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POLICY

Compliance Complaints

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Purpose of this Policy

New York University, including its Schools and other units, Global Network University (“GNU”) sites, and all University Affiliates (together, “NYU”) is committed to complying with all applicable laws and regulations, accounting standards, accounting controls, audit practices, and NYU policies. The purpose of this policy is to encourage the good faith reporting of compliance issues and to set forth NYU’s commitment to protect persons who make such reports from retaliation.  

Scope of this Policy

This policy applies to trustees, officers, employees, and volunteers of New York University (the “University”), and to trustees (including directors), officers, employees, and volunteers of University Affiliates (together, “Covered Persons”). The University’s Audit and Compliance Committee may exempt University Affiliates and GNU sites from being subject to this policy as set forth in the “University Affiliates and GNU Sites” section of this policy. In the case of an exempted University Affiliate or GNU site, the trustees (including directors), officers, employees, and volunteers of such University Affiliate or the employees and volunteers at such GNU site, as the case may be, are not considered Covered Persons for purposes of this policy with respect to their position at such University Affiliate or GNU site.  

Procedures for Implementation

NYU encourages the good faith reporting of complaints regarding Compliance Complaint Matters. To facilitate the reporting of complaints, NYU has established the procedures set forth below for (1) the receipt, retention, and treatment of complaints regarding Compliance Complaint Matters, and (2) the anonymous submission of complaints regarding Compliance Complaint Matters.

Any Covered Person may submit a good faith complaint regarding Compliance Complaint Matters to the management of NYU without suffering intimidation, harassment, discrimination, or other retaliation, or, in the case of employees, adverse employment consequence. The Audit and Compliance Committee will oversee this policy and the handling of any such complaints. If the Audit and Compliance Committee concludes that a complainant has made false allegations that are made in bad faith or with a view to personal gain, the complainant may be subject to disciplinary action. If a Covered Person is uncertain as to whether a complaint is within the scope of this policy, he or she should seek advice from the University’s Chief Compliance Officer, or from the University’s Secretary if the Chief Compliance Officer or the Office of Compliance and Risk Management (“OCRM”) is the subject of the complaint.

This policy is one, but not the only, avenue for addressing complaints by Covered Persons. Other avenues include, for example, the Human Resources Division, the Office for Equal Opportunity, and mechanisms outlined in the University’s student guides for addressing student complaints as diverse as anti-harassment complaints and student record privacy (See nyu.edu/life/student-life/student-communitystandards.html), as well as procedures set forth in the Faculty Handbook. In addition, other avenues may be available as specified under applicable laws, including, but not limited to, laws applicable to employees of Federal contractors and grantees, or laws relating to Medicare and Medicaid. Covered Persons should consult the University’s web site (nyu.edu/compliance) for more information.

Receipt of Employee and Volunteer Complaints

Employees or volunteers with complaints regarding Compliance Complaint Matters normally should, in the first instance, attempt to resolve their complaints with their immediate supervisors and within their own academic or administrative unit. Where employees or volunteers cannot resolve complaints within their academic or administrative unit or where there is a basis for not working within their academic or administrative unit, they may report their complaints to the Chief Compliance Officer, the Office of General Counsel, Internal Audit, a subject matter expert member of the Compliance Officers/Risk Management Working Group, the site director in the case of a GNU site, or the NYU Abu Dhabi Compliance Officer in the Office of Compliance and Risk Management in the case of matters related to NYU Abu Dhabi.

Subject to applicable law, employees also may forward complaints on a confidential or anonymous basis through the Compliance and Risk Reporting telephone line or website (see www.nyu.edu/reportingline), e-mail or regular mail, to the attention of the Chief Compliance Officer. (For a complete description of the University’s Compliance Program and Officers see http://www.nyu.edu/about/policies-guidelines-compliance/compliance.html.)

Reports of alleged discrimination or harassment should be directed to the Office of Equal Opportunity at 212-998-2375 or one of the contacts listed at http://www.nyu.edu/content/dam/nyu/equalOpp/documents/OEOcontactlist.pdf.

When a complaint is submitted in writing, the complainant should include whatever documentation is available to support the complaint. Anonymous complaints should include as detailed information as possible.  Complaints filed under specific laws that provide protections against retaliation must follow the procedures, if any, required by these laws in addition to the procedures set forth in this policy.

