Section: U101

Date: July 5, 2013

PURPOSE:

To introduce the Human Resources Policy Guidelines and their intent.

POLICY:

Human Resources (HR) will maintain the Human Resources Policy Guidelines Web pages as a reference to use in carrying out day-to-day administrative functions and in directing the University’s staff employees. The Human Resources Policies may be viewed online.

GUIDELINES:

1. Human Resources Policies Web pages comprise personnel policies having general application throughout the University.
2. A policy is a guideline to follow which gives consistency to decisions, while still allowing situation-appropriate decisions to be made.
3. These guidelines should not be construed to conflict with any current University labor agreements. Labor agreements supersede any conflicting guidelines for their bargaining unit members. Human Resources Policy Guidelines apply to staff employees in the absence of contract provisions.
4. Although Human Resources Policy Guidelines are regularly reviewed and updated, the guidelines should not be construed to conflict with any current laws or regulations governing employment.
5. The Human Resources Policy Guidelines remain the property of the University of Chicago.
6. As used in this context, “supervisor” means an individual with the authority to assign, direct, and review the work and conduct of others.
7. The Human Resources Policy Guidelines should be shown to any staff employee upon request. Assistance in accessing the guidelines online may be arranged by contacting Human Resources.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

Section: U102

Date: June 1, 2014

PURPOSE:

To outline the process through which Human Resources Policies are established and revised.

POLICY:

The Human Resources Steering Committee (HRSC) – formerly the Personnel Policies Committee – appointed by the Vice President & Chief Human Resources Officer (VP& CHRO), is an advisory group of University Human Resources leaders. As part of their role, the HRSC reviews and advises on appropriate human resources policies and practices for staff employees. When new or revised human resources policies are needed, they will be referred to the HRSC in draft form for study, discussion, and recommendations. The VP & CHRO has final approval of HR policies.

The University’s Human Resources Policies will be maintained online. Changes to the Human Resources Policies will be communicated through HR Connect and directly to the HR Community throughout the year.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

Section: U103

Date: June 15, 2007

PURPOSE:

To communicate adherence to the University’s policies and procedures and to encourage good faith reports of allegations of misconduct concerning compliance with University policies and procedures.

POLICY:

The University relies on its employees to perform their duties and responsibilities in accordance with the University’s policies and procedures. The University provides various mechanisms to assist and encourage employees to come forward in good faith with reports or concerns about suspected compliance issues. Employees may report suspected non-compliance issues without fear of reprisal or retaliation.

GUIDELINES:

1. An employee should follow all University policies and procedures in carrying out his/her duties and responsibilities for the University.
2. An employee who has a question about the propriety of any practice under University policies and procedures, should seek guidance from his/her supervisor or the University official who has responsibility for overseeing compliance with the particular policy or procedure.
3. An employee who becomes aware of a potential or actual material violation of University policies or procedures, should report such potential or actual conduct, regardless of whether the employee is personally involved in the matter.
4. An employee may request that such a report be handled as confidentially as possible under the circumstances, and the University will endeavor to handle all such reports with discretion and with due regard for the privacy of the reporting employee.
5. An employee may make anonymous reports, with the understanding that any investigation may be hampered due to the inability to identify the employee in order to obtain a full and complete account of relevant and necessary facts from the employee or to ask additional questions or seek clarification as any investigation proceeds.
6. An employee who comes forward in good faith with reports or concerns about compliance with University policies or procedures shall not be subject to reprisal or retaliation for making such a report. Any employee who believes that he/she is being retaliated against for making such a report should immediately bring it to the attention of his/her dean or the Provost’s Office (for an academic employee) or to the Office of Employee/Labor Relations – Human Resources (for a staff employee) for immediate investigation.

POINTS OF CONTACT:

An employee is encouraged to make such a report to his/her immediate supervisor. If the employee feels unable to do so or if there is any reason why this may not be appropriate, the employee should raise the issue with his/her manager, department chair, dean, director or the University office or official who has responsibility for overseeing compliance with the particular policy or procedure in accordance with the guidelines below. An employee who is unsure to whom he/she should make a report or address his/her concerns should consult with the Employee/Labor Relations Office, the Institutional Compliance Committee or the office listed below.

