Hotline
Hotline Policies and Procedure
Objective
The objective of the compliance hotline is to provide a confidential way for employees to obtain information about compliance issues and report instances of suspected non-compliance outside the normal chain of command in a manner that preserves confidentiality and assures non-retaliation. Employees should use the hotline when they are not satisfied with their supervisors' response to a compliance issue, or if they fear retaliation by their supervisors. Under normal circumstances, however, compliance issues should be addressed through normal administrative channels.
Examples of university activities and operations in which non-compliance may be an issue:
- Various UTD, state, or federal policies and procedures
- Research
- Gifts
- Safety policies and procedures
- NCAA guidelines
- Conflict of interest and ethics policies
- Computer security
- IRS regulations
- Equal Employment Opportunity laws
- Sexual harassment policies
- Account Reconciliations
Complaints
The compliance hotline is not a complaint hotline. Only matters involving compliance with a UT System or UTD policy or procedure, or a federal or state law or regulation, will be investigated. Employees with complaints will be advised to pursue normal administrative channels.
Supervision of Hotline
To ensure anonymity, the university contracts with an outside service provider to manage its compliance hotline. The company is The Network. The toll free hotline telephone number is 1-888-228-7707. You can also report via the web at www.reportlineweb.com/utdallas.Upon receipt of a call, the Network forwards the information to the University's Compliance Hotline Triage Team for resolution. This team consists of the Executive Director of Audit and Compliance, the Associate Provost, the Dean of Students, the Director of Human Resources Management, and the Staff Attorney.
Confidentiality
Employees who call the compliance hotline may remain anonymous. If the person requests anonymity, no attempt will be made to identify the employee. Information provided by the employee will be treated as confidential and privileged to the extent permitted by applicable law.
Non-retaliation
Retalliation against an employee who has called the hotline is strictly prohibited. After placing a hotline call, if an employee perceives that he or she is being retaliated against, the employee will be referred to the appropriate administrative grievance procedure. Accusations of retalliation will be taken very seriously and agitators will face disciplinary action.
Employees who intentionally and maliciously use the hotline to make false allegations will be subject to disciplinary action.
Records Retention
A log will be maintained in the Office of Audit and Compliance of all hotline reports and a summary of their disposition in accordance with the University records retention policy. Hotline records will be maintained in a secure facility.
Investigation Procedures
After the Compliance Hotline Triage Team receives the information regarding the hotline call from The Network, the team will determine the appropriate disposition of the issue. If the compliance issue involves an alleged fraud, the UT System fraud policy, UTS 118, will be followed. The Hotline Team will contact The Network within two weeks of the call to notify the caller of the receipt of the report and request additional information, if necessary.
Resolution
All hotline compliance issues will be resolved as quickly as possible. Employees who call the hotline are given a code number and are asked to call back in two weeks to receive an update on actions taken to date. The Triage Team can also utilize this mechanism to communicate additional questions to callers who prefer to remain anonymous. Confidential information obtained during the investigation will not be disclosed to the employee. The Office of Audit and Compliance will note the actions taken on the hotline log.
Role of Legal Counsel
The UT Dallas Audit and Compliance Committee and/or the Compliance Officer will consult with UT System's Office of General Counsel when a major issue is reported via the compliance hotline.
HOTLINE
"It's Your Call"
1-888-228-7707
or
Via the website at
The Network's Web Reporting System
Reporting Fraud, Waste, or Abuse to the State Auditor's Office
1-800-TX-AUDIT
UT Dallas Fraud Prevention Program
To learn more about fraud and UT Dallas' fraud prevention program.
You are protected if you report non-compliance:
UT Dallas Protection from Retaliation Policy
UT System Protection from Retaliation Policy
Texas Whistleblower Act (Whistleblower Poster)
Updated: October 9, 2012
