Procedures for Handling Claims, Lawsuits or Discrimination Charges Filed with External Compliance Agencies

Scope

This policy applies to all employees and applicants for employment.

Policy Statement

RIT is committed to resolving complaints in a manner fair to the applicant/employee and to the university.  If, after investigation, it is determined that discriminatory actions have occurred, the wrong will be remedied.  If discrimination has not occurred, the university’s position will be defended.

Procedures

 

  1. Upon first notice of an informal or formal claim or lawsuit, the supervisor must immediately notify the Office of Legal Affairs and the appropriate Dean, Director or Vice President.

Examples: Contact from an attorney; receipt of Summons & Complaint; or receipt of an employee-based complaint filed with an external agency such as OSHA, EEOC, OFCCP, EPA, NYS Division of Human Rights.

  1. In the case of service of a lawsuit (Summons & Complaint) or other legal document, only the Office of Legal Affairs is authorized to accept service on behalf of RIT. Please send all process servers to the Office of Legal Affairs (USC 3210).
  2. All documents related to the charge are privileged information.  Copies are made and distributed only as essential to resolve the case.
  3. You will be informed of the planned course of action by the Office of Legal Affairs (or Director of Human Resources in an employment-based claim).  An investigation of charges may begin pursuant to a written request from an external compliance agency.  The investigation will be carried out by the appropriate university representative and a written report will be made within ten days by those charged with investigatory responsibility.
  4. The university will coordinate and be responsible for any investigative or defense costs associated with the claim/lawsuit. If the investigative process finds willful negligence/misconduct, violation of university policies, conduct beyond the scope of an employee's authority and/or illegal activity on the part of an employee:
  1. further investigative and defense costs will become that employee's personal responsibility; and
  2. the employee may be required to reimburse the university for legal fees already incurred

Coordination of litigation activity and choice of counsel to be paid for by the university rests with the university's Office of Legal Affairs.

Policy History

Revised May 2014