, agents, and contractors of Purdue University.

WHO SHOULD KNOW THIS POLICY

President
Chancellors
Vice Presidents
Vice Provosts
Vice Chancellors
Deans
Directors
Department Heads/Chairs
All Faculty
All Staff
All Students
Volunteers
Agents/Contractors

EXCLUSIONS

There are no exclusions to this policy.

WEBSITE ADDRESS FOR THIS POLICY

www.purdue.edu/policies/ethics/iiia4.html

CONTACTS

Subject Contact Telephone E-mail/Web Address
Policy Clarification or Reports of Retaliation Vice President for Ethics and Compliance 765-494-5830 vpec@purdue.edu
www.purdue.edu/ethics

DEFINITIONS

Fraud
Any act or instance of conscious deception made for personal gain. Acts of Fraud include, but are not limited to theft, embezzlement, improper reporting of time (e.g., timecard, sick, or vacation leave reporting), illegal or fraudulent payments, misuse of cash or University resources, diversion of or lack of timely deposit of University revenues, credit card fraud, or inappropriate communication of confidential information (e.g., social security number, other protected personal or financial information).

Good Faith Disclosure
Any communication or report about actual or suspected Misconduct engaged in by a University employee, student, volunteer, agent, or contractor (who is not also the Reporting Individual) based upon a good faith and reasonable belief that the conduct has both occurred and is wrongful under applicable law, regulation, and/or University policy. Communications or reports made in good faith do not disregard facts that would refute such communication or report and are not based upon bias, malice, or other ill intent.

Misconduct
Any act that violates a University policy or state or federal law or regulation being committed by a University employee, student, volunteer, agent, or contractor. Misconduct includes, but is not limited to Fraud, theft, bribery, misuse of University property, waste, mismanagement of funds, abuse of authority, or coercion by a University faculty or staff member to commit an unlawful act.

Preponderance of the Evidence
The evidence supporting a finding is more convincing than the evidence offered in opposition to it.

Purdue University or University
Any campus, unit, program, association, or entity of Purdue University, including but not limited to Indiana University—Purdue University Fort Wayne, Purdue University Calumet, Purdue University North Central, Purdue University West Lafayette, Purdue Cooperative Extension Service, and Purdue University College of Technology Statewide.

Reporting Individual
Any employee, student, volunteer, agent, contractor, or other person who makes a Good Faith Disclosure.

Retaliation
Any overt or covert adverse action, including but not limited to harassment, demotion, expulsion, suspension, reassignment, or termination, against any person for making a Good Faith Disclosure, participating in an investigation involving a Good Faith Disclosure, or enforcing this policy.

Purdue University's Anonymous Reporting Line
Purdue University's program to allow for anonymous reports of Fraud and/or Misconduct.

RESPONSIBILITIES

Managers and Supervisors
Speak confidentially with faculty or staff concerning Good Faith Disclosures.

Take appropriate action, including contacting or referring the matter to the appropriate University official (see Appendix A).

Provide an environment free from Retaliation.

Office of the Vice President for Ethics and Compliance
Receive and investigate complaints of Retaliation under this policy.

Provide education and training about this policy.

Reporting Individual
Make a Good Faith Disclosure.

Maintain confidentiality of the Good Faith Disclosure while it is being investigated.

PROCEDURES

Reports of Misconduct
Any individual with information regarding Misconduct on the part of any Purdue University employee, student, volunteer, agent, or contractor that violates a Purdue policy or a state or federal law or regulation in connection with their duties to Purdue University is encouraged to make a Good Faith Disclosure to the appropriate University official (see Contacts and Appendix A).

A Reporting Individual may utilize Purdue University's Anonymous Reporting Line to anonymously report Fraud or Misconduct.

Complaints of Retaliation
Following the Good Faith Disclosure, the University will take reasonable steps to protect the Reporting Individual from Retaliation. The Office of the Vice President for Ethics and Compliance will receive and investigate complaints of Retaliation.

Individuals who believe they have experienced Retaliation are encouraged to file a completed and signed Complaint of Retaliation Form with the Office of the Vice President for Ethics and Compliance. The form must be filed within 120 days of the date of the incident of Retaliation or, where the Retaliation is of an ongoing nature, within 120 days from the most recent incident.

The Vice President for Ethics and Compliance, or his or her designee, will investigate the complaint of Retaliation and make a finding based upon a Preponderance of the Evidence presented in the matter as to whether or not:

  1. The complaining party made a Good Faith Disclosure, participated in the investigation of a Good Faith Disclosure, or enforced this policy;
  2. The complaining party was subjected to Retaliation; and
  3. The complaint of Retaliation was knowingly false and malicious.

No violation of this policy will be found unless a Preponderance of the Evidence supports the finding of a violation. The finding will also include recommendations regarding any appropriate remedy and/or sanction.

Notwithstanding the above, if the complaint of Retaliation is eligible for review under another policy or an existing grievance or complaint resolution process, the Vice President for Ethics and Compliance or his or her designee may refer the complaint of Retaliation to the appropriate University official for resolution in accordance with that policy or resolution process.

