(A)
Purpose
The purpose of this rule is to protect
members of the university community from disciplinary or retaliatory action
when they engage in good faith disclosures of alleged wrongful conduct to a
designated university official or office, a public entity charged with
investigating such alleged wrongful conduct, or through the university's
third-party ethics and compliance reporting service; and from false or reckless
claims of wrongful misconduct.
(B)
Scope
This rule applies to all members of the
university community, including employees, students, and
volunteers.
(C)
Definitions
(1)
"Good faith disclosure" means communication about
actual or suspected wrongful conduct engaged in by a university employee,
student, volunteer, or contractor (who is not also the disclosing individual)
based on a good faith and reasonable belief that the conduct has both occurred
and is wrongful under applicable law and/or university rule.
(2)
"Retaliation"
refers to adverse action against a whistleblower or an individual that has
participated in an investigation, proceeding or hearing involving a good faith
disclosure. These adverse actions include harassment or negative employment
consequences, such as compensation reductions, poor work assignments, or
threats of physical or mental harm.
(3)
"Student conduct
officer" or "administration of student conduct", refers to the university
official or designee who reviews a wide range of reported misconduct, may
resolve misconduct cases, or may refer them to another university official for
adjudication.
(4)
"Whistleblower" refers to any member of the university
community (i.e., student, employee or volunteer) who makes a good faith
disclosure.
(5)
"Wrongful conduct" means illegal, dishonest,
discriminatory, or fraudulent activity that constitutes a serious violation of
university rule, a violation of applicable state or federal law, or the misuse
of university resources, authority, or property, including the use of
university resources for personal gain.
(D)
Rule
statement
(1)
Overview
(a)
NEOMED values the ability to foster a positive,
ethical, and productive environment where members of the university community
are encouraged to communicate, in good faith, actual or suspected wrongful
conduct.
(b)
If a member of the university community has knowledge
of or belief that wrongful conduct has occurred, the disclosing individual (the
whistleblower) must make a reasonable and good faith effort to determine the
accuracy of any information reported under this rule.
(c)
Any information
report that proves to have been both unsubstantiated and made with malice or
with knowledge of its falsity is not protected by this rule and may subject the
whistleblower to discipline.
(2)
Retaliation and
confidentiality protections
(a)
Retaliation by a member of the university community
against a whistleblower is prohibited. The right of a whistleblower for
protection against retaliation does not include immunity for any personal
wrongdoing of the whistleblower that is found to exist following an
investigation.
(b)
Any member of the university community who retaliates
against any whistleblower who makes a good faith disclosure is subject to
disciplinary action, up to and including suspension, termination, or
expulsion.
(i)
Employees or volunteers who believe they have been
retaliated against should contact the office of human resources to file a
written complaint.
(ii)
Students who believe they have been retaliated against
should contact the office of student services to file a written
complaint.
(c)
Members of the university community may not directly or
indirectly use or attempt to use the official authority or influence of their
positions or offices for the purpose of interfering with the right of an
individual to make a good faith disclosure to the appropriate university
official(s) regarding matters within the scope of this rule.
(d)
Good faith
disclosures may be made on a confidential basis by the whistleblower and may be
submitted anonymously through the university's third-party reporting
service.
(e)
Good faith disclosures and investigatory records will
be kept confidential to the extent feasible, consistent with the need to
conduct an adequate investigation and in accordance with university policies
and applicable federal, state, and local laws such as the Ohio Public Records
Act.
(3)
False or reckless claims
(a)
Members of the
university community must exercise sound judgment to avoid false, reckless or
baseless claims.
(b)
Any individual who reports recklessly or with a willing
disregard for the facts, such that the report is found to be lacking in good
faith, such that the report is found to be lacking in good faith, they may be
subject to criminal charges and disciplinary action, up to and including
suspension, termination, or expulsion as determined by the employee's
appointing authority or the student conduct officer.
(4)
Communicating
good faith disclosures
(a)
Individuals who wish to be protected by state of Ohio
regulations and this rule must document their concerns in a written form that
provides sufficient detail to identify and describe the
violation.
(b)
If a member of the university community has knowledge
of or information that wrongful conduct has occurred, that individual is
encouraged to immediately report such conduct to the proper university
official, as designated in section (d)(4)(b) of this rule for
investigation.
(c)
If an individual is not comfortable speaking with their
supervisor, appointing authority, or student conduct officer, or is not
satisfied with the response they receive, individuals should direct their
concerns to the following office, as appropriate:
(i)
Academic &
student matters - office of student services, 330-325-6735
(ii)
Criminal matters
- university police department, 330-325-5911
If a whistleblower reasonably believes
that the wrongful conduct is a criminal offense, the whistleblower may make a
report to a prosecuting attorney or police authority, in addition to or instead
of filing a written report in accordance with this rule.
(iii)
Employment
matters - office of human resources, 330-325-6729
(iv)
Environmental
& occupational health and safety matters - office of environmental &
occupational health and safety, 330-325-6494
(v)
Title ix matters
- title ix coordinator, 330-325-6736
(vi)
Financial and
purchasing matters - accounting and budget office, 330-325-6399
(vii)
Legal matters -
office of the general counsel, 330-325-6354
(viii)
Grant and
research matters - office of research and sponsored programs,
330-325-6499
(ix)
Information technology matters - information technology
department, 330-325-6911
(d)
Supervisors or
approval authorities who receive good faith disclosures are required to contact
the appropriate office(s) based on nature of the good faith
disclosure.
(e)
An alternative method to make a good faith disclosure
specific to accounting, financial, information technology, research, risk, and
safety matters is to utilize the university's anonymous third-party reporting
service found online.
While such reports can be made
anonymously, the effectiveness of doing so may be limited when an individual
has chosen to not be identified.
(f)
External avenues
for good faith disclosures include the following:
(i)
The Ohio auditor
of state - public integrity assurance team;
(ii)
The Ohio civil
rights commission;
(iii)
The Ohio ethics commission;
(iv)
The Ohio
inspector general;
(v)
The United States department of
education;
(vi)
The United States department of labor;
(vii)
The United
States equal employment opportunity commission;
(viii)
National
institutes of health; and
(ix)
National science
foundation
(5)
Handling good
faith disclosures
(a)
Offices listed in section (4)(b) of this rule that
receive good faith disclosures will notify the disclosing individual (if their
identity is known) and acknowledge receipt of the reported disclosure within
ten working days for most issues and within twenty-four hours for alleged
criminal or environmental violations.
(b)
All reports will
be promptly investigated within ninety calendar days and appropriate corrective
action will be taken if warranted by the investigation.
Replaces: 3349-7-165
Notes
Ohio Admin. Code
3349-7-165
Effective:
10/25/2019
Promulgated Under:
111.15
Statutory
Authority: 111.15
Rule
Amplifies: 3350.12
Prior
Effective Dates: 10/28/2010