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UofL Compliance – When in doubt, point it out

by Institutional Compliance last modified Feb 05, 2014 05:35 PM

UofL 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 concerns? If you find yourself asking these questions, please read further or contact the Institutional Compliance Office at

What is compliance and why is it important?

Compliance is following the laws, regulations, and other requirements that govern our university activities. In this ever changing complex regulatory environment, 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, Dave Barker, the university’s chief compliance officer, the Compliance Oversight Council and the Institutional Compliance Committee work daily to promote a culture of compliance and ethical conduct within the organization.

What are the steps to report potential non-compliance concerns?

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 have reason to believe your supervisor is involved and/or previous reports haven’t been acted upon, the university offers a Compliance Hotline (formerly referred to as the Helpline).

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 use 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, research, medical/healthcare, privacy, information security, environmental health and safety, fiscal misconduct, human resources and athletics.

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 through 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 at ULink. Both of these 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?
When reports of suspected misconduct are made, no employee is permitted to engage in retaliation, retribution or any form of harassment against the employee making the report. However, making a report will not protect an employee from the consequences of his or her own misconduct. Please read the university’s Non-Retaliation/Non-Retribution Policy.

When in doubt, point it out!  Help the university maintain an ethical environment. Please contact UofL’s Institutional Compliance Office at with any questions or concerns.

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