Regulation GBU-R(1): Professional Personnel Ethics

Administrative Regulation: Process for an Employee Alleging Violation of the following Board Policies: (1) Whistleblower Protection; (2) Code of Ethics for Employees; or (3) Staff Conflict of Interest

1. PURPOSE

The District encourages all employees of the District to report any violation of the following Board Policies: (1) “Whistleblower Protection Policy,” Descriptor Code “GAGC;” (2) “Code of Ethics for Employees,” Descriptor Code “GBU;” and (3) “Staff Conflict of Interest,” Descriptor Code “GAG.” Accordingly, the District adopts the following procedure:

1. DEFINITIONS

2. Complaint

The written Complaint, alleging actual or attempted acts of: (1) fraud, waste, or abuse; (2) ethics violation; or (3) conflict of interest violation.

1. Complainant

The employee who files a Complaint pursuant to this administrative regulation.

1. Compliance Officer

An employee’s immediate supervisor, the Office of Internal Affairs, the Office of Internal Audit and Compliance, or the Chair of the Board of Education.

1. Disciplinary Action

Any direct form of discipline, as defined in District policies and regulations, including, but not limited to, termination.

1. Whistleblower Protection Policy Violation, Including Fraud, Waste, or Abuse

Every District employee has a duty to report misconduct or suspected misconduct that has the potential to negatively impact District resources, endanger others, or violate applicable laws, rules, or regulations. Examples of such misconduct, include, but are not limited to, the following: theft; forgery; alteration of official documents; embezzlement; accounting or auditing irregularities; bribery; abuse of resources, including, but not limited to, District funds, supplies, or other assets; authorizing or receiving compensation for goods or services not performed; authorizing or receiving compensation for hours not worked; or any other suspected regulatory, compliance issue, or concern arising under, or a violation of Board Policy, “Whistleblower Protection Policy,” Descriptor Code “GAGC.”

1. Ethics Policy Violation

Any violation of Board Policy, “Code of Ethics for Employees,” Descriptor Code “GBU.”

1. Conflict of Interest Policy Violation

Use of a position for personal gain in violation of Board Policy, “Staff Conflict of Interest,” Descriptor Code “GAG.”

1. Respondent

As stated in the Complaint, the employee or employees who have allegedly committed one or more actions that violate either, the Whistleblower Protection, Code of Ethics for Employees, or Staff Conflict of Interest Policies.

1. Law, Rule, or Regulation

Includes any federal, state, or local statute or ordinance or any rule or regulation, including Board of Education policies, adopted according to any federal, state, or local statute or ordinance.

1. PROCEDURE

2. Reporting

All employees have the responsibility to report violations under the following policies: (1) Whistleblower Protection, (2) Code of Ethics for Employees, or (3) Staff Conflict of Interest.

1. Complaint

An employee who wishes to make a report of a violation pursuant to this administrative regulation shall file a written Complaint with the appropriate Compliance Officer.

1. Where to Report

Complaints shall be submitted to the appropriate Compliance Officer, listed on the District’s website, as follows:

1. Directly with an immediate supervisor, except as provided herein. The supervisor shall be responsible for immediately submitting the Complaint to either the Office of Internal Affairs (non-financial matters) or the Office of Internal Audit and Compliance (financial matters).

2. If, for any reason, the employee does not wish to file the Complaint with his/her immediate supervisor, the employee shall file the Complaint directly with either:

3. The Office of Internal Affairs; or

4. The Office of Internal Audit and Compliance; or

5. The Office of the Superintendent or the Superintendent’s designee.

The Office of Internal Affairs will investigate non-financial matters and the Office of Internal Audit and Compliance will investigate financial matters.

Unless the Superintendent is the subject of the Complaint, the Superintendent or the Superintendent’s designee will be notified immediately, in writing, by the Compliance Officer receiving the Complaint, after a Complaint is filed under this regulation with either a supervisor, the Office of Internal Affairs, or the Office of Internal Audit and Compliance. If the Superintendent is the subject of the Complaint, the Chair of the Board of Education will be notified immediately, in writing, by the Compliance Officer receiving the Complaint, with a copy to the Vice Chair.

1. In any situation where the Directors of the Office of Internal Affairs or the Office of Internal Audit and Compliance are the subject of the Complaint, the employee shall submit the Complaint directly to the Superintendent, with a copy to the Chair of the Board of Education.

2. In any situation where the Superintendent is the subject of the Complaint, the employee shall submit the Complaint directly to the Chair of the Board of Education, with a copy to the Vice Chair of the Board of Education.

3. Nothing in this administrative regulation prohibits an employee from filing a Complaint, pertaining to the District, under Georgia’s Whistleblower Protection Act, O.C.G.A. § 45-1-4, with any government agency charged with the enforcement of laws, rules, or regulations. That is, an employee may contact an outside government agency directly to disclose a violation of the Georgia Whistleblower Protection Act, and is not required to utilize the internal District process set forth in this administrative regulation.

