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University Governance, Ethics, Integrity, and Legal Compliance

Prohibition of Retaliation

Scope

Syracuse University trustees, officers, faculty, staff, and volunteers.

Policy Statement

Syracuse University prohibits and will not tolerate any form of retaliation toward a University trustee, officer, faculty or staff member, or volunteer for filing a good faith report of suspected fraudulent or unethical behavior or suspected violations of applicable laws, regulations, or University policy. Any individual who has been found to have participated in such retaliatory action will be subject to disciplinary action, up to and including termination.

A copy of this policy shall be distributed to all trustees, officers, faculty and staff members, and to volunteers who perform substantial services to the University.

The Executive Vice President and Chief Financial Officer shall be responsible for reporting to the Audit Committee of the Board of Trustees on the administration of this policy.

Reporting Illegal / Unethical Activities or Violations of University Policy

Syracuse University is committed to compliance with all applicable laws and regulations, including Section 715-b of the State of New York not-for-profit corporation law, and to the adoption and administration of University policies and procedures that faithfully apply such laws and regulations. Moreover, as stated in the University's Code of Ethical Conduct, "…we have a responsibility to be scrupulous in our business dealings and to report known or suspected fraudulent activity or unethical behavior to the appropriate University official."

Trustees, officers, faculty, staff, and volunteers are expected to report suspected illegal/unethical activities, or violations of University policy. Faculty, staff and volunteers are first encouraged to report their concerns to their immediate supervisors for resolution. If that is not a viable option, concerns should be reported by utilizing the web-based Confidential Hotline service administered by the Office of Audit and Management Advisory Services (AMAS).

Reports submitted via the hotline may be submitted on a confidential basis or may be submitted anonymously. The identity of persons submitting reports that are not submitted anonymously, but for which confidentiality is requested, will be disclosed only when reasonably necessary to investigate the report or for related matters, or when required by law. Although the University endeavors to investigate all reports, including anonymous reports, the nature of anonymous reports makes investigation, determination, and remediation more difficult and, at times, impossible. Accordingly, in the event of an anonymous report, the University will determine if there is sufficient detail in the report to conduct an investigation.

Individuals are sometimes reluctant to report suspected fraudulent or unethical behavior or suspected violations of applicable laws, regulations, or University policies due to a fear of retaliation. Retaliation can take many different forms, including intimidation, harassment, unlawful discrimination, adverse employment consequences, or the threat of any of these or other similarly unwarranted actions. This policy is intended to encourage individuals to report such matters in good faith without fear of retaliation. In addition, any individual who believes he/she, or another person has experienced retaliation for reporting such matters is also encouraged to report that as well.

Policy Administration

Links to Procedures and Related Information

Date: May 2014


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