• In the event of any claim of financial misconduct or inappropriate expenditure(s) of funds (including all grant funds, federal, and non-federal), or any claim regarding questionable internal controls, accounting practices or auditing matters, the employee should follow the guidelines above, but should also make such a report to the University Comptroller or the Assistant Vice President for Risk Management and Audit.
• An employee with reports or concerns about the University’s labor relations policies and procedures (including such policies as 601-Treatment of Confidential Information, 604-Substance Abuse, 703-Progressive Correction Action, 704-Employee Complaint Resolution Procedure, and 705-Access to Personnel Records) is encouraged to consult with the Office of Employee/Labor Relations – Human Resources.
• An employee with reports or concerns about the University’s non-discrimination policy (including 201-Equal Employment Opportunity) is encouraged to consult with the University’s Affirmative Action Officer.
• An employee with reports or concerns about sexual assault or unlawful discrimination and harassment (including sexual harassment) is encouraged to consult with any of the Complaint Advisors, the Coordinator of the Complaint Advisors, and/or the University’s Affirmative Action Officer.
• An employee with reports or concerns about conflict of interest (including the policy on Outside Professional and Commercial Interests of Faculty/Conflict of Interest for Academic Employees and 600-Conflict of Interest for Non-Academic Staff), should consult with his/her manager, department chair or director, but, in the case of questions concerning such supervisory personnel, the employee should also feel free to consult with the dean, or University Officer who is responsible for the unit.
• An employee with reports or concerns about workplace safety issues is encouraged to consult with the University’s Environmental Health and Safety Department.
• An employee with reports or concerns about academic fraud or scientific research misconduct should consult with the appropriate department chair, dean or University Officer.
• An employee who is unsure to whom he/she should make a report or address his/her concerns should consult with the Office of Employee/Labor Relations – Human Resources.
• Institutional resources for guidance on compliance with University policies and procedures are listed on the Risk Management website under Points of Contact.

HOTLINE:

An employee should report concerns as discussed above, however, if he/she is concerned about doing so, the employee may file a report with “The Network” — an independent ethics and compliance hotline contracted by the University. Calls to The Network made within the U.S. may be placed by dialing 800-971-4317; collect calls made outside of the U.S. may be placed by dialing 770-776-5641. The Network provides an alternative way to report activities which may involve misconduct or violations of University policy confidentially. This service is not a substitute for, nor does it supersede, any existing reporting methods or protocols already in place at the University for reporting suspected problems or complaints. Any suspected problems or complaints reported via The Network will be reviewed in accordance with current University procedures.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

PURPOSE:

The purpose of this policy is to promote the University’s commitment to maintaining the highest ethical standards in its internal and external business dealings.

POLICY:

To this end, University staff employees must conduct themselves with honesty and integrity and exercise sound judgment when engaging in activities and performing responsibilities on behalf of the University. In addition to these principles, all University staff employees must comply with University and department policies, professional standards, and the letter and spirit of applicable laws and regulations.

GUIDELINES:

