Policy Number: 813

Policy Suffix:

I. General Policy

All University employees are expected to perform their responsibilities diligently, honestly, in good faith and in accordance with applicable laws and regulations, University policies and procedures and high ethical standards. The University strongly encourages all faculty, staff and students to report suspected or actual wrongful conduct by University employees or others involving University matters to the University through any of the channels described below.

No University faculty member, staff member or student shall interfere with the good faith reporting to the University of such suspected or actual wrongful conduct. The University prohibits any retaliation against any person for reporting in good faith such a matter through any internal channel or to any appropriate authority. The University will take all appropriate and necessary action to deal with a violation of this policy.

Should an individual wish to make a report of suspected or actual wrongful conduct, there are multiple avenues that individual may pursue. The avenues below are merely suggestions, and an individual with a report of or a concern about potential wrongdoing or misconduct should use whatever avenue the individual feels most comfortable utilizing. The individual may make such a report to their chair or dean or immediate supervisor or manager if they are comfortable doing so. For areas relating to claims of financial misconduct, the individual may also make a report to the Controller or the Vice President for Finance. For areas relating to violations of University personnel policies, matters involving staff may also be reported to the Associate Vice President for Human Resources or the Vice President for Administration, while matters involving faculty may be reported to the appropriate dean or the Provost. For matters involving research misconduct, reports may be made to the appropriate dean or the Vice Provost for Research. Matters concerning safety and environmental matters may be made to the Director of Environmental Health and Safety or the Vice President for Administration. For matters involving the University's non-discrimination policies, including sexual harassment, reports may also be made to the Director of Equal Opportunity Programs and Affirmative Action. Matters involving the Athletic Department, including NCAA compliance, may be reported to the Compliance Coordinator, the Associate Athletic Director or the Athletic Director. Any report or claim of wrongdoing may also be made to the Director of Internal Audit, who will direct it to the appropriate University official for investigation. The Office of General Counsel may also be consulted for guidance.

Suspected or actual wrongdoing may also be reported through the Rice University EthicsLine, or by calling 866-294-4633. Reports may be submitted anonymously and confidentially and will be directed to the appropriate University official for investigation.

Reports of or concerns about wrongdoing should be as specific as possible, including details about the alleged misconduct and all information the individual believes will be useful in investigating and resolving the matter. Matters will be handled with discretion and as confidentially as possible.

II. Responsible Official and Key Offices to Contact Regarding the Policy and its Implementation

Responsible Official: Vice President for Finance

Key Offices: Internal Audit; Compliance; General Counsel

Signatures

David W. Leebron, President

Policy History

Clerical Change

February 6, 2018

Issued

June 23, 2009