Receipt of Trustee and Officer Complaints

Trustees and officers who are not employees normally should report their complaints regarding Compliance Complaint Matters to the University’s President, Board Chair, Chair of the Audit and Compliance Committee, Chief Compliance Officer, or General Counsel.

Subject to applicable law, trustees and officers also may forward complaints regarding Compliance Complaint Matters on a confidential or anonymous basis through the Compliance and Risk Reporting telephone line or website (See www.nyu.edu/reportingline), e-mail, or regular mail, to the attention of the Chief Compliance Officer.

When a complaint is submitted in writing, the complainant should include whatever documentation is available to support the complaint. Anonymous complaints should include as detailed information as possible.

Complaints filed under specific laws that provide protections against retaliation must follow the procedures, if any, required by these laws in addition to the procedures set forth in this policy.

Treatment of Complaints Received by OCRM

Except as set forth under the section of this policy entitled “Procedure for Complaints Pertaining to OCRM, University Trustees, and University Officers,” upon receipt of a complaint, OCRM, under the direction of the Chief Compliance Officer, will: (i) acknowledge receipt of the complaint to the sender, except where the complainant does not provide a means by which he or she may be contacted; and (ii) determine whether the complaint pertains to Compliance Complaint Matters.

Complaints relating to Compliance Complaint Matters will be reviewed by OCRM with oversight by the University Compliance Steering Committee, General Counsel, Internal Audit, or such other persons as the Audit and Compliance Committee determines to be appropriate. The Chief Compliance Officer will report at least annually to the Audit and Compliance Committee about whistleblower compliance and enforcement, including complaints received under this policy; in addition, the Chief Compliance Officer will advise the Chair of the Audit and Compliance Committee and the General Counsel promptly upon learning of any serious complaint concerning a Compliance Complaint Matter (“Reports”).

The complainant must demonstrate reasonable grounds for his or her complaint. An investigation normally will not be made in the case of unspecified wrongdoing or broad allegations. Where a complainant has demonstrated reasonable grounds for his or her complaint, OCRM will use best efforts to investigate the complaint. The resources expended will depend upon: (1) the nature and severity of the allegation; and (2) the sufficiency and apparent validity of the information provided.

Where complaints are made on an anonymous basis, the anonymity will be maintained, subject to applicable law, unless the complainant later agrees to make the complaint on a non-anonymous basis. In the case of complaints not made on an anonymous basis but where confidentiality is desired or appropriate, confidentiality will be maintained to the fullest extent possible, consistent with the need to conduct an adequate review and subject to applicable law. Prompt and appropriate corrective action will be taken as warranted by the University. OCRM will provide compliance oversight of any corrective action.

The University may not threaten or intimidate, harass, or in any manner discriminate or otherwise retaliate against any complainant, or, in the case of employees, take any adverse employment action against such employee, based upon any lawful actions of such person with respect to good faith reporting of complaints regarding compliance matters.

University Affiliates and GNU Sites
This policy applies to University Affiliates and GNU sites; however, the University’s Audit and Compliance Committee may exempt a University Affiliate or GNU site from being subject to this policy where the Audit and Compliance Committee determines that the University Affiliate or GNU site has appropriate alternate policies or procedures in place and an exemption is warranted (e.g., where an exemption is advisable due to local law). To the extent that this policy is any manner inconsistent with the laws of any jurisdiction where it is to be applied, this policy will be applied to the fullest extent possible consistent with applicable law, with such modifications as may be necessary to carry out fully the purposes of this policy in compliance with local law.

Where a University Affiliate or GNU site is exempted under this policy, the procedures set forth under its own approved policy or set of procedures apply. Such policy or procedures must provide that the University Affiliate or GNU site will inform the University’s Chief Compliance Officer of any complaint it receives concerning a Compliance Complaint Matter. The Chief Compliance Officer will provide Reports on such matters on the same basis as complaints pertaining to the University. The University normally will inform a University Affiliate, typically through its chair or president, of complaints it receives under this policy pertaining to the University Affiliate and may inform the University’s Office of Global Programs of complaints the University receives pertaining to a GNU site or to a Global Affiliate.

