K.1.11 Allegations of Misconduct

Division of Research

Initiated by: Director of Research
Approved by: MBL Director
Date: January 19, 2006
Revision: #3, May 6, 2020
Distribution: MBL Community

1.0 Policy Statement
It is the obligation of all members of the MBL community to exercise sound judgment and seek advice when appropriate, and to report any concerns or complaints regarding what they suspect as violations of law, ethical standards, or MBL policies.  The process for responding to such reports of suspected violations is intended to ensure a thorough institutional response that protects all parties concerns and that addresses any problems identified.  Expectations for appropriate conduct are outlined in MBL Policy G.1.19 Code of Conduct.

2.0  Reporting Individuals can be assured that there will be no reprisals or retaliation of any kind for reporting any suspected problem or possible violation if the report is made in good faith.  This includes, but is not limited to, protection from retaliation in the form of an adverse employment action such as termination, compensation decrease, or “poor work” reassignment.  Any person who has made such a report of a suspected violation who believes he/she is being retaliated against must contact the Ethics and Compliance Hotline at 877-534-0367, or submit a report online at https://secure.ethicspoint.com/domain/media/en/gui/58894/index.html, immediately.  Any member of the MBL community who threatens or harasses a person making an allegation will themselves be subject to discipline, up to and including termination.

3.0  This policy is intended to assure that reports of suspected violations are appropriately made and investigated.  However, it is not appropriate for employees to undertake their own investigation of concerns.  Their obligation is to raise the concern appropriately.

4.0  A perception of misconduct may be conveyed from incomplete information or misunderstanding, when in fact no misconduct has occurred.  Such misperceptions can often be resolved through direct communication with either the person in question or his/her supervisor.

5.0  If direct contact fails to resolve the concern or the response is inappropriate, an allegation of misconduct can be reported using the ethics and compliance hotline by phone or online.

To report by phone: 877-534-0367

To report online: https://secure.ethicspoint.com/domain/media/en/gui/58894/index.html

5.1 If unsure about making an allegation, the Director of Human Resources or the Director of the Division of Research is available to discuss the issue in confidence.
5.2 Although every effort will be made to maintain the confidentiality of the person making the allegation, confidentiality cannot be assured for a variety of reasons.  Therefore, no supervisor or manager should assure confidentiality.
5.3 Reports can be made anonymously.  However, it is often not possible to assure that such reports will receive the same consideration as those made by identified individuals.  The principal reason is that it is often necessary for the person investigating the problem to check certain facts with the person making the complaint, and if a report is made anonymously there is no way to verify such needed facts.
5.4  The Director of Human Resources or the Director of the Division of Research will review allegations with the Compliance Committee, and the MBL Director as appropriate.

6.0 For general guidance or if these contacts do not adequately address an issue, employees may consult the ethics and compliance hotline by way of contact methods listed above. If an issue is one that you believe may involve fraud or illegal activity, you should contact the ethics and compliance hotline immediately.  In any case, you should feel free to utilize the hotline without going to any of the identified resources.

7.0 If the allegation involves a potential violation of law; fraud or dishonesty; or issues regarding financial accounting, controls or reporting, or other financial matters; the Audit and Risk Committee of the Board of Trustees will be informed of the allegations and its substance, as well as the outcome of the investigation.  The Audit and Risk Committee shall also receive an annual report summarizing all such investigations and their status.

8.0 The MBL may have an obligation to report suspected violations of law to government authorities with jurisdiction over the issues in question.

9.0 As part of its investigation into a suspected compliance issue, if the investigation finds that the report has merit, the MBL will consider appropriate sanctions against the individual(s) responsible including any supervisor who directs or approves any conduct in violation of the Code of Conduct.  Also, corrective action should be taken, which may include among other things, new or revised policies to assure that the problem does not reoccur.

10.0 The reporter of the violation must exercise sound judgment to avoid baseless allegations. An employee who intentionally files a false report of wrongdoing will be subject to discipline up to and including termination.

11.0 Policy Clarification and Updates
Clarifications and updates of this Policy will be made available from the Human Resources Office.