Policy No. 511-B - Whistleblower

The purpose of this policy and procedure statement is to:

1.1     Establish a written policy to protect persons who report suspected improper conduct from retaliation. Improper conduct may include, but is not limited to, allegations of corruption, theft, fraud or any suspected improper activity with respect to financial statement disclosures, accounting processes, internal controls, or ethical matters.

1.2     Set forth the appropriate procedures for the reporting of such allegations.

The Research Foundation firmly supports the right of all employees to report, anonymously or otherwise, allegations of any activity in violation of law or regulation, including (but not limited to) corruption, theft, fraud or any suspected improper activity with respect to financial statement disclosures, accounting processes, internal controls, or ethical matters. This policy provides procedures for the reporting of violations or suspected violations, including procedures for preserving the confidentiality of reported information.

3.1    Any concerns regarding activity, or suspected activity, in violation of any law, regulation, or Research Foundation policy including (but not limited to) corruption, theft of funds, material misuse of funded or RFCUNY property, falsification of records, material misstatement of fact or irregularities regarding grants and contracts, or other criminal or financially inappropriate conduct may be reported by calling 1-800-541-3560 or sending an e-mail to Whistleblower_Complaints@rfcuny.org or contacting the Office of Internal Audit. The report should include as much specific information as possible to allow for proper assessment of the nature, extent, and urgency of investigative procedures.

3.2    Complaints and any other information provided relating to the above concerns will be forwarded to the Research Foundation's Office of Internal Audit. Protection of a whistleblower's identity will be maintained to the extent possible within the legitimate needs of law and the investigation. Should the whistleblower self-disclose his or her identity, the Research Foundation will no longer be obligated to maintain such confidence.

3.3    The Office of Internal Audit may forward any complaint or other information to other Research Foundation employees as necessary in its judgment to conduct an investigation, provided that each such other employee first agrees to maintain the confidentiality of the complaint or information as directed by the Office of Internal Audit.

3.4    Following the receipt of any complaint submitted hereunder, the Research Foundation's Office of Internal Audit will supervise the investigation of each complaint, evaluate if the complaint is relevant to RFCUNY, determine if the complaint is adequately substantiated, and document the disposition of each complaint. The Office of Internal Audit shall report to the President at least quarterly in aggregate or with such detail that the President requests all complaints and their dispositions. For complaints that are determined to be relevant to RFCUNY and adequately substantiated, the Office of Internal Audit shall report on each substantiated complaints and their dispositions to the Audit Committee, which shall be composed of Directors who are not Research Foundation employees, in accordance with such schedule as they may from time to time establish. The Office of Internal Audit’s report shall be kept in confidence by the President and the Audit Committee and their designees unless, and then only to the extent that, either determines that action is required by the report.

3.5    The Director of Internal Audit may enlist employees of the Research Foundation and/or outside legal, accounting or other advisors, as appropriate, to conduct any investigation of complaints regarding financial statement disclosures, accounting processes, internal controls, or ethical matters. The Research Foundation and its investigators shall protect the confidentiality of the complainant except as may be directed by the Director of Internal Audit.

3.6    Whistleblowers are "reporting parties," not investigators. They are not to act on their own in conducting any investigative activities, nor do they have a right to participate in any investigative activities, other than as requested by investigators.

3.7    Consultation with the Audit Committee is required before entering into any agreement resulting from the findings of an investigation.

3.8    Records of all complaints made under this policy shall be maintained by the Research Foundation for a period of at least 7 years.

3.9    The subject of a whistleblower complaint is prohibited from attending or participating in Board committee meetings relating to the complaint except at the invitation of the Board to provide information prior to deliberation.

4.1    No director, officer, employee or volunteer of the Research Foundation who in good faith reports any action or suspected action taken by or within the Research Foundation that is illegal, fraudulent or in violation of any adopted policy of the Research Foundation shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequence.

4.2    The protection from retaliation shall not prohibit supervisors or administrators from taking action against an employee, including disciplinary action, in the usual scope of their duties and based upon valid performance issues.

4.3    A whistleblower who makes a claim under this policy in bad faith, or knows or has reason to know that such claim is false or materially inaccurate, shall be subject to disciplinary sanctions, including reprimand, suspension, or under appropriate circumstances, termination.

5.1    The Director of Internal Audit is designated to administer this policy and shall report to the President and Audit Committee in accordance with Section 3.4 of this policy.

5.2    Nothing stated herein creates, nor shall it be viewed as creating, a contractual obligation between management and the employees, students or any other persons.

6.1    A copy of this policy shall be distributed to all directors, officers, employees and to volunteers who provide substantial services to the corporation by means of public post on RFCUNY website.

7.1    The Research Foundation complies with federal whistleblower law, including, but not limited to, 41 USC § 4712 and 10 USC § 4701, which currently provide that an employee of a contractor, subcontractor, grantee or subgrantee may not be discharged, demoted, or otherwise discriminated against as a reprisal for "whistleblowing."

7.2    For these purposes, whistleblowing is defined as making a disclosure that the employee reasonably believes is evidence of any of the following:

(a) Gross mismanagement of a Federal contract or grant;

(b) A gross waste of Federal funds;

(c) An abuse of authority relating to a Federal contract or grant;

(d) A substantial and specific danger to public health or safety; or,

(e) A violation of law, rule, or regulation related to a Federal contract or grant (including the competition for, or negotiation of, a contract or grant).

 7.3    To qualify for this protection, the employee's disclosure must be made to:

(a) A Member of Congress, or a representative of a Congressional Committee;

(b) An Inspector General;

(c) The Government Accountability Office;

(d) A federal employee responsible for contract or grant oversight or management at the relevant agency;

(e) A court or grand jury; or,

(f) A management official or other employee of the contractor, subcontractor, grantee, or subgrantee who has the responsibility to investigate, discover or address misconduct.

7.4    The whistleblower protections provided by this section cannot be waived by any agreement, policy, form or condition of employment.

7.5    The Research Foundation will include the foregoing requirements in any agreement made with a subcontractor or subgrantee after the date of the adoption of this policy.

The provisions of this policy were updated on March 5, 2025.