University System of Georgia Ethics & Compliance Hotline Trends - PowerPoint PPT Presentation

Office of Internal Audit and Compliance University System of Georgia Ethics & Compliance Hotline Trends March 18, 2014 Ethics & Compliance - 2-11-14

Agenda Office of Internal Audit and Compliance • Why Have a Hotline? • Hotline Status Report Ethics & Compliance - 2-11-14 2

Why Have A Hotline? (1/1) Office of Internal Audit and Compliance • Proven Tool to prevent Fraud, Waste and Abuse – Used by faculty, staff, students, parents and the public – Provides for anonymous reports of problems • Part of USG Compliance and Ethics Program – Promotes compliance with policies, regulations & laws. – Part of the Federal Sentencing Guidelines requirements – Protects USG where Federal funds are involved – Can reduce fines up to 60% as mitigation program Ethics & Compliance - 2-11-14 3

Hotline Cases- 2011, 12 & 13 Office of Internal Audit and Compliance Total 3 per. Mov. Avg. (Total) 58 55 52 50 47 47 45 45 44 44 43 41 40 38 37 37 35 36 35 35 34 31 32 32 31 31 30 29 28 27 27 26 25 22 21 19 11 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan 2011 2012 2013 2014 336 Cases 455 Cases 497 Cases Ethics & Compliance - 2-11-14 4

Complaints By Category Office of Internal Audit Other and Compliance Conflict, Unsafe 12% Harassment or Conditions Discrimination 4% Deficient by Supervisor Employee 24% Services or Conditions 5% Academic Misconduct 11% Fraud, Waste or Student Reports Abuse - Poor Service & 24% Conflict 20% Ethics & Compliance - 2-11-14 5

Review of the Top Areas Office of Internal Audit and Compliance • Resources not used properly – Used to identify control weaknesses – Actual malfeasance turned over to law enforcement • People unhappy with supervisors – Not a System issue – Provides an outlet for personnel issues – OIAC shares cases with VC for HR and Academic Affairs • Taking steps to redirect these calls to institutional channels • Student complaints - other students, instructors, etc. – Responded to quickly – Provides positive impact and management awareness – Becomes customer service tool versus wrong doing reporting Ethics & Compliance - 2-11-14 6

Office of Internal Audit and Compliance Questions? Ethics & Compliance - 2-11-14 7