| 政策的标题 | 诉讼政策 |
|---|---|
| 政策范畴 | Ethics, Integrity, and Legal Compliance 政策 |
| 原保单批准日期 | 2018年2月14日 |
| 政策取代 | 没有一个 |
| 负责办公室 | 校董会执行委员会 |
| 相关政策 | 没有一个 |
| 检讨频率 | 3年 |
| 下次覆检日期 | 2023年2月14日 |
| 修订日期 | 2020年10月7日 |
I. 范围
本诉讼政策(“政策”)适用于董事会成员和大学的所有人员. 本保单中大写术语的定义见下文第四节.
II. 政策声明
The purpose of this 政策 is to establish the process to be followed in the event that the 大学 becomes aware of threatened or pending litigation involving the 大学 or 大学工作人员 as an entity or as individuals acting within the scope of their authority as representatives of the 大学.
3. 政策
The 总法律顾问 represents the 大学 as a corporate entity in legal matters and reports to the President on a day-to-day basis regarding the legal affairs of the 大学. As the 大学’s Chief Legal and Compliance Officer, 法律总顾问还在必要时向董事会报告，以保护大学的利益. It is the policy of the 大学 to have a structured process through which the 大学 responds to any legal action or possible legal action involving the 大学.
诉讼通知书
- All 大学工作人员 must report to 法律总顾问 whenever they become aware that an employee or member of the public indicates that he or she may or will take legal action against the 大学. The 总法律顾问 will consult with the President on those matters 法律总顾问 considers have a good chance of resulting in a lawsuit. The President 应 consider the severity of the allegations, the potential financial impact on the 大学, and the potential harm to the reputation of the 大学, 除其他因素外, 决定是否通知校董会潜在的或可能的诉讼.
- 总法律顾问被授权代表大学接受和接受投诉或其他法律文件的服务.
- 收到服务后, 总法律顾问将通知总统和任何被指定为诉讼当事人的员工，诉讼已被提起.
- 收到诉讼通知时, 法律总顾问将通知大学的保险公司诉讼已经提起. The 大学’s insurance coverage is on a “claims-made” basis. 现有的或潜在的索赔必须在保单有效期内报告给保险公司. Coverage for the 大学 may be jeopardized if a claim is not submitted during the insurance policy period in which the claim was made.
- 收到诉讼通知时, 法律总顾问, 与总统和大学的保险公司协商, 应 determine whether it is in the 大学’s best interest to settle the matter or allow the litigation to move forward to trial.
- 收到诉讼通知时, 总法律顾问将决定是否需要聘请外部法律顾问, 如果是的话, 应, 与保险公司合作, choose 外部法律顾问 with appropriate expertise, subject to budgetary approval for such legal fees from the President. In matters affecting The College of Global Studies, 法律总顾问 应 与保险公司合作, 在选择外部法律顾问之前，请咨询全球研究学院副院长. The 总法律顾问 and the President 应 determine the strategy of the defense of the lawsuit after consultation with 外部法律顾问.
- 如果诉讼事项指定总法律顾问办公室的一名律师作为被告, 那么最好是让法律总顾问办公室的其他律师来处理这件事. 如无其他律师人员, 总统或其指定人员应将该事件指派外部法律顾问代表大学. Such outside Counsel would report to the President, 谁, 反过来, would report such litigation (based on materiality or the possibility of harm to the 大学’s reputation) to the full 校董会 or the Executive Committee of the Board between meetings. If both 法律总顾问 and the President are named as a defendant, 校董会主席将直接协调对此事的辩护.
- 收到诉讼通知时, 法律总顾问 will also notify the Office of 大学 Relations. 除非总统，否则大学关系部将拒绝回应有关任何诉讼的媒体询问, 与法律总顾问协商后, 确定公众评论是否恰当. 大学关系部在准备任何与提起诉讼有关的公开声明时应咨询总统.
- The President 应 inform the 校董会 of all lawsuits (based on materiality or the possibility of harm to the 大学) filed against the 大学 within a reasonable time of receipt of notification of the lawsuit.
