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How to File a Report

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What is EthicsPoint®?

EthicsPoint® is TSRI's anonymous and confidential reporting system to communicate misconduct and promote a positive work environment.

What to Report:

Reports about ethical violations involving TSRI personnel or property are limited to the following violation categories:

Accounting and Auditing Matters

The unethical, systematic recording and analysis of the business and financial transactions associated with generally accepted accounting practices. (Examples include: misstatement of revenues, misstatement of expenses, misstatement of assets, misapplication of accounting principles, fictitious transaction entries.)

Bribery

Offering or giving money, gifts or anything of value (“Payments”) to Foreign Officials (e.g., foreign government employees, political parties or political candidates from foreign countries, or employees of government- or state-owned institutions or entities) and/or to consultants/agents who may offer or give such Payments to Foreign Officials in order to obtain or retain any business in a foreign country. TSRI’s Foreign Corrupt Practices Act Policy can be found here.

Conflict of Interest

A situation in which a person or a family member has a financial interest or non-financial interest that may compromise, or provide the incentive to compromise, the behavior in the conduct of the person's activities at TSRI, the person's influence on decisions that TSRI may make, or the person's influence over his or her associates outside TSRI. A conflict of interest may be real, potential or apparent.

Diverting of Product or Business Opportunity

The use of TSRI property, information or position for personal gain; appropriating or diverting any business opportunity or idea in which TSRI might have an interest; competing with TSRI in any way.

Embezzlement

The fraudulent appropriation of property entrusted to one's care. (Examples include: bookkeeping errors, misapplication of funds, and mishandling of cash.)

Falsification of Contracts, Reports or Records

The altering, falsifying or forging all or any part of a document, contract or record for the purpose of gaining an advantage, obtaining or misrepresenting the value of the document, contract or record; providing false information that intentionally hides or disguises the true nature of any transaction or activity; or signing any document believed to be inaccurate or untruthful.

Fraud

Intentional misrepresentation or concealment of information in order to deceive, mislead or acquire something of value; intentional deception perpetrated to secure unfair gain.

Improper Giving or Receiving of Gifts

The giving, receiving or solicitation of items that could be reasonably interpreted as an effort to influence a business relationship or decision; items given, received or solicited for the benefit of an individual or an individual's family or friends; items given, received or solicited during, or in connection with, contract negotiations; the acceptance of cash, checks, money orders, vouchers, gift certificates, loans, stocks or stock options.

Improper Lobbying or Political Contribution

Inappropriate activities in violation of federal and state lobbying and political action, including the contribution or acceptance of funds meant for another candidate or the improper use of contributed funds for personal gain.

Improper Supplier or Contractor Activity

Supplier or contractor activity in violation of TSRI policies and procedures; improper supplier or contractor selection based on personal gain, improper negotiation or diversion of contract awards.

Insider Trading

The purchase or sale of securities, either personally or on behalf of others, on the basis of material, nonpublic information; also includes the communication of such material, nonpublic information to others so that they may buy or sell securities. (Examples of material, nonpublic information include quarterly or annual financial results; financial forecasts; significant financial developments; possible mergers, acquisitions, joint ventures or divestitures; and significant product developments.)

Misuse of TSRI Resources

Improper or unauthorized use of TSRI resources and technologies for personal gain.

Research Misconduct

Fabrication, falsification or plagiarism, in proposing, performing, or reviewing research, or in reporting research results. It does not include honest error or differences of opinion. It also does not include authorship or credit issues, misallocation of funds, sexual harassment, discrimination, or unethical treatment of human or animal subjects. Fabrication is making up data or results and recording or reporting them.
Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

Theft

The taking and removing of personal property with the intent to deprive the rightful owner of its use; the act of stealing. If a TSRI employee is uncertain if a situation falls within any of the reportable violation categories, the employee is asked to call EthicsPoint® to obtain clarification. TSRI would rather have the employee ask than let potential problems go unchecked. However, EthicsPoint® should not be used for immediate threats to life or property. These types of reports should be directed to 911 or TSRI Security.

What Not to Report:

Ethical violations relating to all other incidents of misconduct not covered by the above list, including sexual harassment, discrimination, grievances, authorship disputes, substance abuse, safety, environmental concerns, facility security issues and privacy violations, should be reported to a supervisor, department chair, Human Resources, or other relevant TSRI party. Frivolous or unfounded reports do not help foster a positive workplace.

How to File a Report:

Reporting is as easy as 1-2-3.

  1. Access EthicsPoint to report
  2. Complete a report
  3. Follow-up 48 hours later

EthicsPoint® is carefully designed to maintain a caller's confidentiality and anonymity at every step. Step-by-step instructions guide the caller to help ensure that the caller does not inadvertently compromise its safeguards.

Step 1: Access EthicsPoint to Report: A caller will place a call to the TSRI-dedicated EthicsPoint® toll-free hotline telephone number at 1-866-493-1847. An operator who is a compliance specialist will begin to interview the caller. Because the compliance specialist will enter the caller's responses to set of questions depending on the nature of the violation into the EthicsPoint® system, the caller should have the necessary facts and details available when calling. The telephone hotline is available 24 hours a day, seven days a week.

Step 2: Complete a Report: Following the compliance specialist's instructions, the caller will complete a report, being as thorough as possible.

  1. The caller will specify what kind of report is being made from the violation categories listed above.
  2. The caller should listen to the anonymity information very carefully. It helps to ensure that the caller's identity is not compromised during the reporting process.
  3. The caller will then complete the report according to questions from the compliance specialist, providing information about the incident, including:
    • Who: persons engaged in the incident, including titles;
    • What: what specifically occurred;
    • Where: the location of the incident; and
    • When: the time and duration of the incident.
  4. Next, the compliance specialist will ask the caller to create a password. The EthicsPoint® system will then generate an identification code called a "Report Key." Write them both down, and keep them in a safe place. The caller will need them to follow-up later, or to review or amend the report.

Step 3: Follow-Up 2 Days Later: Two business days after the original report was filed, the caller will be asked return to the EthicsPoint® system to see if TSRI has any follow-up questions or requests.

  1. The caller will reconnect with the EthicsPoint® system using the toll-free telephone number 1-866-493-1847.
  2. The caller will ask to perform a Follow-Up.
  3. The caller will be asked to provide the Report Key and password.
  4. The caller will then elect to review report details, respond to questions posed by TSRI in response to the report, and add any additional information. The caller may return regularly to review the report, answer questions, and add information.