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Whistleblower Policy: Reporting Suspected Wrongdoing and Protection from Retaliation

Policy
Purpose: 

The general purpose of this policy is to protect any KU employee or other member of the KU community who makes a good-faith disclosure of suspected wrongful conduct. This policy establishes the appropriate reporting mechanisms to be used for notification of known or suspected wrongdoing and protection from retaliation.

Applies to: 

All University of Kansas employees

Campus: 
Lawrence
Edwards
Parsons
Juniper Gardens
Yoder
Medical Center, Kansas City
Wichita
Salina
Topeka
Policy Statement: 

No employee shall take retaliatory action against any individual for reporting, or causing to be reported, suspected wrongdoing, or for assisting in an authorized investigation of alleged wrongdoing. Retaliation, if confirmed, will result in disciplinary action.

University of Kansas (KU) employees must comply with applicable state and federal law, as well as University and Kansas Board of Regents policies. Furthermore, a KU employee cannot be compelled by a supervisor or a University official to violate a law, Board of Regents policy, or University policy.

KU employees who have knowledge of specific acts which they reasonably believe violate the law, Board of Regents, or University policy must report those acts to the appropriate University official.

KU is committed to providing an environment of integrity that encourages the disclosure of violations of law, Board of Regents, or University policy to the University administration, while protecting from reprisal its employees and other members of its community who make a good-faith disclosure of suspected wrongful conduct occurring at the University.

Additionally, employees of contractors, grantees, subcontractors, and subgrantees, when working on Federal grants and contracts in connection with the University of Kansas, have certain “whistleblower” rights and remedies afforded by statute, including but not limited to 41 U.S.C. 4712. Accordingly, all such contractors, grantees, subcontractors, and subgrantees are required to comply with all applicable laws.

Persons who believe they have been subjected to retaliation in violation of this policy should notify the University Department of Internal Audit or the University Office of the General Counsel or the Provost/Executive Vice Chancellor, Lawrence Campus or the Executive Vice Chancellor, Medical Center. As an appropriate follow up, the employee should file a written complaint to the University Director of Department of Internal Audit.

Reporting Procedures

To make a report of suspected or known wrongful conduct contact one of the following offices:

Lawrence Campus

To Report: Contact Phone # E-mail
Misuse of funds or accounting irregularities University Director of Internal Audit 844-420-9065 Go to ku.ethicspoint.com
Scholarly Misconduct Research Compliance Hot Line 785-864-7444 sumac@ku.edu
Export Controls University Export Control Office 785-864-4273 ldodson@ku.edu
NCAA Violations Athletics Director
Associate Athletic Director, Compliance
Faculty Athletics Representative
785-864-3143
785-864-4200
785-864-2919
kuathletics@ku.edu
compliance@jayhawks.org
smwilliams@ku.edu
Sexual Harassment, Discrimination, other Equal Opportunity issues Executive Director of Institutional Opportunity and Access 785-864-6414 IOA@ku.edu
Breach of data privacy or security Information Technology Security Office
Privacy Office
785-864-8080
785-864-9528
question@ku.edu
privacy@ku.edu
Environment, Health, Safety issues Environment, Health and Safety 785-864-4089 mjrussell@ku.edu

Medical Center

To Report: Contact Phone # E-mail
Misuse of funds or accounting irregularities University Director of Internal Audit 844-420-9065 Go to ku.ethicspoint.com
Research Misconduct Associate Vice Chancellor for Compliance 913-588-7418
844-420-9065-Institutional Hotline
mwolfe2@kumc.edu
Export Controls Office of Export Compliance 913-588-7281
844-420-9065-Institutional Hotline​
ldodson@ku.edu
Sexual Harassment KUMC Equal Opportunity Office 913-588-8011
844-420-9065-Institutional Hotline​
nholick@kumc.edu
Breach of data privacy KUMC Privacy Official 913-588-0940 jwessel@kumc.edu
Breach of data security Director, Information Security
Information Security Hotline
913-588-4902
913-588-3333
jgodfrey@kumc.edu
Environment, Health or Safety issue Director Environment, Health and Safety Office 913-588-1081
844-420-9065-Institutional Hotline​
rlickteig@kumc.edu

If the subject matter is not covered above, if the complainant believes the responsible office may be involved in the violation, or if the matter has been reported locally but is thought to be unresolved, a report should be made to University General Counsel at (785) 864-3276.

