1.15 Whistleblower Policy

The purpose of this policy is to encourage reporting possible Wrongful Conduct to an appropriate authority so that prompt, corrective action can be taken by the University. 

POLICY
The University encourages employees who have good-faith concerns regarding Wrongful Conduct to report those concerns. This policy protects any employee who, in good faith, reports alleged Wrongful Conduct from Retaliation for engaging in Protected Activity.

This policy defines key terms and informs employees of the following: how allegations of Wrongful Conduct can be reported, how they are investigated, and what protections are afforded to employees as a direct result of engaging in Protected Activity. This policy also provides individuals with a process to report retaliatory acts. Nothing in this policy is intended to interfere with legitimate employment actions or decisions.

1. Definitions
   
   Wrongful Conduct:

   Violation of University policy, applicable law, regulations and rules, or misuse of university property, resources, or authority.

   Supervisor:

   Any University employee who has the authority to direct and control the work performance of another employee or who has the authority to take corrective action regarding any violation of a law, rule, or regulation of which the University employee complains.

   Retaliation:

   Reprimand, discharge, suspension, demotion or denial of promotion or transfer, or change in the terms and conditions of employment that occurs in retaliation for an employee's good faith involvement of protected activity related to the Wrongful Conduct of another University employee(s).

   Protected Activity:

   Communication about actual or suspected Wrongful Conduct based on a good faith and reasonable belief that the conduct is occurring, or has occurred, and is wrongful under applicable law, regulation, rule, or University policy. These reports also include communications protected under other applicable law, including communications for the purposes of participating in a hearing, investigation, or inquiry. Individuals who are aware of or have reason to suspect Wrongful Conduct should report the conduct to their supervisor, the designated University official, or an appropriate office as outlined below.
   
   

2. Responsibilities
   
   

   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, business, and research activities provided by the University. If an individual knows of an unlawful, fraudulent, or other act of misconduct that violates University policy, existing laws or regulations, or coercion by a University faculty or staff member to commit an unlawful act, they are encouraged to contact the appropriate University official.

   Where the University has defined policies and procedures for maintaining standards of conduct and disclosure of Wrongful Conduct, the applicable University policies should be followed to disclose, investigate, and resolve such violations.

3. Reporting 
   
   

   All allegations of Wrongful Conduct and Retaliation will be reviewed and referred by the appropriate University office under applicable University policy and existing law. Examples include but are not limited to:

   • University Ethics Office and Internal Audit Department – Unlawful acts, fraud, or other misconduct
   • Office of Equal Opportunity and Access – Discrimination or harassment
   • Office of Research and Sponsored Programs - Research misconduct, false certification under federal grant or contract, violation of law related to research such as False Claims Act
   • Dean of Students Office – Academic misconduct, violations of the Code of Student Conduct
   • Human Resources – Employee misconduct
   • ISU Police Department – Suspicious behavior or criminal law violations that occur on University property
   • Athletics – NCAA rules violations
4. Investigation 
   

   
   Following applicable University policy, the appropriate office primarily responsible for investigating a report will review and investigate using applicable policies and procedures.

   Individuals who are subjects of a report will be treated fairly, respectfully, and consistently with all protections set out in law and University policy. Laws and University policies impose privacy and confidentiality restraints on reporting the results of such a review or investigation. Confidentiality will be maintained within the constraints of these laws and policies. 

5. Protections

1. Protection for Reporting Wrongful Conduct

                     This policy provides protection to employees who:

1. 1. 1. Disclose or threaten to disclose to their supervisor or any public body an act or omission that the employee reasonably believes to be a violation of law, rule, or regulation by another University employee(s).
      2. Provide information to or testify before any public body conducting an investigation hearing or inquiry into a violation of law, rule, or regulations; or

1. 1. 1. Assist or participate in a proceeding to enforce the Ethics Act.
         
         

2. Retaliation Protection
   
   Retaliation against whistleblowers is strictly prohibited and the appropriate University office will investigate all complaints of retaliation and report findings and recommendations concerning whether retaliation occurred, and if so, what the appropriate remedy or remedies might be.

A violation may be established only upon a finding that:

1. 1. the University employee engaged in conduct in violation of this Policy; and
   2. that conduct was a contributing factor in the retaliatory action alleged by the employee.

It is not a violation, however, if it is demonstrated by clear and convincing evidence that the officer, member, other University employee, or State agency would have taken the same unfavorable personnel action in the absence of that conduct.

3. Remedies
   
   The Circuit courts of Illinois have jurisdiction to hear cases brought under the State Whistleblower protection article of the State Officials and Employees Ethics Act. 
   
   
4. Exceptions

a. Self-Report
Individuals who self-report their own Wrongful Conduct are not afforded protection by this policy; however, the University may take self-reporting into account as a mitigating factor in determining an appropriate response.

b. False Report or Allegation
Any employee who knowingly gives false information or makes a false report of Wrongful Conduct or a subsequent false report of Retaliation will be subject to disciplinary action, up to and including termination.

Applicable legal basis: State Officials and Employees Ethics Act (Ethics Act), 5 ILCS 430/15-5 et. seq.