ROWAN UNIVERSITY POLICY
Title: Reporting Compliance & Ethics Concerns
Subject: Compliance and Corporate Integrity
Policy No: OCCI:2014:01
Applies: University-wide
Issuing Authority: Rowan University President
Responsible Officer: Executive Vice President for Administration & Strategic Advancement
Adopted:
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08/21
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/2014
Last Revision:
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08/21
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/2014
Last Reviewed:
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12/19
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/2014
I.
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PURPOSE
Rowan University is committed to ethical conduct in all of its operations. At the very minimum, all employees, contractors, representatives or agents are responsible to ensure that their activities on behalf of the University, and those of their colleagues, comply with all applicable federal and state laws and Rowan University policies. To that end, all employees have a responsibility and an affirmative duty to report actual or suspected wrongful conduct, and the University has a responsibility to make sure that they can do so without fear of retaliation or reprisal. All Such reports that are filed in good faith shall be accepted, kept confidential to the extent possible in conformance with applicable laws, regulations and University policies and procedures, evaluated fairly and addressed promptly and appropriately.
II.
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ACCOUNTABILITY
This policy applies to and should be read by all employees, students employed by the university, contractors, representatives or agents of the schools, departments and units that are a part of Rowan University as to their duty to report suspected wrongdoing, the methods they may use to meet their reporting requirements and the protections in place for individuals who provide reports of suspected wrongdoing in good faith.
This policy can be found on the University website: http://www.rowan.edu/compliance/reporting/
III.
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APPLICABILITY
It is the policy of Rowan University that employees, students employed by the university, contractors, representatives or agents have a duty to report suspected wrongful conduct and they should be able to meet this duty without the fear of retaliation or reprisal. This policy gives everyone the opportunity to help Rowan achieve its mission.
IV.
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REFERENCES
The University complies with the following related documents:
A. Corporate Integrity Agreement between the Office of Inspector General of the Department of Health and Human Services and the University of Medicine and Dentistry of New Jersey, September 25, 2009 to September 25, 2014, as amended by a Letter Agreement, UMDNJ-RowanSOM dated 5/1/2013.
B. The Medicare and Medicaid Patient Protection Act of 1987, as amended, 42 U.S.C. §1320a- 7b (the "Anti-kickback Statute"),
C. Stark Law, 42 CFR §§ 411.350 – 411.389
D. New Jersey's Conscientious Employee Protection Act (N.J.S.A. 34.19-1 et seq., also known as the "Whistleblower Act")
E. Sarbanes-Oxley Sarbanes-Oxley not only prohibits retaliating against whistle blowers (SOX section 806), it also affirmatively requires companies to set up hotlines or other "procedures" for the "confidential, anonymous submission of employee complaints and concerns" about audit/accounting fraud (SOX section 301).
V.
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POLICY
A. Reporting Policy Violations & Crime
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- Rowan University policy prohibits retaliation, harassment, intimidation or discrimination against individuals who make good faith reports of suspected wrongdoing. Any employee found to have retaliated against anyone who has made a good faith report shall be subject to appropriate disciplinary action up to and including termination of employment. Good faith reports that are not substantiated are protected under this policy.
- Complaints made in bad faith using falsified information is contrary to the intent and spirit of this policy, and may subject the reporter to disciplinary action up to and including termination.
- To make reports of immediate threats or danger, call 911. The Rowan University Alert Line should not be used for emergencies. There are other reporting methods for concerns which are summarized in Attachment 1.
- Retaliation & Whistleblower Protection
Reporting and Investigating Retaliation Allegations- Reporting: Anyone who has provided information who believes he or she is the subject of retaliation should report the facts supporting the allegations of retaliation to the Chief Compliance Officer; Assistant Vice President Equity and Diversity; General Counsel, Ethics Liaison Officers (ELO) or the Alert Line.
- All investigations of alleged retaliation will be conducted as sensitively and expeditiously as possible. Due consideration will be given to existing grievance procedures under applicable collective bargaining agreements.
- Should an investigation lead the appropriate Rowan University authority to conclude that retaliation has been substantiated; the individual(s) responsible for committing the retaliation, in addition to any civil or criminal proceedings, shall be subject to disciplinary action up to and including termination.
- In accordance with New Jersey's Conscientious Employee Protection Act (N.J.S.A. 34.19-1 et seq., also known as the "Whistle blower Act"), Rowan University shall take no retaliatory action against an employee as identified in Exhibit A below.
The Conscientious Employee Protection Act Annual Notice is given in Attachment 2 or Attachment 3 in Spanish
- Sanctions
Failure to comply with this policy may result in sanctions up to, and including, termination of employment or termination of a contractor's agreement. - Communications
Notices: Posters will be placed in each Human Resource site for each Rowan University unit/school. See below Attachment 2 or Attachment 3 in Spanish.
Email: An email will be sent in the second week of the fall, spring and summer terms of each year to all faculty, staff, students employed by the university and Trustees.
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VI. ATTACHMENTS
A. Attachment 1 - , Other Reporting Methods for Concerns
B. Attachment 2 - , Annual notice, Conscientious Employee, Protection Act "Whistleblower Act"
C. Attachment 3 - , Annual notice, Conscientious Employee, Protection Act "Whistleblower Act" (Spanish)
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