The University of Louisville is committed to conducting its affairs in compliance with all applicable laws and regulations and holds its employees to the highest standards of legal and ethical conduct. When situations arise that may jeopardize the university’s honesty and integrity, employees are encouraged to report them. What is compliance and why is it important? What are the steps to report potential non-compliance? If you find yourself asking these questions, please read further or contact the Institutional Compliance Office at email@example.com.
What is compliance and why is it important?
Compliance is following the laws, regulations, and other requirements that govern our university activities. The university has identified over 400 compliance areas regulated by federal, state, local and/or other requirement. To help ensure the university community stays on track with these requirements, the university works daily to promote a culture of compliance and ethical conduct within the organization.
What are the steps to report potential non-compliance?
First, we encourage you to report your suspicions to your supervisor, or to another member of management; please see the Compliance Directory, which provides contact information of these officials. If you do not feel comfortable speaking to your supervisor or you have reason to believe he or she is involved and/or previous reports haven’t been acted upon, the university offers a Compliance Hotline.
What is the Compliance Hotline?
The Compliance Hotline is a reporting mechanism operated by a third party vendor and managed by the university’s Institutional Compliance Office. Individuals may utilize it when they witness activities suspected to be unethical or a violation of law, regulation and/or policy. Non-compliance activities at the university include, but are not limited to, academic fraud, athletics, environmental health and safety, fiscal misconduct, human resources, information security, medical/healthcare, privacy, and research.
How do I report using the Compliance Hotline?
The Hotline offers an effective way for employees to report potential non-compliance activities via a toll-free number or an online submission “Compliance Hotline Reporting” at ULink. If a reporter calls the Compliance Hotline toll free at 1-877-852-1167, a trained risk specialist will document the information and generate a written report to the Institutional Compliance Office for follow-up. A reporter may write and generate his/ her own report via the online “Compliance Hotline Reporting” option available on ULink under the external links section of the faculty/staff tab. Both reporting options allow the reporter to remain anonymous. University compliance officials will ensure confidentiality insofar as legal and practical.
Is protection offered for employees who report non-compliance?
It is a violation of university policy to engage in retaliation, retribution, or any form of harassment against an employee for reporting non-compliance. However, making a report will not protect an employee from the consequences of his or her own misconduct. Please read the university’s Duty to Report and Non-Retaliation Policy.
When in doubt, point it out! Help the university maintain an ethical environment. Please contact the UofL’s Institutional Compliance Office at firstname.lastname@example.org if you have a question about compliance, want to report a compliance concern, or would like to request a live presentation for your department about our Institutional Compliance Program.