Reports may be made anonymously. Reports and investigations will be kept confidential to the extent possible under law and consistent with the need to conduct an adequate investigation and take corrective action. The responsible campus official receiving the report shall make certain that the matters alleged in the report are promptly and thoroughly investigated and that appropriate corrective action is taken if necessary. The responsible campus official may consult with the Office of General Counsel and others as needed to determine the appropriate investigative process.

Exclusions or Special Circumstances: 

This policy does not protect an employee who files a report or provides information that the employee knows to be false or provides information with reckless disregard for its truth or falsity. An employee who is determined to knowingly have made false accusations or provided false information during an investigation may be subject to disciplinary action up to and including termination.

Contact: 

Department of Internal Audit
Strong Hall
1450 Jayhawk Blvd., Suite 351
Lawrence, KS 66045
785-864-0042

Office of the General Counsel
Strong Hall
1450 Jayhawk Blvd., Suite 245
Lawrence, KS 66045
785-864-3276

The University of Kansas, Lawrence campus
Office of the Provost and Executive Vice Chancellor
Strong Hall
1450 Jayhawk Blvd., Suite 250
Lawrence, KS 66045
p 785-864-4904
f 785-864-4463

University of Kansas Medical Center
Office of the Executive Vice Chancellor
KU Medical Center
2032 Murphy Administration Building
Mail Stop 2015
3901 Rainbow Boulevard
Kansas City, KS 66160
913-588-1440

Note: The Office of the General Counsel is key contact for policy interpretation, enforcement, and other issues not specifically addressed in this policy.

Approved by: 
Chancellor
Approved on: 
Wednesday, July 29, 2009
Effective on: 
Wednesday, July 29, 2009
Review Cycle: 
Annual (As Needed)
Background: 

Organization responsible appropriate execution of this policy:

  • Department of Internal Audit
  • Office of the General Counsel
  • Office of the Provost/Executive Vice Chancellor, Lawrence Campus
  • Office of the Executive Vice Chancellor Medical Center
Definitions: 

University Employee includes faculty, unclassified academic staff, unclassified professional staff, University Support Staff, classified staff, and student employees (regardless of nature of appointment).

Wrongful Conduct includes, but is not limited to:

  • A violation of applicable state or federal laws or regulations;
  • A violation of Board of Regents or University policy;
  • Use of University property, resources, or authority for personal gain or other non-University-related purpose, except as authorized under University policy and approved by the Chancellor.
Keywords: 
Whistleblower, retaliation, reprisal, protection, wrongful conduct, whistleblowing, whistle, blower
Review, Approval & Change History: 

06/01/2017: Fixed broken link. 

07/11/2016: Updated to remove gendered pronouns.

01/07/2016: Updated KUMC hotline number.

10/14/2015: Updated link to K.S.A. 75-2973.

10/14/2015: Corrected an email address in the Medical Center table.

07/08/2015: Updated contact information for Medical Center table.

01/06/2015: Policy formatting cleanup (e.g., bolding, spacing).

11/20/2014: Updated contact information for Medical Center table.

11/14/2014: Language added to address whistleblower rights for employees of contractors, grantees, subcontractors, and subgrantees, when working on Federal grants and contracts in connection with the university.

06/10/2014: Revised to update name of the current Faculty Athletics Representative.

07/29/2009: Approved by the Chancellor.

Personnel: Affiliates/Volunteers Categories: 
Workplace Rules & Guidelines
Personnel: Faculty/Academic Staff Categories: 
Workplace Rules & Guidelines
Personnel: Staff Categories: 
Workplace Rules & Guidelines
Personnel: Student Employees Categories: 
Workplace Rules & Guidelines

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