WHISTLEBLOWER POLICY
I. POLICY STATEMENT.
Occidental College (“College”) requires all members of the College community to adhere to the highest standards of ethical and legal conduct in carrying out their responsibilities. The College is therefore committed to protecting from retaliation any individual who makes a good faith report of suspected unlawful activity. It is the College’s policy to encourage such reports and to comply with , , and other whistleblower protection statutes.
II. APPLICABILITY.
This policy applies to all Occidental College employees (including faculty, staff, student employees, and administrators) and the College’s trustees. This policy governs the reporting and investigation of allegations of suspected unlawful activities and the protection of whistleblowers from retaliation. It describes the procedures for investigating known or suspected wrongdoing and addressing complaints of retaliation for raising such issues.
III. DEFINITIONS.
College Official – For purposes of this policy, a College Official is the Chief Human Resources Officer, the General Counsel, the President, a Vice President, the Chair of the Board of Trustees, the Chair of the Audit Committee of the Board of Trustees, or any person who has (i) overall responsibility for the affected College department or unit or (ii) authority to investigate or correct the reported misconduct.
Protected Activity – A (i) Protected Disclosure (ii) refusal to comply with what the employee believes to be an illegal order (iii) assisting in the investigation of a report made pursuant to this policy, or (iv) assisting, providing information to, or testifying before any governmental entity that is investigating or conducting a hearing or inquiry.
Protected Disclosure – A disclosure of what an employee reasonably believes to be suspected Wrongdoing to a (i) government or law enforcement agency, (ii) person with supervisory authority over the employee, (iii) a court or grand jury, or (iv) a College Official
Reprisal – A discharge, demotion, or other discrimination or retaliation for engaging in Protected Activity.
Wrongdoing - Either (a) a violation of or non-compliance with state or federal statute, or a local, state, or federal rule or regulation; (b) a violation of a College policy or procedure, when the violation involves accounting or financial matters or misuse of College resources; or (c) certain types of misconduct involving Federal funds or contracts, as further described below.
Examples of violations of College policy or procedure that constitute Wrongdoing include:
- Theft of cash or of other College property;
- Misappropriation or misuse of College resources, such as funds, supplies, or other property;
- Fraud or falsification of accounting or financial reports or records;
- Falsification of work hours as reported on time sheets by employees;
- Inappropriate allocation or spending of College funds;
- Inappropriate authorization of the use of College funds or resources; and
- Unauthorized alteration or manipulation of computer files.
Misconduct involving Federal funds or contracts includes:
- Gross mismanagement of a Federal contract;
- Gross waste of Federal funds;
- Abuse of authority relating to a Federal contract;
- A substantial and specific danger to public health or safety related to the implementation or use of Federal funds; or
- Violation of a law, rule, or regulation related to a Federal contract (including the competition for or negotiation of a contract).
IV. POLICY.
A. College and Employee Responsibilities
An employee may not be subject to retaliation for making a good-faith report of suspected Wrongdoing. The College will investigate and, where necessary and appropriate, report and remediate allegations of suspected Wrongdoing. The College expects and requires employees to report any suspected Wrongdoing about which they become aware. The College will also protect employees who make such reports to their supervisor, a College Official, or a government or law enforcement agency, or who provide testimony or information to a public body conducting an investigation, hearing, or inquiry.
The College may take corrective actions to prevent and correct violations of this policy. Such corrective actions may include discipline by the College, up to and including termination, or seeking civil or criminal prosecution when warranted.
B. Reporting Procedure
- The College encourages employees, and any other person in possession of relevant information, to report suspected Wrongdoing to their supervisors and/or an appropriate College Official.
- Reports of suspected Wrongdoing can be made in person, by telephone, or in writing (preferred), and may be provided anonymously using this . All reports will be routed to Human Resources and the General Counsel.
- For the College to have sufficient information to investigate, individuals making reports are encouraged to include detailed, factual information. Providing contact information is also encouraged, to provide the recipient with an opportunity to gather additional information and ask follow-up questions, if necessary.
- Where feasible, the person making the report should provide:
- the name(s) and title(s) of the persons/employee(s) against whom the allegation(s) are being made;
- a specific description of the misconduct, including dates, times, and any other relevant information needed to substantiate the allegation(s); and
- how the person making the report came to know this information, such as from first-hand observation, the carrying out of assigned duties, or a report received from another person or persons (including but not limited to internal or external auditors, law enforcement, regulatory agencies, and customers, vendors, students, or other third parties).