诉讼过程
- 法律总顾问应是大学保险公司在诉讼过程中的联络点.
- 大学工作人员 must be mindful that internal documents and discussions of pending litigation may be discoverable during litigation. 法律总顾问应协调大学对诉讼的内部回应, 包括确保大学履行其在发现方面的责任, 是否应在法律总顾问或任何代表大学的外部法律顾问的指导下进行.
- 一旦提起诉讼, unless otherwise expressly authorized by the President, 所有的会议, 案件讨论, 调查, preparation of reports and other information gathering or dissemination, 应在外部法律顾问或总法律顾问的指导下进行协调.
- 外部法律顾问或总法律顾问应与案件中提到的任何员工会面, or 谁 may be closely involved in the case as a potential witness, 和其他人, 只要他们认为合适, to explain the matter in dispute and the processes and procedures to be used to protect attorney-client privileged information and attorney work product privileged information and communications.
- No 大学工作人员 应 destroy any record, 备忘录, or notes relating to any matter that is subject to threatened or pending litigation without the express written consent of 外部法律顾问 or 总法律顾问, 谁只有在符合适用程序规则的情况下才能授权销毁这些记录, 实践标准, 诉讼行为的道德规范, and relevant 大学 policies regarding record retention.
- The 总法律顾问 应 provide the Audit Committee of the 校董会 with updated reports at designated Risk and Audit Committee meetings regarding pending and/or settled litigation that may have a material impact on the 大学’s financial statements or compliance policies. The rationale is to provide information regarding those situations which call for Risk and Audit Committee review and revision of certain risk management policies in order to avoid or reduce the risk of litigation for the 大学 in the future.
管理与诉讼相关的沟通
No 大学 personnel 应 comment on any matter in litigation or any matter known to be the subject of potential or threatened litigation without the express permission of the President. 大学关系办公室负责管理大学的任何官方回应，并拒绝对任何询问发表评论, 除非在总统的指导下. 总统应协调与董事会、外部法律顾问或总法律顾问的所有沟通.
和解及法庭命令
Except for orders expressly involving 法律总顾问, 法律总顾问 应 be the principal point of contact and coordination for carrying out court ordered activities and ensuring compliance with 法庭命令 and 和解协议. For matters involving the College of Global Studies, the 外部法律顾问 representing the College of Global Studies 应 be the principal point of contact and coordination for carrying out court ordered activities and ensuring compliance with 法庭命令 and 和解协议.
法律档案记录
All correspondence with 外部法律顾问 or 总法律顾问 and other records relating to matters involving the conduct of litigation 应 be clearly labeled as such and 应 be maintained in the exclusive custody of the 总法律顾问办公室 and 应 be retained in separate, 锁定记录存储.
其他
总法律顾问还担任大学的首席法律和合规官. 因此, 所有可能涉及法律事宜的大学运作, as determined by the President or Chair of the 校董会, 须有大学法律顾问参与.
IV. 定义
- 法庭命令 法官是否正式宣布听证会各方当事人之间的法律关系, 一项试验, 上诉:上诉或其他法庭程序. 此类裁决要求或授权案件的一方或多方当事人采取某些步骤.
- 总法律顾问 means the employee of the 大学 谁 supervises the legal department of the 大学 and represents the 大学 in a wide range of legal matters on a daily basis.
- 外部法律顾问 refers to any attorney retained directly by the 大学 in consultation with the 大学 insurance carriers to represent the 大学 in a particular matter or case. 这包括代表全球研究学院处理美国以外事务的任何外部律师.
- 聚会，派对 means any person named in a lawsuit involving the 大学.
- 和解协议 are an acknowledgment by parties to a lawsuit that it is in their best interests to agree to settle their dispute without the need for further litigation.
- 大学 指MG摆脱网站，其学院、学校、附属机构、部门和子公司.
- 大学工作人员 指所有大学全职及兼职员工(包括学生工), 工作人员, 教师, 管理员, 志愿者, 和军官.
V. 生效日期
本政策自总统签署之日起生效
VI. 批准日期
2018年2月14日
