A list of FAQs regarding the Compliance report system can be found here. If you have additional questions, please call 301.405.8471 or email firstname.lastname@example.org.
The term compliance is the ability to act in accordance with sets of rules. UMD has both internal and external rules imposed by federal, state, and university system laws and policies and private sponsors. Every activity on campus has a set of rules to follow. Compliance involves five key functions: identification, prevention, monitoring/detection, resolution, and advisory.
Short answer: Everyone. Compliance for any organization/university starts at the top. There are several units on campus in place to ensure compliance with a specific purpose. For example: SPAC - Grant compliance, IACUC - Human and Animal subject compliance, Athletics - NCAA compliance. Each employee that performs a task is responsible for knowing if his or her task has a rule required.
A system provides a centralized reporting mechanism to communicate concerns regarding non-compliance.
A system provides an opportunity for employees to speak up when they may feel uncomfortable addressing the concern face to face.
The system is a direct link to a compliance unit on campus. Concerns can be addressed quickly.
While there are other reporting systems on campus, this one is centrally monitored and communicated.
All concerns received through the system are reviewed. Those concerns listed below will be forwarded to the appropriate department; however, the item will not be followed up on in EthicsPoint. To ensure your request is addressed in a timely manner, please use the appropriate mechanism.
Yes. If you choose to be anonymous, either through website or phone, nothing is recorded. EthicsPoint does not track that information, not even an IP address. Therefore, it is very important you keep your report key in case an investigation needs more information.
The university respects a person’s choice to proceed anonymously. However, doing so may limit the university’s ability to both respond fully to the incident and assist the individual directly.
“Good Faith” means you believe what you are doing is right, honest and legal. Good faith reporting is intended to bring inappropriate behavior or problematic situation to light, not be malicious or hurtful.
Employees who intentionally and maliciously use the reporting system to make false allegations are subject to disciplinary actions.
Report any and all information you have. Most instances of misconduct are discovered through tips from honest people who are not sure of all the facts. Subject matter experts will review your allegation and conduct the necessary investigation.
The university promotes ethical behavior. Misconduct has implications for the entire university and consequently all employees and students. All unethical conduct, at any level, ultimately hurts everyone. If you know of any incidents of misconduct or ethical violations, consider it your duty to yourself and your coworkers to report it.
This is called retaliation. University policy, State and Federal laws prohibit retaliation against a person who makes a reporting in good faith or cooperates in an investigation. You can report retaliation though the reporting system or directly with Human Resources. Keep records of correspondence and actions associated with the report in the event of a retaliatory issue.
We encourage you to discuss concerns with your supervisor or management directly. In the event a supervisor is involved, we would like the supervisor to also report the situation to EthicsPoint. Another department could report the same concern. Understanding issues across campus helps determine root causes of the issues and develop strategies for the benefit of the entire campus.
Each allegation varies in levels of complexity. When you file a report, subject matter experts receive the allegation and perform preliminary research to determine its factual accuracy. An investigator may reach out to you for additional information. Please use your EthicsPoint report key to periodically check in on the allegation.
A subject matter expert is pre-assigned to receive specific allegations. If your complaint involves the pre-assigned person, EthicsPoint would re-route to the system administrator.
The form in EthicsPoint has a spot to indicate if your supervisor or other manager were involved, or had reasonable knowledge of the concern. Your supervisor/other manager will not get a copy of the report. However, in the process of investigating, your supervisor may become aware of an allegation. We make every effort to ensure anonymity.
The EthicsPoint system will show when an investigation has been completed. You can review this information by returning to the system and using your report key. Due to the confidential nature of any investigation, findings may remain confidential. Appropriate and necessary action will be taken.