Responsible Office: Human Resources
Policy Administrator: VP for Finance and Administration
Scope: |Faculty |Staff

Approved By: President's Council

Approved Date: 11/1/2011

Effective Date: 11/1/2011

Category: Faculty and Staff

Description/Purpose:

Obligation to Report Suspected Code Violations

Details:

Each member of the Saint Francis community is responsible to report actual or perceived violations of the Code of Ethics that come to his or her attention. Supervisors have a special duty to adhere to the standards set forth in this Code, to recognize violations and to enforce the standards.

Confidential Report Procedure For Suspected Code of Ethics Violations

A report of suspected Code violation should be made promptly in writing and signed by the individual making the report. Reports of code violations will be confidentially reviewed and investigated by the University's external auditor. The University will protect from retaliation anyone who makes a good faith effort to appropriately disclose actual or perceived violations. Reports can be submitted to the University's President, Chief Academic Officer, Vice President for Finance and Administration, or a supervisor. A supervisor to whom a report of a violation is made is obligated to report the violation to one of the senior executives listed.

Saint Francis University will protect from retaliation anyone who makes a good faith effort to appropriately disclose any real or perceived wrong doing. However, the University reserves the right to deal with malicious or frivolous allegations through appropriate disciplinary procedures.

Consequences of Violation

Violations of the Code will be considered under the University's established disciplinary practices and procedures as outlined in this personnel handbook or other documents to which the violator's employment is subject. Violations may carry disciplinary consequences, including dismissal from employment, based on the circumstances and severity of the violations. Such violations may also subject individuals to civil / criminal action in state or federal courts.

Confidential Report Procedure For Suspected Improprieties in Accounting, Auditing or Internal Control Practices

A confidential procedure for reporting improprieties in these practices has been implemented as part of the University's compliance with provisions of the Sarbanes-Oxley Act recommended for adoption by colleges and universities by the National Association of College and University Business Officers (NACUBO).

Any member of the Saint Francis University Community who has concerns about possible improprieties in accounting, auditing or internal control practices or processes should report such concerns in writing to any of the individuals listed below. The written report should be signed by the reporting individual. The University will protect from any retaliation anyone who makes a good faith effort to appropriately disclose an alleged impropriety. Reports can be submitted to the Chair, Saint Francis University Board of Trustees, or to the Chair of the Financial Affairs Committee of the Board of Trustees, P.O. Box 157, Loretto, PA 15940. Reports may also be submitted to the University's External Auditor, Baker Tilly, 431 Science Park Road, State College, PA 16801, the University's President, or the University's Vice President for Finance and Administration.

Reports may also be submitted anonymously by contacting Ethics Point toll free at 1-888-297-9325 or www.ethicspoint.com

Approval:

The Code of Ethics was approved by the Board of Trustees - June 2009

Revised and reaffirmed by President's Council - November 2011