Whistleblower Protection and Non-Retaliation Policy
91ż´Ć¬1 (“Moravian” or the "University") requires its trustees, officers, employees, student workers, contractors and volunteers (each, a "Moravian Individual") to observe high standards of business and personal ethics in conducting their duties and responsibilities. As employees and representatives of the University, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable federal, state, and local laws and regulations.
1. Purpose
The purpose of this Whistleblower Protection and Non-Retaliation Policy (the"Policy") is to: (a) encourage and enable Moravian Individuals to raise concerns regarding suspected illegal or unethical conduct or practices, or violations of the University’s policies on a confidential and, if desired, anonymous basis; (b) protect Moravian Individuals from retaliation for raising such concerns; and (c) establish policies and procedures for the University to receive and investigate reported concerns and address and correct inappropriate conduct and actions.
2. Reporting Responsibility
Each Moravian Individual has the responsibility to report in good faith any concerns about actual or suspected violations of the University’s policies or practices or any applicable federal, state, or local law or regulation (each, a "Concern"). The Moravian Individual is not responsible for investigating the potential violation or for determining fault and/or corrective measures. Appropriate subjects to report under this Policy include, but are not limited to, financial improprieties, accounting or audit matters, ethical concerns, or other similar illegal or improper practices such as: fraud, theft, embezzlement, bribery or kickbacks, or misuse of University assets. Any concerns related to actual or
suspected violations of the University’s Equal Opportunity, Harassment and Non-Discrimination Policy or bias incidents may be reported here.
3. No Retaliation
No Moravian Individual who in good faith reports a Concern or participates in a review or investigation of a Concern shall be subject to harassment, discrimination, retaliation, intimidation or, in the case of an employee, adverse employment consequences because of such report or participation. This protection extends to Moravian Individuals who report in good faith, even if the allegations are, after an investigation, not substantiated.
4. Acting in Good Faith
A good faith report is one in which the reporting individual has reasonable grounds to believe that the information disclosed is true and indicates a violation of law, policy and/or ethical standards.
5. Confidentiality / Anonymity
Any Concerns submitted to the University will be treated as confidential. The University will take reasonable steps to protect the identity of the Moravian Individual, subject to applicable legal requirements and consistent with the need to conduct an adequate and fair investigation. Moravian Individuals may submit Concerns on an anonymous basis. Please note that the University may be limited in its ability to respond effectively to an anonymous report and to provide supportive measures to the reporter.
6. Prompt Reporting
All Concerns should be reported as soon as practicable consistent with this Policy.
(a) Reporting Concerns
(i) Concerns will be reported to the Dean for Compliance, Training and Development (the "Compliance Officer") and the Executive Vice President for University Life, Chief Operating Officer and Dean of Students (the “Chief Operating Officer”) by submitting a report here. The reporting form provides an option for the Moravian Individual to report anonymously.
(ii) If the Concern relates to the Compliance Officer, then only the Chief Operating Officer will receive the report. If the Concern relates to the Chief Operating Officer, then only the Compliance Officer will receive the report.
(iii) The Compliance Officer and/or the Chief Operating Officer, subject to the preceding paragraph, are responsible for: (1) advising the President of each reported Concern so that the President2 may promptly inform the Chair of the Audit Committee and the Chair of the Board of Trustees, if appropriate, and (2) reporting compliance activity to the Audit Committee of the Board of Trustees as necessary during regularly scheduled meetings.
(iv) Questions. Any questions relating to the scope, interpretation, or operation of this Policy should be directed to the Compliance Officer at compliance@moravian.edu.
(b) Acknowledgment of Receipt
Any supervisor, manager, or Board member who receives a report of a Concern must promptly notify the Compliance Officer of such report in writing. The Compliance Officer shall notify the reporting individual and acknowledge receipt of each reported Concern within three (3) business days, unless the report was submitted anonymously.
(c) Investigation
The Compliance Officer, or designee, shall conduct a prompt, discreet, and objective review or investigation based on the submitted report and in accordance with the confidentiality obligations set forth in Section 5 above. A full investigation may not be possible if a report made anonymously is vague or general.
(d) Resolution
The Compliance Officer, in collaboration with the Office of Human Resources and in consultation with Counsel shall: (i) oversee the implementation of a resolution, (ii) follow up with the reporting individual, if possible, for closure of the reported Concern, and (iii) if warranted by the nature and/or severity of the investigation, consult with the Chair of the Audit Committee and/or Board of Trustees on appropriate corrective action.
7. Policy Violations / Enforcement
Failure to comply with this Policy may result in disciplinary action, up to and including termination of employment or other University status. Such disciplinary action will also apply to: (a) any unfounded allegation that proves to have been made maliciously, recklessly, or knowingly to be false, and (b) any Moravian Individual who retaliates against someone who in good faith has reported or participated in a review or investigation of a Concern.
8. Periodic Reviews
To ensure that the University operates in a manner consistent with charitable purposes and does not engage in activities that could jeopardize its reputation or tax-exempt status, the Audit Committee of the Board of Trustees shall conduct periodic reviews of this Policy. The Audit Committee shall present any recommended changes, modifications, or deletions of the provisions of this Policy to the full Board of Directors at its regularly scheduled meeting following the Committee's review and any required University review processes.
This policy was reviewed and approved in March 2024 by the Audit Committee.
This policy was approved in October 2023 by the University Council.
1 This includes Moravian Theological Seminary and Lancaster Theological Seminary.
2 If the Concern relates to the President, then the Chief Operating Officer will advise the Chair of the Audit Committee.