1. WORKING AT THE UNIVERSITY – The University values diversity and champions the fundamental principle of treating others with respect. The University also is committed to providing a safe work environment in which discrimination, harassment, and acts or threats of violence are not tolerated. The University expects its staff employees to treat each other and those with whom they have business dealings on behalf of the University with respect, honesty, integrity, and civility. Additional guidance is available in the following policies in the Personnel Policy Guidelines:
   • Equal Employment Opportunity;
   • Sexual Assault;
   • Termination of Employment; and
   • Unlawful Discrimination and Harassment.
2. CONFLICTS OF INTEREST – The University understands that its staff employees may have or be involved in outside financial, business, professional, academic, public service, or other activities. However, outside activities or commitments, familial or other relationships, private financial or other interests, and benefits or gifts received from third parties may create an actual or perceived conflict of interest between the staff employee and the University. A conflict of interest is a situation, arrangement, or circumstance where the staff employee’s outside or private interests or relationships interfere or appear to interfere with those of the University or cast doubt on the fairness or integrity of the University’s business dealings. Every staff employee is responsible for disclosing to his or her supervisor, Human Resources, or the Office of Legal Counsel any financial or personal interests, activities, or personal or familial relationships that create an actual or perceived conflict of interest. Additional guidance is available in the Conflict of Interest and Nepotism Policies.
3. CONFIDENTIALITY AND PRIVACY – The University entrusts its staff employees with the confidential information of the University and, at times, others. Each University staff employee is responsible for protecting this information and preventing misuse or unauthorized disclosure. Confidential Information must only be accessed, disclosed, transmitted, used, stored, or disposed of with care and for appropriate University purposes. Please refer to the Treatment of Confidential Information Policy for detailed guidance.
4. UNIVERSITY RECORDS – All University accounting, financial records, expense reimbursements, time and attendance records, and submissions to governmental agencies must be truthful, timely, complete, and accurate. Specific guidance regarding University financial transactions and records is available on the Finance and Administration website and in the Attendance Policy.
5. USE OF UNIVERSITY RESOURCES – All University staff employees are responsible for protecting and preventing the misuse of University resources, property, and other assets, including but not limited to, funds, information, intellectual property, facilities, office supplies, equipment, computers, networks, software, telephone and internet services, voice mail, and e-mail. University resources are reserved for University business and may only be used for lawful and authorized purposes. University systems such as computers and e-mail may be used for reasonable and incidental personal use. Additional guidance is available at the following websites:
   • Financial Policy Manual
   • Information Technology Policies
   • Property Management Manual
6. PURCHASING AND VENDOR PRACTICES – All University staff employees must act in a fair and professional manner when engaging in commercial activities on behalf of the University, e.g., purchasing goods and services. Commercial transactions must take place in a competitive environment free from conflicts of interest. The University’s goal is to have a diverse pool of vendors and suppliers and to obtain the best possible value based on quality, price, service, reliability, and delivery terms. Goods and services may only be purchased by authorized individuals consistent with the Procurement/Disbursements Policies located at http://adminet.uchicago.edu/admincompt/finpolic/fpintro.shtml#FP1200. Purchasing and Payment Services can provide guidance concerning the full spectrum of University commercial activities involving the purchase of goods and services.
7. REPORTING RESPONSIBILITIES & PROCEDURES – All University staff employees must promptly notify the University of inappropriate conduct so that it can be properly addressed. University staff employees who are aware of or suspect fraud, misappropriation of funds, theft, other misuse of University resources or assets, accounting irregularities, or other violation of these principles or University policy, should report their concerns immediately to their supervisor, the Office of Risk Management, Human Resources (staff employee related), the Office of the Provost (faculty or other academic appointee related), or the Office of Campus and Student Life (student related). Alternatively, concerns may be reported to the University’s Whistleblower hotline at 800.971.4317. A guide to reporting concerns can be found in the Whistleblower policy.
8. RETALIATION – The University prohibits retaliation against any person for making a report in good faith or cooperating in an investigation. Individuals who take retaliatory action will be subject to corrective action up to and including termination of employment.
9. VIOLATIONS – Every staff employee is responsible for complying with these principles and for taking action or reporting violations. Employees who fail to comply with the principles, including not reporting known unethical conduct, or who fail to cooperate in an investigation will be subject to corrective action up to and including termination of employment.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

Section: U101

Date: July 5, 2013

PURPOSE:

To introduce the Human Resources Policy Guidelines and their intent.

POLICY:

Human Resources (HR) will maintain the Human Resources Policy Guidelines Web pages as a reference to use in carrying out day-to-day administrative functions and in directing the University’s staff employees. The Human Resources Policies may be viewed online.

GUIDELINES:

1. Human Resources Policies Web pages comprise personnel policies having general application throughout the University.
2. A policy is a guideline to follow which gives consistency to decisions, while still allowing situation-appropriate decisions to be made.
3. These guidelines should not be construed to conflict with any current University labor agreements. Labor agreements supersede any conflicting guidelines for their bargaining unit members. Human Resources Policy Guidelines apply to staff employees in the absence of contract provisions.
4. Although Human Resources Policy Guidelines are regularly reviewed and updated, the guidelines should not be construed to conflict with any current laws or regulations governing employment.
5. The Human Resources Policy Guidelines remain the property of the University of Chicago.
6. As used in this context, “supervisor” means an individual with the authority to assign, direct, and review the work and conduct of others.
7. The Human Resources Policy Guidelines should be shown to any staff employee upon request. Assistance in accessing the guidelines online may be arranged by contacting Human Resources. Test link to whistleblower or policy guidelines

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.