- Normally, a report by a College employee of suspected Wrongdoing should be made first to the reporting employee’s supervisor or another administrator or supervisor within the College department or unit. However, when there is a potential conflict of interest or the employee is not comfortable reporting within their department or unit, such reports may be made to another College Official who has either responsibility for the affected area or authority to investigate. When the alleged improper activities involve the President or a Vice President, such reports should be made to the General Counsel. However, if for any reason an employee is not comfortable reporting to any of these individuals or does not believe the issue is being properly addressed, the employee may report the matter to the Chair of the Board of Trustees and/or to the Chair of the Audit Committee of the Board of Trustees. Contact information for certain College Officials is included below.
- Any employee who receives a report of Wrongdoing should immediately inform the Chief Human Resources Officer and the General Counsel.
- As appropriate, depending on the nature and severity of the allegations and the results of preliminary review, the General Counsel will inform the President, the Chair of the Board, and/or the Chair of the Audit Committee of the Board and will open an investigation. The General Counsel may conduct the investigation or may appoint an appropriate and qualified internal or external investigator.
- Upon completion of an investigation (if any), the General Counsel will produce to the Audit Committee a record of the investigation findings and any actions taken in response to the report. The Audit Committee may require further investigation or remediation, as appropriate.
- The Audit Committee may enlist outside legal, accounting, or other advisors, as appropriate, to conduct or oversee any investigation of suspected Wrongdoing regarding financial statement disclosures, disclosure concerns or violations, accounting, internal accounting controls, auditing matters, or violations of the College’s Conflict of Interest Policy.
- Reports of suspected Wrongdoing will be handled with sensitivity, discretion, and confidentiality to the extent allowed by the circumstances and the law. Generally, this means that such reports will only be shared with those who have a need to know, so that the College can conduct an effective investigation, determine what action needs to be taken based on the results of any such investigation, and in appropriate cases, engage with law enforcement personnel.
C. Protection from Retaliation
The College prohibits retaliation against an employee who engages in Protected Activity.
A College employee, agent, or contractor may not: (1) retaliate against an employee or applicant who has engaged in Protected Activity or (2) directly or indirectly use or attempt to use the authority of their position to interfere with the right of an applicant or employee to engage in a Protected Activity. Any employee who believes they have been subject to retaliation because of their Protected Activity (including a Protected Disclosure) should report it to the appropriate supervisor or to another College Official.
If the employee believes that reporting such conduct to the appropriate supervisor would be ineffectual, or if the retaliatory conduct persists following such a report, the employee should report the incident to the Chief Human Resources Officer and/or the General Counsel. Any supervisory employee who receives a report of retaliation, or who is otherwise aware of retaliatory conduct, must report it to the Chief Human Resources Officer and/or the General Counsel.
All complaints of retaliation will be investigated promptly and with discretion, and all information obtained will be disclosed on a strictly "need to know" basis. Where an investigation results in a finding that retaliation has occurred, appropriate remedial, supportive, and/or disciplinary action will be taken to prevent such conduct from occurring again, and to restore the reporting employee’s ability to perform their work without fear of retaliation.
1. Questions and Contact Information
Questions related to the interpretation of this policy should be directed to the Chief Human Resources Officer.
Listed below you will find the contact information for the President, the Human Resources department, the General Counsel, and the Chair of the Board of Trustees.
- President Tom Stritikus, president@oxy.edu, (323) 259-2691
- Human Resources, hr@oxy.edu, (323) 259-2526
- General Counsel, Nora Kahn, nkahn@oxy.edu, (323) 259-1343
- Chair of the Board of Trustees, trustees@oxy.edu
D. Whistleblower Protections for Employees Working on Federal Grants
Employees who perform work on Federal grants or contracts have rights and remedies under Federal law ( and Federal Acquisition Regulation (FAR) 3.900 through 3.905.), including under Federal Whistleblower Programs. Specifically, employees have the following rights:
- To submit a complaint to the Inspector General of Funding agency about suspected Wrongdoing (Federal) and provide a written response to any findings resulting from such complaint;
- To not be discriminated against or subject to Reprisal for submitting such complaint or otherwise engaging in Protected Activity;
- To submit a complaint to the Inspector General of Funding agency about prohibited discrimination or Reprisals;
- To receive the remedies prescribed by applicable law, including filing a complaint in a court of law; and
- To have access to the Inspector General’s investigation file.
Employees working on Federal grants who have questions about their rights or remedies should contact the Sponsored Research Office.
E. Other Remedies and Appropriate Agencies
In addition to the internal complaint process set forth above, any employee who has information concerning suspected Wrongdoing may contact the appropriate government agency or call the California State Attorney General Hotline at (800) 952-5225.
V. POLICY HISTORY.
Responsible Officer(s): General Counsel; Vice President for Finance, Planning & Operations
Last Revised Date: July 31, 2024
VI. RELATED POLICIES AND RESOURCES.
Conflict of Interest Policy for Trustees, Institutional Officers and Key Employees
Conflicts of Interest & Disclosure of Financial Interests Related to Sponsored Projects
Fiscal Responsibilities of Principal Investigators