Hotline Policies and Procedures

The University of New England expects all of our 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, we have developed a confidential, toll-free Compliance Hotline that allows you to report observations or knowledge of such transgressions. The hotline has been developed as a protection and tool for you should you become aware of regulatory violations in the workplace but feel powerless to end such actions or events. This policy describes when and how you may use the hotline and how these calls are handled.

When To Call

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

How To Call/Times To Call

As a UNE employee, you may call the Compliance Hotline at 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 you wish to only leave a recording, you should call the hotline between 5:00 p.m. and 8:00 a.m.

Who Will Answer Or Listen To The Call? When?

The Compliance 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. If you are requesting a return call or follow-up contact from the chief compliance officer, you will be contacted within 36 hours of the time you left your message. Please note that because messages can sometimes be unclear, if you have not received a return call within 36 hours, you should repeat your report. Your call is important and we want to discuss it with you.

Confidentiality?

You may make your report anonymously if you wish, however, for recorded messages, follow-up conversations almost always will help the chief compliance officer better understand the initial report. If you do wish to give your name, or even a nick-name and call-back number, we assure you that your information will remain confidential to the chief compliance officer to the extent permitted by applicable law.

Other Confidential Options

You may call the Compliance Hotline to leave contact information or you may call the chief compliance officer directly at (207) 602-2130 and request a face-to-face confidential meeting to give your 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, your confidentiality as caller will be maintained to the extent permitted by law unless your permission to reveal your 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 your identity as the reporter is known, consistent with applicable federal law and state law, including the Maine Whistleblower's Protection Act (Title 26 MRSA, Section 831), upon receipt of a good-faith report regarding non-compliance, UNE will assure you that you will be fully protected from any action of retaliation or adverse action against you by a UNE employee or supervisor for making the report.