Handbook of Operating Procedures 3-1022

Protection from Retaliation for Suspected Misconduct Reporting (Whistleblower)

Effective September 30, 2015
Executive Sponsor: Chief Compliance Officer
Policy Owner: Associate Vice President for Investigation and Adjudication

1. Policy Statement

The University of Texas at Austin ("University") is committed to the ethical stewardship of University resources in compliance with laws and the rules, policies, and procedures of The University of Texas System ("UT System") and the University. To this end, it is the policy of the University to:
 

• foster a University environment that promotes employees, students, and other University community members to report suspected misconduct of a material nature taking place at the University, and to assist in any investigation by persons authorized or responsible for such matters.
• prohibit retribution or retaliation against any individual who, in good faith, reports such concerns or participates in an investigation pertaining to these reports.

Links to University policies related to misconduct in research and academic misconduct may be found in Sec. X below.
 

2. Reason for Policy

To set forth responsibilities and steps for good faith reporting of material violations of law or University policies in the employment setting and to aid in the protection of individuals from retaliation for such reporting.
 

3. Scope & Audience

This policy applies to reports of misconduct in the employment setting and applies to all University employees (including faculty), students, affiliates, and applicants.
 

4. Definitions (specific to this policy)

Misconduct:

An individual's action that is unlawful or unethical including but not limited to: illegal or fraudulent activity; financial misstatements, accounting or auditing irregularities; conflicts of interest or commitment; violation of laws, regulations, rules, or policies.

Retaliation:

Any action that adversely affects the employment or institutional status of an individual who, in good faith, advances a report of misconduct to University officials or participates in an investigation of such report.

University Community Member:

Refers to any University employee, student, affiliate, or an individual external to the University who conducts business with the University.

University Policy:

This collectively refers to The University of Texas System ("UT System") Board of Regents' Rules and

 Regulations, UT System policies, as well as the University's own policies.

Whistleblower:

An individual who raises a concern about suspected violation of law or University policy.
 

5. Website (for policy)

https://secure2.compliancebridge.com/utexas/public/getdoc.php?file=3-1022
 

6. Contacts

7. Responsibilities & Procedures
   1. General Overview

1. The University expects its employees to perform their duties and responsibilities in accordance with applicable laws and to follow University policies and procedures.

2. The University provides mechanisms to assist individuals in coming forward to report misconduct without fear of reprisal or retaliation.

3. Any individual who retaliates against a University employee or student because of a good faith report of actual or suspected misconduct is subject to disciplinary action by the University, up to and including dismissal.

2. Whistleblower Reporting

1. A University community member who in good faith suspects or has knowledge of a material violation of law or University policy has a professional obligation and is expected to report suspected violations. A University community member who reports in good faith actual or suspected violations of law or University policy will be protected from retaliation.

1. Reports may cover suspected or actual misconduct, regardless of whether the individual is personally involved in the matter.

2. The individual should make such report as soon as reasonably possible, preferably within ninety (90) days from the time he or she becomes aware of the suspected misconduct.

3. An individual may amend his or her report upon learning of new information relevant to the report.

2. Reports to the University may be directed through any of these channels:

1. employee's supervisor/manager, dean/director, or Human Resources contact

2. the Department of Investigation and Adjudication via (512) 471-3701

• email: dia@austin.utexas.edu
• Web: compliance.utexas.edu/department-investigation-and-adjudication

3. University Compliance Services Hotline (available 24 hours a day, 365 days per year) via

• Phone: English 1-877-507-7321 or Español 1-800-216-1288
• Email: compliance@austin.utexas.edu
• Web: utexas.edu/hotline

The supervisor/manager, dean, director, or other University official receiving such report must assure the report is further brought to the attention of the University designee handling such reports.

3. Reports made through the University Compliance Services Hotline may be submitted anonymously and will be routed to appropriate University officials for investigation.
4. Reports made in accordance with this policy may not be construed as having made a report to a law enforcement authority.

5. An individual who has a question about the propriety of any practice under University policies should seek guidance from his or her supervisor/manager or the University official who has responsibility for overseeing compliance with the particular policy.

6. The individual who suspects a violation has occurred should not accuse or confront the individual directly or attempt to investigate the matter personally.

3. Retaliation Reporting

1. An employee who comes forward in good faith to report actual or suspected misconduct in violation of federal or state law or regulations or University policy will not be subject to retaliation, reprisal, or disciplinary action by the University. This protection does not extend to self-reported violations.

2. An employee or other University community member must not take any disciplinary or retaliatory action against any individual for good faith reporting, or causing to be reported suspected misconduct, or for assisting in an authorized investigation associated with the report.

3. Any employee or other University community member who believes he or she is experiencing retaliatory action by another individual as a result of any of the following activities is strongly encouraged to report this to the Department of Investigation and Adjudication at https://compliance.utexas.edu/department-investigation-and-adjudication or by calling 512-471-3701:

• Good faith reporting of misconduct of another individual reported to a person designated by the University to receive such disclosure.
• Participation in an investigation involving misconduct of another person.
• Filing a complaint alleging prohibited discrimination or harassment with the Department of Investigation and Adjudication.

4. Further resources and information for addressing concerns of retaliation in the workplace or academic environment may be obtained by contacting the Department of Investigation and Adjudication or visiting its website.

4. False Information

Related to this policy, an employee will be subject to disciplinary action, up to and including dismissal, for any of these actions:

• making a false report of retaliation, actual misconduct, or suspected misconduct.
• knowingly providing false answers or information in response to an ongoing investigation.

8. Forms & Tools

 The Department of Investigation and Adjudication (DIA): File a Complaint with DIA 

University Compliance Services (UCS): Compliance and Ethics Hotline
 

9. Frequently Asked Questions

None
 

10. Related Information

 University Affiliates

University Compliance Services Reporting Hotline

UT System Policy UTS131 - Protection from Retaliation for Reporting Suspected Wrongdoing 

 HOP 3-1021 - Suspected Dishonest or Fraudulent Activities

 HOP 7-1230 - Research Misconduct

Applicable state and federal laws: Titles VI and VII of the Civil Rights Act of 1964, as amended; Age Discrimination in Employment Act of 1967; Age Discrimination Act of 1975; Americans with Disabilities Act of 1990; Americans with Disabilities Amendment Act of 2008; Equal Pay Act of 1963; Veterans Readjustment Act of 1974; Executive Order of 11246; Sections 503 and 504 of the Rehabilitation Act of 1973; Title IX of the Education Amendments of 1972; Texas Labor Code; Chapter 21
 

11. History

Last review date: September 30, 2015

Editorial revisions: February 18, 2016
    Editorial revisions: May 31, 2023

Next scheduled review date: October 2017