Compliance Chat #18 - UA Confidential Hotline

Compliance Chat #18 - UA Confidential Hotline

November 1, 2024

Join this month's Compliance Chat for a deeper look at the UA Confidential Hotlinewith Mary Gower and Nikki Pittman from UA Audit and Compliance Services. In this session, they'll walk through how the hotline provides a secure, anonymous method to report issues of non-compliance or suspected unethical practices-whether it's misuse of resources, discrimination, data breaches, or other concerns. This Chat is part of recognizing National Compliance Week at UAnext week-a great opportunity for University of Alaska employees to strengthen their awareness of compliance.

While reporting to a supervisor is encouraged, the hotline is here when you need another option. You'll gain insight into what happens behind the scenes when a report is made, expectations for confidentiality, and proper follow-up. Don't miss this opportunity to learn more about how you can help ensure reporting access for yourself and your team!

Also, in celebration of National Compliance Week, they'd like to hear your thoughts on the UA Confidential Hotline.

Mark Your Calendar:On Monday, November 4th, 2024, you'll receive an invitation to complete a brief five-question survey. Your input will be helpful to enhance the hotline's effectiveness.

Want to Win a Prize?

After watching this Compliance Chat, answer the following question:

Question: What types of issues are commonly reported through the UA Confidential Hotline?

Email your answer to [email protected]. A correct answer will be drawn at random to receive a $20 Amazon.com gift card!

-
Edited with AI Support

Transcript

Today we're talking about the UA Confidential Hotline. It's important that we all know how to report instances of non-compliance or suspected unethical practices.

00:30

One way the University of Alaska demonstrates its interest in hearing about issues is by making sure the hotline is available to everyone, this includes employees, students, contractors, and community members.The hotline offers confidentiality and the option to remain anonymous, making it a safe space for those who may be concerned about the potential for retaliation.

First I would like to emphasize the importance of reporting issues to your supervisor. However if you don't feel comfortable going to your supervisor, the UA Confidential Hotline is available as a confidential and anonymous reporting tool. That said, if you see anything that just doesn't look right, please say something. You can help the University of Alaska by being situationally aware, asking questions, and familiarizing yourself with university policies and reporting any concerns.

01:28

The most frequent issues reported through the UA Confidential Hotline include: misuse of University resources, conflicts of interest, discrimination, harassment, and ethical violations.

Employees may encounter compliance related issues that warrant reporting as well. For instance in the area of accounting and finance, an employee might be concerned about the potential for fraudulent activities, such as falsification of financial records, or misappropriation of funds. In the area of diversity and equal opportunity, an employee could observe potential biased incidents or discrimination related to race, gender or other protected classes.

Information security issues may also arise, including data breaches, malicious use of technology, or unintentional use of insecure technology processes, any of which could threaten the Integrity of sensitive University information, or cause a privacy breach.

Additionally risk and safety matters may involve reports of unsafe working conditions, or environmental hazards that threaten employee wellbeing.

02:46

When a report is submitted, hotline administrators triage it to determine the next steps, including which department should be notified, to ensure proper followup of the reported situation. From here follow-up is performed to gather facts. An investigation is performed if necessary, as based on the facts of the situation. Corrective action is taken to address the issue and prevent future problems. One challenge is that to maintain confidentiality the reporter may not be aware of the substantial enforcement efforts occurring behind the scenes. Unfortunately this lack of visibility can lead to the perception that no action is being taken.

03:29

Speaking of anonymous reporting, how does the university ensure confidentiality and protect against retaliation?

Once a report is submitted through the hotline, whether by phone or online, it's assigned a case number. This provides tracking throughout the processes of triage, followup, and if warranted, investigation. The report is assessed and researched, and confidentiality is maintained to the extent practical at every step. If the individual chooses to remain anonymous, they can still communicate through the system without revealing their identity, allowing for follow-up questions if more information is needed.

The university will take steps to respect the identities and privacy of those involved. Absolute confidentiality may not be maintained in all circumstances, especially in cases where the university must take action to protect the safety of others. Care is taken that information is not shared beyond those with the need to know. The university operates in accordance with the Alaska Whistleblower Act to protect employees from being retaliated against in response to reporting concerns in good faith. Retaliation is not tolerated. In fact, retaliation itself can be subject to investigation and disciplinary action.

04:50

What role does the hotline play in fostering a culture of transparency and accountability at the university? Have there been any notable improvements as a result of the hotline reports?

The confidential hotline allows for open anonymous reporting which encourages people to speak up sooner rather than later. This has led to improvements such as clarification and communication of policies and procedures, stricter policy enforcement, better resource management, and increased awareness around issues like workplace conduct and conflicts of interest. Overall it has helped to build trust; where every one knows their concerns will be taken seriously, and handled appropriately.

05:34

What advice would you give to employees that are hesitant about using the hotline?

For anyone feeling unsure, I'd emphasize the hotline is there to protect both the individual and the university. The hotline is designed with confidentiality and anonymity in mind, meaning that no one should fear retaliation for coming forward. The university takes every report seriously and handles them with care and professionalism. There are strong anti-retaliation protections in place so no one will feel negative consequences for reporting. Using the hotline creates a safer and more ethical workplace, and can lead to positive changes for everyone.

06:15

Thank you Nikki, any final thoughts?

I just remind everyone that reporting concerns is a shared responsibility. It's a critical mechanism for maintaining an ethical and transparent campus environment. If anyone has questions or would like more information the hotline is a great resource, and of course you can always reach out to Danielle Foster or myself as the hotline administrators.

Thanks everyone for joining this Compliance Chat. We each have a responsibility to help create a safe and ethical campus.If you see something that doesn't look right, it's important to speak up. You can contribute by staying alert, asking questions, understanding University policies, and reporting any concerns. Also be sure to check out the UA Confidential Hotline.

Check out UA's Youtube channel to watch this and other compliance chat recordings.

Public link

Please use the above public link if you want to share this noodl on another website.