Frequently Asked Questions

Q.

What should I do if I suspect someone has acted out of compliance with a University policy or in an unethical manner?

A.

The first thing you should do is discuss the matter with that person's supervisor or your own supervisor.  Often the issue can be resolved by department management with no need for further investigation.  However, if criminal activity is suspected, report the matter immediately using one of the methods outlined on the Compliance Hotline webpage.

Q.

I have tried to raise my concern about a compliance issue with my supervisor, but he/she either does not listen or tells me he/she will look into it but never does.  What should I do?

A.

The Compliance Hotline is available for your use in such situations.

Q.

What if my supervisor is the person I suspect of noncompliance or unethical behavior?

A.

You should file a report using the Compliance Hotline .

Q.

Can I make a report anonymously?

A.

You may make your report anonymously.  However, please note that unless enough information is provided, we may not be able to fully investigate the report.  We encourage you to give us your name and contact information, in confidence, so we can ask appropriate questions and fully investigate the matter.  We will keep confidential the identity of any person making a report unless the person consents to or a governmental authority compels the disclosure.

Q.

I am not sure whether the issue I am concerned about is an instance of noncompliance or is unethical.  What should I do?

A.

You should contact the Compliance Officer through the Compliance Hotline and request his guidance.  In some instances, University policies can be technical or unclear.  Often a discussion of the matter can lead to a relief of suspicion or indicate a need for further investigation.

Q.

Should I contact the police or other authorities outside the University if I have a concern about noncompliance or unethical behavior?

A.

You do have the right to contact outside authorities.  However, the University is often in a better position to address the concern and resolve the situation without external involvement.  If the situation is such that you witness a crime in progress or there is immediate danger, immediately notify the police by calling 9-1-1.

Q.

Am I protected if my complaint leads to a colleague or supervisor retaliating against me for raising the issue?

A.

Yes.  University policy protects any person who makes a report of reasonable suspicion of noncompliance or unethical behavior in the workplace.  Any retaliation by any person may subject that person to disciplinary action.

Q.

Do I need to have irrefutable evidence of noncompliance or unethical behavior before I raise a concern?

A.

No.  However, you should have a reasonable basis for making a complaint.  This means your report should include enough information for appropriate personnel to follow up on the complaint, gather the facts, and review the matter in detail.

Q.

Will I be informed of what action is being taken to follow up on my complaint?

A.

If you identify yourself (rather than submitting an anonymous report), you will be notified the issue is being reviewed.  In the course of the review, you may be contacted to clarify the concern or provide additional information.  You will be informed of the progress of the review.  Depending on the outcome, we may or may not be able to share information regarding the eventual outcome.

Q.

If I am a supervisor or manager and an employee comes to me with a concern, what should I do?

A.

If possible, you should first discuss the concern with your supervisor and attempt to resolve the concern raised through appropriate means.  If the concern is of such a nature as to warrant further investigation, you may file a report through the Compliance Hotline .  If you determine the matter can be handled within the department, be sure to document any action taken and discuss the results with the person raising the concern so they understand how the matter has been addressed.