THE UNIVERSITY of NORTH CAROLINA — —_ HILL COMMERCIAL BUILDING CAMPUS BOX 1050. CHAPEL HILL, NC 27599-1050, 919.962.7883 VIA ELECTRONIC MAIL Memorandum To: George E. Battle Ill, Vice Chancellor for Institutional Integrity and Risk Management FROM: Dean A. Weber, Chief Audit Officer. — .~ uuvew DATE: — December 22, 2020 RE: Office of Internal Audit Special Project Completion— EthicsPoint Cases #323, #324, #325, #327, and #328: Reports #11 through #15-2021 The Office of Internal Audit (OIA) completed a special project review of alleged violations regarding by the The special project review was initiated in response to five anonymous allegations reported through the EthicsPoint incident reporting platform and referred to the OIA for review by Kim Strom-Gottfried, Director Ethics and Integrity. The alleged allegations were individually assessed, and outcomes are reported by specific EthicsPoint case concerns identified by the reporter(s). Project work was completed by Drew Baker, Audit Supervisor. EthicsPoint Case #323 MUNC | itor**George E. Battle Ill 12/22/2020 Page 2 of 6 EthicsPoint Case #324George E. Battle Ill 12/22/2020 Page 3 of 6 EthicsPoint Case #325George E. Battle Ill 12/22/2020 Page 4 of 6 EthicsPoint Case #327George E. Battle Ill 12/22/2020 Page 5 of 6 EthicsPoint Case #328 Conclusion Leadership’s Response to Identified OIA Project Outcomes The Vice Chancellor for Institutional Integrity and Risk Management responded to the Chief Audit Officer on December 21, 2020, providing the following reply to investigative outcomes: “My organization will oversee further review of the substantiated allegations outlined in this report, and will determine ultimate disposition of the allegations in a forthright manner.”George E. Battle Ill 12/22/2020 Page 6 of 6 Ifyou have any questions or if you would like to discuss this communication in greater detail, please contact me at 919-962-7883, Thank you. c: UNC Chapel Hill Board of Trustees Richard Y. Stevens (Chair) R. Gene Davis, Jr Teresa Artis Neal David L. Boliek, Jr. Jefferson W. Brown G. Munroe Cobey Haywood D. Cochrane, Jr. Charles G. Duckett Kelly Matthews Hopkins Allie Ray McCullen Ralph W. Meekins, Sr. John P. Preyer Reeves Moseley Clayton D. Somers (Assistant Secretary to the Board of Trustees) T.J. Scott (Executive Assistant to the Board of Trustees) University of North Carolina at Chapel Hill Kevin Guskiewicz, Chancellor Robert Blouin, Executive Vice Chancellor and Provost ‘Amy Locklear Hertel, Chief of Staff Derek Kemp, Associate Vice Chancellor for Campus Safety and Risk Management Nathan Knuffman, Interim Vice Chancellor of Finance and Operations. Charles Marshall, Vice Chancellor and General Counsel Kimberly Strom-Gottfried, Director Ethics and Integrity External Entities Lynne Sanders, UNC System Office Council of Internal Audit, (Redacted)