Guidance for Review and Resolution of Whistleblower Reports under W&L's Whistleblower Policy

When an individual indicates she/he/they has something to report under this Policy, the Whistleblower Reporting Form ("Form") should be forwarded to the reporter promptly to facilitate the review process, and provide the University with information that is useful to responding appropriately to the report. Below is a suggested email to be sent to the reporter:

• As a follow up to your inquiry about submitting a whistleblower report, I have attached Whistleblower Reporting Form. If you would like to make a whistleblower report, please complete the attached form and return it to me. This will provide the University with information that is useful in responding appropriately to the report.

• The University encourages the reporting of suspected Improper Activities as defined by the Whistleblower Policy, and prohibits retaliation against reporters. If you believe you are aware of suspected Improper Activity and choose to submit a report, the University will undertake its review process under the Whistleblower Policy.

After a completed reporting Form is received, a written acknowledgement notice may be sent to the reporter as follows:

• Thank you for submitting the completed Whistleblower Reporting Form. The University encourages the reporting of suspected Improper Activities as defined by the Whistleblower Policy, and prohibits retaliation against reporters. The University will undertake its review process under the Whistleblower Policy, and thanks you for your report.

If the reporter indicates she/he/they is uncomfortable completing the reporting Form, an initial meeting with the reporter may occur so that the supervisor may complete the Form for the reporter. Completion of the Form will help to determine the exact nature of the report to determine whether it falls under the Policy, and should be investigated.

Every whistleblower report should be reviewed to determine whether it most appropriately falls under the Policy, and if so, will be investigated and resolved on a case-by-case basis depending upon the nature and scope of the report. Whistleblower reports are for allegations of "Improper Activities" defined as fraud, dishonest or illegal conduct. The University strongly encourages employees to report suspected Improper Activities. Supervisors/Deans/Provost/Vice Presidents should seek advice from the Office of General Counsel throughout the review, investigation, and resolution process.

In addition, reports that includes employment-related concerns should be forwarded to the Office of Human Resources. Confidentiality is important; information about each report should be shared only on a need-to-know basis.