Policy Violation Procedure

Version: 0001
Effective Date: 7/1/2024

Objective #

The University of Tennessee Foundation, Inc. (UTFI) values the well-being of its employees and recognizes that any non-compliance with policy in the workplace can significantly impact multiple factors including operations, safety and employee well-being.

This procedure establishes steps for reporting policy violations and outlines the responsive actions to be taken for investigating and resolution to full policy compliance.

Scope #

This procedure applies to all UTFI employees including full-time staff, part-time staff, student workers, student interns, both exempt and non-exempt staff members, temporary staff and volunteers for our organization. Employees are expected to familiarize themselves with all policies particular to the function being fulfilled and abide by it. Even the appearance of unethical or irresponsible behavior can be damaging to the public trust of our organization. Consequently, employees are expected to conduct themselves fairly, honestly and in accordance with the highest ethical and professional standards and to report issues of non-compliance. Refer to TM0001 Code of Conduct.

Roles #

The UTFI Office of Talent Management (TM) will assist employees who wish to seek guidance and pursue formal solutions. Appropriate leadership may be involved if a situation warrants further actions such as discipline and/or training.

Procedure #

I. Seeking Resources

UTFI offers staff informal resources to assist when there are concerns of a policy violation. Staff are welcome to explore these resources that can help them navigate the workplace situation through either informal conversations or formal processes.

II. Report Violation

If an informal resolution is not feasible or any party wishes to follow a formal process, an official complaint may be submitted directly to the Office of Talent Management via email at [email protected]. The report will include items related to the date, policy being violated, brief description of the alleged wrongdoing, identify of the person(s) involved in the alleged wrongdoing and any others involved in or witness to the situation being reported. Formal complaints must be in writing and filed within 300 days of the most recent incident. Please call the Office of Talent Management to file a complaint. In certain circumstances, at the discretion of Talent Management, complaints of alleged violation or wrongdoing filed outside that time limit, or not submitted in writing, may be investigated as employer responsibility
dictates.

III. Investigation

The Office of Talent Management will investigate all formal complaints of policy violation within 30 calendar days unless extenuating circumstances prohibit a timely investigation. If the last day of the 30-day deadline falls on a non-business day, the deadline would extend to the following business day. Members of the UTFI community shall cooperate with the review and/or investigative process. Even if there is no finding of policy/procedure violation, the Talent Management representative
will share applicable organizational observations and any recommended actions to improve working relationships.

Violations specific to whistleblowing will be handled consistent with the Whistleblower protection procedure. Refer to TM0017 Whistleblower Protection Policy.

IV. Follow-up

A member of the Talent Management team will provide timely updates and follow-up to formal complaints as warranted to report findings and outcomes. The updates may be to the reporting employee, violator and/or appropriate leadership on a need-to-know basis.

V. Documentation

Formal complaints and actions addressing the complaints to include steps taken for resolution will be documented. This documentation will be held in an investigation file separate from the personnel file. Any disciplinary action implemented as a result of an investigation will be stored in the personnel file according to the retention policy.

Definitions #

Reporter: One who is a witness to policy violation or experiences impact from such non-compliance.

Whistleblower: The employee who discloses the alleged wrongful conduct is a “whistleblower. ” This relates particularly to disclosure of information regarding violation of a law, mismanagement/gross waste of funds or abuse of authority.

Penalties/Disciplinary Action for Non-Compliance #

The Office of Talent Management will report all findings in workplace policy violation investigations and make recommendations to the appropriate leadership official not named in the complaint. The appropriate leadership official, in consultation with the Office of Talent Management and as deemed necessary, external legal counsel, will make all final decisions related to the finding, taking corrective action when warranted. While the process is underway, UTFI may impose interim measures for the duration of the review, including but not limited to administrative leave.

This procedure expressly prohibits retaliation against employees making good faith reports as provided for in this procedure, even where the concerns are ultimately unsubstantiated. False reports of prohibited behavior that are found to have been made intentionally are also a violation of the Code of Conduct Policy. Policy violations may result in disciplinary action in accordance with established policies and procedures, as appropriate. Refer to TM00017 Whistleblower
Protection Policy.

Procedure Administration #

The table below identifies the responsible official, contact information and administrative responsibilities of policy matters.

Subject Matter	Office Name/Position Title	Email/Web Address
Authority	UTFI Senior Official of Talent Management	[email protected]
Point of Contact	UTFI Executive Director of Talent Management	[email protected]
Policy Location	Public Listing
Policy Review Schedule	Annual Review

History of Revision #

Creation: 2/1/2024

Related Policies/Guidance Documents #

Policies:

TM001 Code of Conduct
TM0002 Disciplinary Action
TM0007 Harassment and Discrimination
TM0017 Whistleblower Protection