Government and External Requests for Information Policy

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Speaking to the News Media Policy

Approved by:	The President
History:	Issued	-- December 5, 2017
	Revised	-- December 2, 2022
	Last Reviewed -- December 2, 2022
Related Policies:	Employee Indemnification Policy; Information Security and Assurance Policy; Political Activities Policy; Press Releases Policy; Social Media Policy for Faculty and Staff; Social Media Policy; Speaking to the News Media Policy
Additional References:
Policy Owner: Contact Person:	Office of the President, tel. (202) 319-5100 Director of Compliance, tel. (202) 319-6170 General Counsel, tel. (202) 319-5142

I. Policy Statement

Staff and faculty members may at times receive requests for information or documents from people or organizations outside the University, or from the government. Such requests may come in the form of notices of external audits or investigations, subpoenas or other legal documents, requests pursuant to background checks or employment verifications, or contacts from the News Media. Some requests may be time sensitive.

Employees who receive external inquiries should forward them immediately to the individuals and offices set forth in this policy in order to coordinate timely, appropriate, and consistent responses, to protect privacy and confidentiality, and for coordinated tracking.

Employees should not respond to external inquiries unless they have been determined by the University to be the appropriate point of contact, or as otherwise set forth in this policy.

II. Definitions

A. External Review means an independent examination, inspection, or review of University operations, accounts, or records undertaken to determine accuracy or compliance with applicable requirements. For purposes of this policy the term External Review includes audits, site reviews, desk reviews, accreditation proceedings, and inspections. Audits may be undertaken by auditing or accounting firms, by federal or local government entities, or by other external entities acting on behalf of a governmental entity. The requirements of this Policy apply regardless of whether the inquiry arises from a routine review or a specific complaint.

B. External Investigation means an independent inquiry undertaken to determine the facts in a given situation. Such investigations may be undertaken by federal, state, or local governments or divisions of the government.

C. Legal Matter means any document or request for information that has legal bearing or relevance, or has the potential to have legal bearing or relevance to the University. Legal Matters include, but may not be limited to, the following:

Legal Documents: any complaint, summons, subpoena, court order or notice, or any other document bearing a case caption referencing a legal action such as a lawsuit or legal proceeding;
Legal Information: any request for information or documents from an attorney engaged in representation of a client, an individual working for an attorney (such as an investigator), or an individual that has retained counsel or might retain counsel.

D. Background Check means the process by which an external entity evaluates an individual's employment history, criminal or disciplinary history, or academic history. Background Checks

are undertaken by external entities in order to evaluate an individual's fitness for employment, and may pertain to staff, faculty or students. For the purposes of this policy, Background Checks include requests to verify employment

E. News Media means entities or mechanisms for delivering news to the general public or to a targeted audience. News Media include but are not limited to: newspapers; magazines or journals; television or radio stations or networks; online media; and Social Media

F. Reference means speaking about an individual's character, reliability, ethic, or other abilities based on observation or interaction with that individual. References may be personal or professional in nature.

III. External Requests for Information

A. External Reviews and Investigations

Direct all notices of External Reviews or External Investigations to the Director of Compliance, Ethics, and Privacy at tel. (202) 319-6170 or CUA-COMPLIANCE@CUA.EDU. The Director will coordinate with the General Counsel, the Finance and Administration Division, and other relevant University personnel to determine the appropriate point of contact for the review or investigation.

B. Legal Matters

Direct all Legal Matters to the Office of General Counsel, as soon as possible after receipt. The Office of General Counsel is located in Leahy Hall, Suite 250, and can be reached at CUA-OGC@CUA.EDU or tel. (202) 319-5142.

1. Service of Legal Documents

a. Legal Documents in which The University is named

Receipt by Mail: If a member of the University Community receives a Legal Document addressed to the University in the mail, bring that Legal Document and any packaging (including any envelopes or certified mail return receipts) to the Office of General Counsel as soon as possible. Do not date-stamp or otherwise mark the document.