4. Form of the Complaint

The Complaint shall be in writing and shall include the following:

1. The mailing address of the Complainant to which notices and all other documents may be delivered, in addition to a telephone number and e-mail address, if applicable, to facilitate communication during the course of the investigation;

2. A statement of the intent of the Complainant to utilize this Complaint procedure;

3. An identification of the Respondent or Respondents who are alleged to have committed actions that violate a law, rule, or regulation, including, but not limited to, fraud, waste, or abuse, and/or an ethics or conflict of interest violation;

4. A reference to the law, rule, or regulation that is alleged to have been violated;

5. A brief statement of the facts on which the Complaint is based that explains how the law, rule, or regulation was violated; and

6. The date the alleged violation occurred and the date the Complainant first learned of the alleged violation.

7. Time Limitation

Any Complaint filed with a Compliance Officer must be filed as soon as possible after the Complainant learns of the alleged violation. The District requests that all Complaints be submitted no later than ninety (90) days after the Complainant learns of the alleged violation. Any Complaint submitted more than twelve (12) months after the Complainant learns of the alleged violation may be summarily dismissed.

1. Good Faith Requirement

Any employee who files a Complaint must act in good faith and have reasonable grounds for believing the information disclosed indicates a violation. This regulation does not protect an employee, from disciplinary action, who files a Complaint in bad faith or for malicious purposes. Any allegation that proves to have been made maliciously, recklessly, or with foreknowledge that the allegation was false, may result in disciplinary action, up to and including termination.

An employee who believes that he/she has been punished, disciplined, or otherwise retaliated against for filing a Complaint under this administrative regulation may file a written Complaint with the Chair of the Board of Education, with a copy to the Superintendent and the Vice Chair of the Board of Education. If the Superintendent is the subject of the Complaint, the employee shall file the written Complaint with the Chair of the Board of Education, with a copy to the Vice Chair of the Board of Education. In considering the Complaint, the Board may dismiss it, investigate it, or refer it to an independent third party for investigation.

1. Investigation

2. The Compliance Officer shall acknowledge receipt of the Complaint no later than ten (10) working days after said receipt. All witness interviews will be reduced to writing in the form of an affidavit, and sworn under penalty of perjury.

3. Before final findings are made, the Compliance Officer will interview the Respondent and any witness identified by the Respondent, along with other documentary evidence. The Compliance Officer will provide to the Respondent a copy of the Complaint and any documents, which shall become part of the record, and which will be given evidentiary consideration in the Final Investigative Report. The Respondent will have the opportunity to respond to the Complaint and to file a written statement, which shall become part of the record.

4. Employees are required to cooperate in the Complaint investigation, pursuant to the authority of the Superintendent and the District to conduct investigations. Employees are expected to protect confidentiality during the course of the investigation and after.

5. The Compliance Officer shall promptly investigate the Complaint and periodically advise the Complainant of its status until resolution. Where practicable, the investigation of the Complaint will be completed within thirty (30) working days. The District recognizes that some investigations may require a longer period of time, as dictated by the voluminous scope and forensic retrieval of evidence.

6. Determination

The Compliance Officer shall provide to the Complainant, the Respondent, and the Superintendent a Final Investigative Report, including a written determination of the factual validity of the Complaint and the recommended disposition of the Complaint. The final disposition of the Complaint will require approval of the Superintendent, or where the Superintendent is the subject of the Complaint, approval of the Board of Education. Where appropriate, the Compliance Officer shall meet separately with the Complainant and Respondent to review the outcome within ten (10) working days after the conclusion of the investigation. If a determination is made that a violation occurred, the District, through the Superintendent, shall take prompt, corrective action to prevent its recurrence and to provide a remedy, if applicable, to the Complainant. Notwithstanding the above, if the Superintendent is the subject of the Complaint, the Compliance Officer shall deliver the recommended, written determination to the Board of Education, which will be responsible for taking any necessary corrective action. Disciplinary action shall be consistent with Board policies, District procedures, and state and federal laws.

1. RETALIATION

No employee may be subjected to retaliatory action for: (1) making a good faith report to a Compliance Officer of an alleged violation, even if the Complaint is found to be without merit; or (2) refusing to participate in any activity, policy, or practice that he/she has reasonable cause to believe violates any law, rule, or regulation pertaining to the District.

The First Amendment rights of employees will be protected. Any negative employment action taken against any employee in retaliation for a Complaint filed pursuant to this administrative regulation shall be contrary to Board policy and subject to disciplinary action by the Board.

1. NO PRIVATE CAUSE OF ACTION

Unless already provide for by law or other Board policy, neither this administrative regulation, nor the associated Board policies, creates a private cause of action for District employees.

1. ANNUAL REPORTING

The Superintendent will submit an annual summary to the Board of Education of all Complaints and investigations arising under this administrative regulation.