University of New England

Hotline Policies and Procedures

The University of New England expects all of its employees to perform their duties in observation and compliance with Federal, State and regional regulations that apply to all aspects of university business.

To avoid any occurrence of regulatory violation that may be unknown to university administration, and to prevent recurring actions on the part of an employee or employees who violate regulatory guidelines or engage in fraudulent behavior, the University has developed a confidential, toll-free COMPLIANCE HOTLINE that will allow any employee to report observations of or knowledge of such events or actions. The hotline has been developed as a protection and tool for those employees who are aware of regulatory violations in the workplace environment but who feel powerless to end such actions or events. This policy describes when and how employee might or should choose to use the hotline and how those calls will be handled.

When To Call

Whenever an employee has a concern about an observed event or employee behavior that may be in violation of a regulation, she/he should address the issue with their immediate supervisor, the Human Resources Department or with a university administrator or compliance officer directly responsible for applicable regulations. However, if the employee fears retaliation for reporting, or if a report is given and no apparent action is taken, the employee should call the hotline and report all pertinent details related to their concern.

How To Call/Times To Call

An employee may call the UNE COMPLIANCE HOTLINE any time during the day or night, seven days a week, year round. The hotline may be answered live or may be answered by a recording device that will allow for a twenty minute period to report the concern. If an employee wishes to only leave a recording, they should call the hotline between 5pm and 8am.

Who Will Answer Or Listen To The Call?  When?

The Hotline will only be answered by John Tumiel, UNE Chief Compliance Officer. No other university employee or administrator is authorized to answer the phone or to have access to the pass-code for recorded messages. Under normal circumstances, the hotline will be checked for messages on a daily basis, including weekends and holidays.  Callers requesting return calls or contact from the Chief Compliance Officer will be called within a 36 hour period from the time they left their message. NOTE: Because messages can sometimes be unclear, if a return call is not received within a 36 hour period, callers should repeat their report.  Your call is important!  We do want to discuss it with you.

Confidentiality?

Callers may make their report anonymously if wished, however, for recorded messages, follow-up conversations almost always will help the Chief Compliance Officer to better understand the report that was given.  If callers do wish to give their names, or a nick-name and call back number that information is assured to remain confidential to the Chief Compliance Officer to the extent permitted by applicable law.

Other Confidential Options

Callers may call the compliance hotline to leave contact information or they may call the Chief Compliance Officer directly at 602-2130 and request a face-to-face confidential meeting to give their report in person. 

What Happens To The Information?

The Chief Compliance Officer will keep a confidential log of all calls received.  Upon receipt of a report of non-compliance, regulatory violation or fraud the Chief Compliance Officer will determine a plan of action to investigate and address the incident.  This may mean that other UNE administrators and compliance officers, who oversee the affected area, will be given information made available through the hotline.  Even though that information may be shared, confidentiality of the caller will be maintained to the extent permitted by law unless permission to reveal identity is granted.  Therefore, audio recording of the hotline message will not be listened to by anyone other than the Chief Compliance Officer.

Retaliation

In cases where the identity of the reporter is known, consistent with applicable federal law and state law, including the Maine Whistleblowers Protection Act (Title 26 MRSA, Section 831 et seq.), upon receipt of a good-faith report regarding non-compliance, UNE will assure each individual that they will be fully protected from any action of retaliation or adverse action against them by a UNE employee or supervisor for making a report.