Compliance Office

MSC05-3150
1 University of New Mexico
Albuquerque, NM 87131

Physical Location:
Office of Equal Opportunity

Phone: 505-277-0169

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UNM Compliance Hotline

The UNM Compliance Hotline is the main reporting system for the UNM community to make inquiries, file complaints, and report alleged misconduct and violations of laws, regulations and policies. The confidential Compliance Hotline operates 24 hours a day, seven days a week. The Compliance Hotline uses EthicsPoint, a case management system provided by Navex Global that has the capability to accommodate allegations and document information gathered from an investigation. This operating system is used by numerous colleges and universities who are peer institutions to UNM. The Main Campus Compliance Office administers the Compliance Hotline for UNM Main and Branch Campuses, UNM Health Sciences Center, UNM Hospital, UNM Medical Group and Sandoval Regional Medical Center.  Every employee has an obligation to report in good faith known or suspected violations of laws, regulations, and UNM policies or procedures.

  • Have you observed a possible violation of laws, regulations, University policy, or unethical behavior?
  • If you have information about such behavior you are encouraged to discuss this with your department chair, supervisor or another member of management.

Call the UNM Compliance hotline or file a report using the web reporting tool, unm.ethicspoint.com, if you are uncomfortable discussing concerns with your department chair, supervisor or another member of management and wish to remain anonymous.

The UNM Compliance Hotline is a way to express your concerns regarding any potentially unethical or illegal situation in your workplace. The toll-free Hotline and the web reporting tool are available 24 hours a day, so you can even call or fill out the web reporting form from the privacy of your own home. 

Possible concerns might include: Conflicts of Interest, Financial and Business Integrity, Misuse of University property, Wage Claims, Research issues, Discriminiation, Drug and Alcohol Abuse, Harassment, Safety Violations, Theft and Fraud, Workplace Misconduct, Ethics, Violations of Laws and Regulations and Violations of University Policies.

REPORTING 

The Main Campus Compliance Office has developed strategies to ensure that UNM is promoting a compliant and ethical environment. Inquiries, allegations and complaints reach the Main Campus Compliance Office through many channels, including walk-ins, letters, emails and the hotline.

All complaints received through the Compliance Hotline are reviewed to determine 1) the significance/urgency of the matter; 2) whether sufficient information exists to initiate further review; and 3) the most appropriate office or person to address the situation in the allegation. People reporting through the Compliance Hotline have the option to maintain their anonymity and the Compliance Hotline handles the information in a confidential manner to the extent allowed by law and policy.

After a matter is reported through the Compliance Hotline, the Compliance Office staff begins to process the complaint, which typically takes less than 24 hours. All inquiries, complaints and allegations must be evaluated and documented regardless of the source and before any action is taken. Proper evaluation is necessary, although many issues will not require a full investigation. The purpose of investigations is to evaluate information provided by the source. Information gathered through review of materials and interviews (as necessary) is evaluated to determine whether there is sufficient evidence to support a conclusion regarding the allegation. If an allegation is substantiated, it is forwarded to the appropriate department or unit for disposition. If it is determined there is not sufficient information or evidence to support an allegation, the case is documented and closed until further information is available. The UNM Compliance Hotline has the capability to inform the reporter that a case has been closed, even if the reporter submitted the inquiry or allegation in a confidential manner. However, the reporter is not provided with specific information regarding the ultimate outcome of the investigation.

 

The UNM Compliance Hotline is managed by an independent outside vendor.