Approved by: Board of Trustees
History: Issued              -- July 21, 2011
Revised            -- November 25, 2019
Last Reviewed -- November 25, 2019
Related Policies: Code of Conduct for Staff and Faculty; Internal Investigations Policy
Additional References: Compliance and Ethics Helpline tel. (855) 350-9396, www.thecatholicuniversityofamerica.ethicspoint.com
Responsible Official: Chief Ethics and Compliance Officer and Chief Privacy Officer tel. (202) 319-6170

 

I. Policy Statement

 

The Catholic University of America is committed to conducting its affairs ethically and in compliance with laws, regulations, and the University's mission and policies. To promote a culture of ethics and compliance, suspected ethical misconduct must be brought to the attention of University officials when there is a good faith belief that the conduct has occurred. Ethical misconduct may include non-compliance with a law, University policy, the University Code of Conduct for Staff and Faculty, or other standard or requirement applicable to the University.

Retaliation against members of the University community for making good faith reports or for cooperating with investigations is strictly prohibited, and is subject to disciplinary action up to and including termination.

II. Reporting Ethical Misconduct

 

A.  Normal Administrative channels

 

Individuals normally should report suspected ethical misconduct to their supervisors. If an individual is uncomfortable speaking with a supervisor, the report may be made to the department responsible for the law, regulation, or subject area (see the list of officials at the end of this policy). Individuals also may make a report directly to the Chief Ethics and Compliance Officer (tel. (202) 319-6170 or CUA-COMPLIANCE@CUA.EDU).  In the event that the report pertains to the Chief Ethics and Compliance Officer, the report may be made to the General Counsel (tel. (202) 319-5142 or CUA-OGC@CUA.EDU.)

 

B.  Reporting Anonymously

 

Individuals who are not comfortable using the foregoing reporting channels may make a report anonymously through The Catholic University of America's Compliance and Ethics Helpline (toll free at tel. (855) 350-9396, or online at www.thecatholicuniversityofamerica.ethicspoint.com). The Helpline is administered by a third-party vendor (not the University). All reports forwarded by the third-party vendor to the Chief Ethics and Compliance Officer are investigated per University procedure.

III. Retaliation Prohibited

 

It is prohibited to discharge, demote, suspend, threaten, harass, intimidate or otherwise retaliate against an individual in the terms or conditions of employment or educational opportunity based on:

  • An individual's good faith report of ethical misconduct, or the good faith report of another person made on that individual's behalf;
  •  An individual's cooperation with an investigation or other proceeding regarding a report of potential ethical misconduct; or
  •  An individual's refusal to engage in any practice that violates laws, regulations or University policies if the individual has identified the alleged violation to the department, unit or individual responsible for compliance with that law, regulation or policy.

Retaliation is prohibited regardless of whether the underlying matter ultimately is substantiated.

Individuals who believe they have been subjected to retaliation should report the conduct to the Chief Ethics and Compliance Officer (tel. (202) 319-6170 or CUA-COMPLIANCE@CUA.EDU), or through the Compliance and Ethics Helpline (toll free at tel. (855) 350-9396 or online at www.thecatholicuniversityofamerica.ethicspoint.com). The Chief Ethics and Compliance Officer will investigate all reports of alleged retaliation.

 

Where to Report Suspected Ethical Misconduct

We must report non-compliance with a law, the Code of Conduct, a University policy, or other standard or requirement applicable to the University. 

Abuse or Neglect of Minors
Public Safety, tel. (202) 319-5111 or Metropolitan Police Department tel. 911
Conflicts of Interest
Vin Lacovara, Chief Privacy Officer, tel. (202) 319-6170, CUA-COMPLIANCE@CUA.EDU
Crimes or Emergencies
Public Safety, tel. (202) 319-5111
Discrimination or Harassment
Frank Vinik, Equal Opportunity Officer, tel. (202) 319-4177, TITLEIX-COORD@CUA.EDU
Employee Relations Matters
Bernice Guity, Manager, Employee Relations, tel. (202) 319-6594, CUA-HUMANRESOURCES@CUA.EDU
Environmental or Occupational Health or Safety Issues
Louis Alar, Senior Director, Environmental Health, Safety & Risk Management, tel. (202) 319-5789, CUA-EHS@CUA.EDU
Privacy or Information Security Matters
Vin Lacovara, Chief Privacy Officer, tel. (202) 319-6170, CUA-COMPLIANCE@CUA.EDU or
Andrew Salzman, Information Security Officer, tel. (202) 319-6418, TS-SECURITY@CUA.EDU
Sexual Harassment or Violence
See the Title IX Website for reporting options
Theft, Fraud, or Misuse of University Resources
Vin Lacovara, Chief Ethics and Compliance Officer, tel. (202) 319-6170, CUA-COMPLIANCE@CUA.EDU
Research or Scientific Misconduct
Ralph Albano, Vice Provost for Sponsored Research tel. (202) 319-5218, CUA-OSP@CUA.EDU
Other Ethical, Regulatory or Policy Concerns
Vin Lacovara, Chief Ethics and Compliance Officer, tel. (202) 319-6170, CUA-COMPLIANCE@CUA.EDU or Office of General Counsel, tel. (202) 319-5142, CUA-OGC@CUA.EDU