Human Resources:  Whistleblower Policy

SCHREINER UNIVERSITY
Policy on Employee and Applicant Disclosure of Misconduct Involving
Questionable Accounting or Auditing Matters (Whistleblower Policy)

I. Purpose and Applicability
The purpose of this policy is to set forth the Schreiner University policy on employee and applicant disclosure of misconduct relating to accounting or auditing matters, and to protect employees and applicants from retaliation in the form of an adverse employment action for disclosing what the employee or applicant believes evidences certain unlawful practices. This policy is applicable to all employees of Schreiner University and to applicants for jobs at Schreiner University.

II. Statement of Policy
It is the policy of Schreiner University that employees or applicants shall be free without fear of retaliation to make known allegations of alleged misconduct existing within Schreiner University that he or she reasonably believes constitutes the following: wire fraud, mail fraud, bank fraud, securities fraud or questionable accounting, internal controls, and auditing matters.

A representative of Schreiner University shall not take or refuse to take any employment action in retaliation against an employee or applicant who discloses information regarding misconduct under this policy or who, following such disclosure, seeks a remedy provided under this policy or any law or other Schreiner University policy.

III. Process for Disclosure

A. An employee or applicant shall disclose all relevant information regarding evidenced misconduct to the President or his/her designee in a signed written document within ninety (90) days of the day on which he or she knew or should have known of the misconduct. If the employee or applicant would rather contact a source outside of the institution, he or she may contact In Touch, the University’s third-party hotline vendor.

B. The President or his/her designee shall consider the disclosure and take whatever action he or she determines to be appropriate under the law and circumstances of the disclosure.

C. In the case of disclosure of misconduct involving the President, the disclosure shall be directed to the Chair of the Board of Trustees his/her designee or to In Touch. The Chair of the Board of Trustees or designee shall consider the disclosure and take whatever action he or she determines to be appropriate under the law and circumstances of the disclosure.

D. In the case of disclosure of misconduct involving the Chair of the Board of Trustees, the disclosure shall be directed to the President or In Touch. The President shall consider the disclosure and take whatever action he or she determines to be appropriate under the law and the circumstances of the disclosure. E. All employees will be instructed in the process of using the University’s third-party hotline vendor to either make a disclosure or to file a complaint of retaliation due to a disclosure.

IV. Complaints of Retaliation as a Result of Disclosure

A. If an employee or applicant believes that he or she has been retaliated against in the form of an adverse employment action for disclosing information regarding misconduct under this policy, he or she may file a written complaint requesting an appropriate remedy.

B. For purposes of this policy, an adverse employment action shall be defined as actions including: discharge, demotion, suspension, being threatened or harassed, or in any other manner discriminated against with respect to compensation, terms, conditions or privileges of employment. This policy does not prohibit an employment action that would have been taken regardless of a disclosure of information.

V. Process for Adjudication of Complaints Stemming from Disclosure

A. An employee or applicant must file a complaint with the President or his/her designee within ninety (90) days from the effective date of the adverse employment action or from the date on which the employee or applicant should reasonably have had knowledge of the adverse employment action.

B. Complaints shall be filed in writing and shall include:

1. Name and work address of the complainant;

2. Name and title of Schreiner University’s official(s) against whom the complaint is made;

3. The specific type(s) of adverse employment action(s) taken;

4. The specific date(s) on which the adverse employment action(s) were taken;

5. A clear and concise statement of the facts that form the basis of the complaint;

6. A clear and concise statement of the complainant’s explanation of how his or her previous disclosure of misconduct is related to the adverse employment action; and

7. A clear and concise statement of the remedy sought by the complainant.

C. Within sixty (60) calendar days of receipt of the complaint, the President or his/her designee shall consider the written complaint, shall conduct or have conducted an investigation which, in his or her judgment, is consistent with the circumstances of the complaint and disclosure, and shall provide the complainant with a determination regarding the complaint.

D. The determination shall be in writing and shall include the findings of fact, the conclusions of the investigation, and, if applicable, a specific and timely remedy consistent with the findings. The decision of the President or Chairman of the Board of Trustees shall be final.  

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