RELATED DOCUMENTS, FORMS, AND TOOLS

ARRA Notice:
www.oig.dol.gov/recovery/Section1553WhistleblowerProvisions.pdf

Campus Security and Crime Statistics, policy IV.A.2:
www.purdue.edu/policies/facilities-safety/iva2.html

Complaint of Retaliation Form:
www.purdue.edu/ethics/documents/COMPLAINTofRetaliationForm.pdf

Indiana Code 21-39-3:
www.in.gov/legislative/ic/code/title21/ar39/ch3.html

Purdue University's Anonymous Reporting Line website:
www.purdue.edu/hotline

Procedures for Resolving Complaints of Discrimination and Harassment:
www.purdue.edu/ethics/resolvingcomplaints.html

Research Misconduct policy (III.A.2):
www.purdue.edu/policies/ethics/iiia2.html

HISTORY AND UPDATES

November 18, 2011: Policy number changed to III.A.4 (formerly X.1.2) and website address updated. Related documents section updated as well.

January 1, 2011: This policy supersedes Protection Against Reprisal for Good Faith Disclosures (Whistleblower Protection), Interim (X.1.2), dated July 15, 2010.

July 15, 2010: This is the first policy to address this issue.

APPENDIX A

Additional Resources

Individuals are encouraged to report Misconduct to an appropriate University official. Concerns relating to specific areas may be reported to the officials listed below.

Indiana University—Purdue University Fort Wayne
Subject Contact Telephone E-mail/Web Address
Anonymous Reporting Purdue University's Anonymous Reporting Line   www.purdue.edu/hotline
Compliance with Laws and Regulations Vice President for Ethics and Compliance 765-494-5830 vpec@purdue.edu
www.purdue.edu/ethics
Research Associate Vice Chancellor for Research and External Support (260) 481-6391  
Athletics Assistant Athletic Director for Compliance (260) 481-6661  
Criminal Matters University Police (260) 481-6827 www.ipfw.edu/police/
Employment Matters Human Resources (260) 481-6840 www.hr.ipfw.edu/contact/
Student Matters Vice Chancellor for Student Affairs (260) 481-6844 www.ipfw.edu/vcsa/
Financial Matters Comptroller (260) 481-6322  
Discrimination or Harassment Affirmative Action Office (260) 481-6107  
Health and Safety Information Technology Services (260) 481-5469  
Radiological and Environmental Management (260) 481-4193  
Purdue University Calumet
Subject Contact Telephone E-mail/Web Address
Anonymous Reporting Purdue University's Anonymous Reporting Line   www.purdue.edu/hotline
Compliance with Laws and Regulations Vice President for Ethics and Compliance 765-494-5830 vpec@purdue.edu
www.purdue.edu/ethics
Research Chief Research Officer (219) 989-4154  
Athletics Assistant Vice Chancellor for Health, Recreation, and Sports/Athletic Director (219) 989-2540 webs.calumet.purdue.edu/athletics/
Criminal Matters University Police (219) 989-2220 webs.calumet.purdue.edu/police/
Anonymous Hotline (219) 989-2912  
Employment Matters Human Resources (219) 989-2251 webs.calumet.purdue.edu/hr/
Student Matters Vice Chancellor for Student Affairs (219) 989-2367 vcsa@calumet.purdue.edu
Financial Matters Internal Audit Office (765) 494-7588 iadirector@purdue.edu
Discrimination or Harassment Office of Affirmative Action/EEO (219) 989-3169 webs.calumet.purdue.edu/hr/affirmative-actioneeo/
Information Technology Security Vice Chancellor for Information Services (219) 989-8185  
Health and Safety Occupational Health and Safety Specialist (219) 989-2724  
Purdue University North Central
Subject Contact Telephone E-mail/Web Address
Anonymous Reporting Purdue University's Anonymous Reporting Line   www.purdue.edu/hotline
Compliance with Laws and Regulations Vice President for Ethics and Compliance 765-494-5830 vpec@purdue.edu
www.purdue.edu/ethics
Research Vice Chancellor for Academic Affairs (219) 785-5500  
Athletics Assistant Vice Chancellor and Dean of Students (219) 989-2540  
Criminal Matters Campus Police (219) 785-5230 Campus_Police@pnc.edu
Employment Matters Human Resources (219) 785-5354 www.pnc.edu/hr/staff.htm
Student Matters Assistant Vice Chancellor and Dean of Students (219) 785-5230 www.pnc.edu/sa/index.html
Financial Matters Internal Audit Office (765) 494-7588 iadirector@purdue.edu
Discrimination or Harassment Assistant Director of EEO and Training (219) 785-5545 webs.calumet.purdue.edu/hr/affirmative-actioneeo/
Information Technology Security Associate Vice Chancellor of Information Technology (219) 785-5377  
Health and Safety Director of Public Safety (219) 785-5220  
Purdue University West Lafayette (and System-Wide)
Subject Contact Telephone E-mail/Web Address
Anonymous Reporting Purdue University's Anonymous Reporting Line   www.purdue.edu/hotline
Compliance with Laws and Regulations Vice President for Ethics and Compliance 765-494-5830 vpec@purdue.edu
www.purdue.edu/ethics
Research Research Integrity Officer (765) 494-6840 www.purdue.edu/research/vpr/rschadmin/integrity/index.php
Athletics Compliance Officer (765) 494-3208  
Criminal Matters University Police (765) 494-8221 www.purdue.edu/police
Employment Matters Vice President for Human Resources (765) 494-7395 hr@purdue.edu
Student Matters Dean of Students (765) 494-1747 odosmain@purdue.edu
Financial Matters Internal Audit Office (765) 494-7588 iadirector@purdue.edu
Discrimination or Harassment Office of Institutional Equity (765) 494-7588 equity@purdue.edu
Information Technology Security Information Technology Network and Security (765) 496-3970 www.purdue.edu/securepurdue
Health and Safety Environmental Health and Public Safety (765) 494-7504 ehps@purdue.edu