Where a University Affiliate or GNU site is not exempted under this policy, the procedures set forth under this policy apply, except that:

(1) in the case of complaints pertaining to a University portal campus, the Chief Compliance Officer will coordinate with the University’s Office of General Counsel and the vice chancellor of the portal campus to determine whether and how to investigate such complaint;

(2) in the case of complaints pertaining to a Global Affiliate or to a GNU site other than a portal campus, the Chief Compliance Officer (a) will coordinate with the University’s Office of General Counsel and Office of Global Programs to determine whether and how to investigate such complaint, and (b) where the complaint pertains to a Global Affiliate, normally will consult with a designated representative of the Global Affiliate; and

(3) in the case of complaints pertaining to Other Affiliates, the Chief Compliance Officer (a) will coordinate with the University’s Office of General Counsel to determine whether and how to investigate such complaint, and (b) normally will consult with a designated representative of the Other Affiliate.

Procedure for Complaints Pertaining to the OCRM, University Trustees, and University Officers
Where a complaint pertains to OCRM, a University trustee, or a University officer other than the General Counsel and Secretary, the complaint should be made or referred by the recipient to the General Counsel. The General Counsel or a designee will (i) acknowledge receipt of the complaint to the sender, except where the complainant does not provide a means by which he or she may be contacted; and (ii) make the determination as to whether the complaint concerns a Compliance Complaint Matter. The General Counsel will inform the Chair of the Audit and Compliance Committee, and unless the General Counsel and Chair of the Audit and Compliance Committee determine that there are not reasonable grounds for the complaint, the Chair of the Audit and Compliance Committee will determine how the complaint will be investigated.

Where a complaint pertains to the General Counsel and Secretary, the complaint should be made or referred by the recipient to the Chair of the Audit and Compliance Committee, who, in consultation with the President, will (i) acknowledge receipt of the complaint to the sender, except where the complainant does not provide a means by which he or she may be contacted; and (ii) make the determination as to whether the complaint concerns a Compliance Complaint Matter. Unless the President and Chair of the Audit and Compliance Committee determine that there are not reasonable grounds for the complaint, the Chair of the Audit and Compliance Committee will determine how the complaint will be investigated.

Reporting and Retention of Records of Complaints and Investigations
OCRM will maintain a log of all complaints, tracking their receipt, investigation, and resolution, and the Chief Compliance Officer will prepare a periodic summary report thereof for the University Compliance Steering Committee and the Audit and Compliance Committee. Copies of complaints and such log will be maintained in accordance with the University’s document retention policy.

Policy Distribution
A copy of this policy will be made available on the University’s website and distributed electronically annually to all trustees, officers, and employees of NYU and to volunteers who provide substantial services to NYU, except where a University Affiliate or GNU site has been exempted from this policy, in which case such University Affiliate or GNU site will distribute its policy to persons covered under its policy.

Notes
  1. Dates of official enactment and amendments:
  2. History: Supersedes Policy Dated July 10, 2007
  3. Cross References: blank

About This Policy

Effective Date: July 01, 2014
Supersedes: July 10, 2007 Policy
Issuing Authority: Deputy President, Office of the President
Responsible Officer: Chief Compliance Officer, Office of Compliance and Risk Management

“Compliance Complaint Matters” include the application of accounting principles and policies, internal accounting controls, auditing matters, ethics, laws, regulations, NYU policies, and best business practices applicable to NYU.  Examples of Compliance Complaint Matters include, without limitation, the following:

conflicts of interest,

financial and business integrity issues,

misuse of NYU property or assets,

·         bribery or corruption,

·         wage claims,

·         research related issues, and

·         other compliance and risk matters, including any action or suspected action taken by or within NYU that is suspected to be illegal, fraudulent, or in violation of any policy of NYU.

“School” means each NYU school, college, and institute that functions similarly to a school or college (e.g., IFA, ISAW, Courant, and CUSP) and each NYU portal campus (e.g., New York and Abu Dhabi).

“University Affiliates” consist of those entities controlled, directly or indirectly, by the University through (a) ownership of more than 50% of the ownership interests in the entity or (b) the power to appoint or elect a majority of the organization's governing body (e.g., directors or trustees).  For purposes of this policy, University Affiliates include: (1) Portal Affiliates, which are University Affiliates that principally operate or support a University portal campus; (2) Global Affiliates, which are University Affiliates that principally operate or support a University non-U.S. site or activity of the University other than a portal campus; and (3) Other Affiliates, which are neither Portal Affiliates nor Global Affiliates.

“University Compliance Steering Committee” consists of the Provost, Executive Vice President for Operations, Executive Vice President for Health, Executive Vice President Finance and Budget, Senior Vice President and General Counsel, Senior Vice Provost for Research, and Deputy President. (See http://www.nyu.edu/about/policies-guidelines-compliance/compliance/UCSCCharter.html.)

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