Improper Activities Reporting Regulation 114

Regulation 114 Approved: March 13, 2020
Improper Activities Reporting Regulation
Regulation 114
Source of Authority: N.C.G.S. §§ 126-84 & 126-85;
N.C.G.S. § 116-34(a);
UNC Code § 502(A)
Revision Authority: Chancellor

First Issued: February 17, 2011

Revised:  March 13, 2020

Related Policies and Regulations: N.C.G.S. Chapter 126, Article 14;
Alcohol Regulation 102;
Cash Management Regulation 302;
Facilities Use Policy 402;
Fixed Assets Regulation 304;
Contracts & Authority to Sign Regulation 109;
Conflicts of Interest (Board of Trustees) Policy 108;
Conflicts of Interest (Employees) Policy 603;
Illegal Drugs Policy 702;
Involuntary Withdrawal Regulation 807;
Political Activities Policy 116;
Prohibited Harassment and Title IX Regulation 121;
Purchasing Regulation 308;
Research Misconduct Regulation 120;
Smoking Regulation 703;
Technology Use Regulation 508;
Threat Assessment Regulation 704;
Travel Regulation 310;
Weapons Regulation 705;
Workplace Violence Policy 706
Responsible Offices: Human Resources Department
Effective Date: March 13, 2020

I. Purpose

This regulation provides guidance for reporting alleged improper activities by UNCSA employees and for protecting employees for reporting such alleged activities.

II. Scope

This regulation applies to all UNCSA employees.

III. Definitions

IV. Regulation

A. Reporting. All employees should report verbally or in writing to their supervisor, or other appropriate authority at UNCSA as described below, all evidence of activity by a UNCSA department or employee that may constitute:

1. A violation of State or federal law, rule or regulation;

2. Fraud;

3. Misappropriation;

4. Substantial and specific danger to the public health and safety; OR

5. Gross mismanagement, a gross waste of monies, or gross abuse of authority.

B. Protections

1. From Retaliation. Any employee who reports such incidents as described above shall be protected from discharge, threats of retaliation, or other types of discrimination regarding compensation, terms, conditions, location, or privileges of employment directly related to the disclosure of such reports, unless the employee knows or has reason to believe that the report is inaccurate.

2. For Refusal to Act. In addition, no employee may be adversely affected in the manner described above because the employee refused to carry out a directive which in fact constitutes a violation of State or federal law, rule or regulation, or poses a substantial and specific danger to the public health and safety.

3. Generally. These protections shall include employees who report any of the activities described above to the State Auditor through the established statewide hotline or to the Program Evaluation Division.

V. Revision History

A. February 17, 2011 – Adopted by Board of Trustees as part of UNCSA Policy Manual


Improper Activities Reporting Procedures

Procedure #114

I. Reporting Improper Activities

A. Any employee who desires to report evidence of alleged improper activity as described may contact any of the following:

1. the director of the office responsible for the administrative or educational function at issue;

2. the employee’s immediate supervisor, department chair, dean, director, or Vice Chancellor/Provost in their supervisory chain at a level sufficient to allow objectivity in evaluating the subject of concern;

3. UNCSA Internal Auditor (336-750-2065);

4. Chief of UNCSA Police (336-770-3349);

5. Chancellor (336-770-3200); OR

6. Chairman of Board of Trustees (336-770-1321).

B. Furthermore, employees may also report improper activities to the State Auditor by calling the 24 hour toll-free hotline (1-800-730-8477) or completing the online form.

C. Improper activities may also be reported to the State Auditor’s Program Evaluation Division.

D. Employees are encouraged to provide as much specific information as possible including names, dates, places, and events that took place, the employee’s perception of why the incident(s) may be a violation, and what action the employee recommends be taken.

E. Anonymous or telephonic communications will be accepted.

F. Employees who choose to identify themselves will receive a reply to their report within 30 working days or as soon as practicable thereafter.

G. Any questions regarding this regulation may be directed to the Associate Vice Chancellor and Chief Human Resources Officer.