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 20, 2019

TABLE OF CONTENTS

Contacts
Statement of Policy
Reason for This Policy
Individuals and Entities Affected by This Policy
Exclusions
Responsibilities
Definitions (defined terms are capitalized throughout the document)
Related Documents, Forms and Tools
Website Address for This Policy
History and Updates
Appendix

CONTACTS

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, they are encouraged to contact the appropriate University official (see Operating Procedures for Good Faith Disclosures 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.

EXCLUSIONS

There are no exclusions to this policy.

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.

DEFINITIONS

All defined terms are capitalized throughout the document. Refer to the central Policy Glossary for additional defined terms.

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.

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.

RELATED DOCUMENTS, FORMS AND TOOLS

Purdue University’s Anonymous Reporting Line website

Complaint of Retaliation Form (PDF)

ARRA Notice (PDF)

Indiana Code 21-39-3

Policies and Procedures:

• Procedures for Resolving Complaints of Discrimination and Harassment
• Operating Procedures for Good Faith Disclosures
• Research Misconduct (III.A.2)

WEBSITE ADDRESS FOR THIS POLICY

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

HISTORY AND UPDATES

November 20, 2019: Separated procedures from the policy. Updated contact information in Appendix A.

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.