Office of Audit and Compliance

Hotline Responsibilities

1) Record the issue on the compliance disposition log.

2) Coordinate a meeting of the Compliance Hotline Triage Team to discuss appropriate disposition.

3) Record disposition on the compliance disposition log.

4) If the Hotline Team agrees that the issue is minor, refer the matter to the appropriate department head for resolution. Ask the department head to call with a status report.

5) If the Hotline Team agrees that the issue is major, report the matter to the appropriate officials, who may include the President, U. T. System, etc., and seek appropriate guidance.

6) If the issue is an alleged fraud, follow the U. T. System fraud policy.

7) Report back to the network, if applicable, within two weeks regarding the results of the investigation or to ask additional questions if necessary.

8) Ensure the security and confidentiality of the compliance disposition log and supporting documentation.

9) Shred hotline call documentation and other documentation pertaining to the call after the issue is resolved. However, maintain compliance disposition log indicating description of calls and disposition in accordance with standard records retention guidelines.

 

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