In-Person Service of Legal Documents: Individuals wishing to serve the University with Legal Documents must go through the Office of General Counsel, which is the only office authorized to accept service of process on behalf of the University. Members of the University community may not accept service of Legal Documents not addressed to them personally. All members of the faculty and staff should therefore direct process servers of other individuals wishing to convey legal documents to the Office of General Counsel. If any issues arise navigating an attempt at in-person service of legal documents, contact either the Office of General Counsel at tel. (202) 319-5142 or the Department of Public Safety, at tel. (202) 319-5111, as appropriate. A faculty or staff member who has mistakenly signed, or who becomes aware that a colleague has mistakenly signed, for a document on behalf of the University without authority to do so should contact the Office of General Counsel immediately.

b. Legal Documents naming one or more individual employees or agents of the University

Individuals wishing to serve members of the University Community with Legal Documents on the University's campus must go through the Office of General Counsel and the Department of Public Safety.

A member of the University Community who accepts service of a Legal Document that is addressed to them personally but that has potential legal bearing or relevance to the University, should contact the Office of General Counsel as soon as possible, whether or not the University is named in the Document. Similarly, an individual employee who is served with Legal Documents and who believes that the action giving rise to the legal process took place in the course of his or her performance of job duties should contact the Office of General Counsel immediately.

2. Requests for Legal Information

Members of the University community may not provide Legal Information except at the direction of the Office of General Counsel.

Any member of the University Community who is asked to provide Legal Information should contact the Office of General Counsel as soon as possible.

3. Background Checks and Employment Verifications

Inquiries pursuant to background checks and employment verification should be handled as followed:

Employment status or history. The Office of Human Resources is responsible for responding to employment-related inquiries. Forward inquiries regarding an individual's employment status or history (e.g. employment verification) to Human Resources at tel. (202) 319-5050 or HR-Partners@cua.edu. This includes inquiries that pertain to staff, faculty or student employment. Individual employees outside of the Office of Human Resources may respond directly to a request for a reference regarding an individual's suitability for a job (see IV. below).

Security clearances. The Department of Public Safety is responsible for responding to inquiries from government agencies or other employers requesting records pursuant to a security clearance investigation. Please forward such inquiries to the Public Safety Customer Service Center (121 Leahy Hall, tel. (202) 319-6058).

Student disciplinary records. The Office of the Dean of Students is responsible for responding to all inquiries regarding student disciplinary matters or records. Please forward such inquiries to CUA-DEANOFSTUDENTS@CUA.EDU or tel. (202) 319-5619.

Academic records. The Office of Enrollment Services is responsible for responding to all inquiries regarding academic records. Please forward such inquiries to Enrollment Services at tel. (202) 319-5300 or at the following e-mail addresses:

Transcripts: CUA-TRANSCRIPTS@CUA.EDU
All other academic records: CUA-ENROLLMENTSERVICES@CUA.EDU

4. News Media Requests

Official University communications with the News Media, and issuance of all press releases pertaining to the University, are managed by the Division of University Communications. Forward all News Media inquiries to the Division of University Communications at (202) 319-5600.

IV. References

The University does not provide References for employees or students. If an external entity requests a reference from the University regarding an employee or student, the University will, through the Office of Human Resources, confirm or provide the following information with the written consent of the employee or student: official job title(s), department(s), salary verification, and dates of service. A University employee who receives a request for this information should forward that request as soon as possible to Human Resources.

Individual University employees may choose to provide References for fellow employees or for students, at the request of external entities. It is strongly recommended that an employee providing a reference obtain written consent from the person on whose behalf the reference will be made. Employees seeking guidance regarding protocols and best practices for providing references may contact the Office of Human Resources at tel. (202) 319-5050, the Office of General Counsel at tel. (202) 319-5142, or the Chief Ethics and Compliance Officer at CUA-COMPLIANCE@CUA.EDU or tel. (202) 319-6170.