Protection of Employees Reporting Employee Misconduct
Sarah Lawrence employees are expected to adhere to high standards of professional and ethical conduct in carrying out their duties. Maintaining ethical standards, including appropriate accounting, internal controls, auditing and compliance with all federal, state and local laws, and with all college policies is the responsibility of every member of the Sarah Lawrence community. The College believes that early identification and resolution of ethical issues that may arise are critical to maintaining sound business, including but not limited to financial practices.
At Sarah Lawrence College, responsibilities and decision-making are distributed throughout the organization. While we trust our employees to understand and abide by policies and the law, there may be rare instances of improper, even illegal, activity.
Reporting Financial-Related Misconduct
Any trustee, officer, employee, or student who observes financial activities or other practices that he or she believes to be against the law or college policy should report these activities in the first instance to the Controller, located in Andrews Annex at x2556; the Controller will then review the case with the Vice President for Finance and Operations. Alternatively, employees may submit concerns confidentially and anonymously, if they want, regarding accounting, internal controls, auditing, and other financial matters to John Hill, Chair of the Board of Trustees, c/o President's Office, or at firstname.lastname@example.org or (203) 625-2503.
Reporting of Non-Financial Misconduct
Non-financial misconduct or misuse should be reported to the head of the appropriate office or department. Faculty may report misconduct or misuse to the head of the administrative office, or in the case of academic issues to their group chair or to the Dean of the College. The department head, group chair, or dean will in turn provide a report of the complaint and its disposition to the Secretary of the College. Alternatively, employees may submit concerns confidentially and anonymously, if they want, to John Hill, Chair of the Board of Trustees, c/o President's Office, or at email@example.com or (203) 625-2503.
Reporting Misconduct by Those Individuals Responsible for Carrying Out This Policy
If the alleged improper or illegal behavior is by an individual responsible for carrying out this policy, then the incident should be reported as follows: information regarding actions of the Controller should be reported directly to the Vice President for Finance and Operations; information regarding actions of the Vice President for Finance and Operations, the Secretary of the College, or the head of any department of the College should be reported directly to the President; and information regarding actions of the President should be reported to the Vice President for Finance and Operations or the Secretary of the College, either of whom may consult with the Board of Trustees, or may be reported directly to the chair of the Audit Committee of the Board of Trustees. Information regarding any of the College’s department heads should be reported directly to the President.
Investigation and Disposition
Whenever a case of possible improper or illegal behavior is reported, the person to whom it is reported shall prepare a written record of the complaint. A copy of the complaint will be provided to the Secretary of the College who will be responsible for receiving all such statements and investigating specific allegations. The College will take appropriate action commensurate with the investigative findings. The Secretary of the College will report the disposition of the investigation to the Audit Committee of the Board of Trustees and when appropriate to the Vice President for Finance and Operations and the President.
The College will maintain appropriate confidentiality throughout the investigatory phase and for as long as possible. All reported information will be kept confidential to the extent possible. No trustee, officer, employee or student of the college, who in good faith reports any action or suspected action taken by or within the college that is illegal, fraudulent or in violation of any policy of the college, shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequence.
A copy of this policy will be distributed to all trustees, officers, and employees at least once per year.