The
Office of Audit and Compliance Review (OACR) has the responsibility
for reviewing complaints and allegations of a fiscal or
related compliance nature. This includes complaints and
allegations made under Section §17.325,
Florida Statutes (Get Lean Complaints and Suggestions)
and the university’s “Policy Against Fraudulent
or Other Dishonest Acts.” This office also reviews
those
complaints identified through Sections §112.3187 to §112.31895,
F.S. the Whistle Blower’s Act.
We
perform these duties through an investigative process
designed to address the complaint issues and to provide
guidance with internal control issues that may develop
as a result of the investigation.
Telephone
complaints to: (352) 392-1391 ext. 30
The
following will help to introduce you to this OACR
service:
There
is no specific venue or format for how complaints/concerns
must be communicated, but there is a basic need/expectation
that the information provided will establish sufficient
predication for review.
Complaints/concerns
are received from a variety of sources and venues:
 Direct
from the complainant as a specific communication
(in-person, through letter/email or phone call,
or established hotlines)
Referral
from state offices, including electronic
forwarding through the Get Lean Hotline
system maintained by the State Comptroller’s
Office
Referral
from colleges and university offices
Audits
or other OACR engagements
Through
the news media
Hotline
CLASSIFICATION OF COMPLAINTS:
Get
Lean – Section §17.325,
F.S. establishes a 24 hour hotline (1-800-GET-LEAN),
whereby suggestions on how to improve the operation
of government, increase governmental efficiency,
and eliminate waste in government may be made. Callers
may be anonymous or may request that the call be
confidential. Get Lean calls are tracked through
an electronic system maintained by the State Controller's
Office. Those involving UF are electronically transmitted
through this system with the requirement for closure
or update through this system within 30 days.
Whistleblower -
Sections §112.3187 through §112.31895,
F.S. were enacted in 1995 as the “Whistleblower's
Statute.” This legislation is designed to protect
confidentiality and preclude retaliatory action against
an employee who reports violation or suspected violation
of federal, state, or local law or rule which presents
a substantial and specific danger to the public’s
health, safety, or welfare or any act or suspected
act of gross mismanagement, malfeasance, misfeasance,
gross waste of public funds, suspected or actual Medicaid
fraud or abuse or gross neglect of duty.
University
investigations – These typically cover
all other investigative reviews resulting from complaints
presented directly to the OACR or forwarded to the
OACR. Administrative request for investigations also
fall into this category.
OVERVIEW OF INVESTIGATION
REVIEW PROCESS:
The
first step is generally a preliminary fact finding
stage to determine if the complaint presents
the predication needed for an investigative review.
If the complaint may be more appropriately addressed
by another area such as Human Resources for personnel
issues, Student Affairs for student issues, Office
of Affirmative Action for harassment issues,
UPD for criminal issues, it is referred to the
appropriate area.
After
the preliminary review assistance may be
requested from the unit head, the university’s
general counsel, or the university police
department.
For
each investigation, assigned OACR personnel,
must document their independence from the issues
presented.
Fact
finding and evidence gathering procedures should
be as objective as possible
Employee
interviews are conducted as necessary
Evidence
gathered should be from sources independent of
the unit or subject employee when possible.
Reporting
at the Conclusion
A
report is issued to appropriate management and if
necessary to prosecuting officials.
A
report may be verbal, a memorandum, a letter,
a formal written report, or an electronic response.
Reporting requirements of Get Lean hotline
and Whistle-blower investigations are followed.
The
final report, in whatever format, should
thoroughly address all relevant aspects of
the investigation.
FAQ:
What
is an employee’s responsibility with regard
to the Policy Against Fraudulent or Other Dishonest
Acts?
What
is an administrator’s responsibility with regard
to the Policy Against Fraudulent or Other Dishonest
Acts?
What
is the OACR responsibility with regard to the Policy
Against Fraudulent or Other Dishonest Acts?
What
about maintaining a complainant’s confidentiality?
How
do I submit a complaint to OACR?
Q: What is an employee’s responsibility
with regard to the Policy Against Fraudulent or Other
Dishonest Acts?
A: All
employees have certain responsibilities directly
related to the Policy Against Fraudulent or Other
Dishonest Acts.
These are:
Employees
are to observe the provisions of the Code of Ethics
for Public Officers and Employees, Part
III of Chapter 12, F. S.
Employees,
with a reasonable basis for believing that
a fraudulent or other dishonest act has occurred,
have a responsibility to report it to their
supervisor, appropriate administrator, or the
OACR.
Q: What is an administrator’s responsibility
with regard to the Policy Against Fraudulent or Other
Dishonest Acts?
A: Administrators
at all levels of management, especially unit managers,
have certain responsibilities directly related to the
Policy Against Fraudulent or Other Dishonest Acts.
To
display a positive, appropriate attitude
toward compliance with laws, rules and regulations Employees
To
establish and maintain proper internal controls
to provide for the security and accountability
of university resources
To
be aware of the risks and exposures inherent
in their area of responsibility
To
be aware of the symptoms of fraudulent
or other dishonest acts
To
respond to all allegations or indications
of such acts
Q: What is
the OACR responsibility with regard
to the Policy Against Fraudulent or Other Dishonest
Acts?
A: The
OACR has responsibilities in support of the policy.
To
assist unit administrators in strengthening
internal controls
To
serve as the official contact for
reporting fraudulent or other dishonest
acts
To
conduct investigations
To
contact university police for assistance
with suspected criminal activity
To
communicate findings in written reports
to the Board of Trustees, president or
appropriate administrators.
Q: What
about maintaining a complainant’s confidentiality?
A: While in all investigations,
OACR exercises utmost sensitivity to conduct the
reviews as confidential as possible, many allegations
simply cannot be investigated without revealing
directly or indirectly information that may lead
to the complainant. Reprisal against an individual
for cooperating with the OACR is prohibited by
Florida Statutes and by institutional policy.
Q: How
do I submit a complaint to OACR?
A: We encourage faculty, staff
and students, to initially discuss their concerns
with their supervisors. If the concerns are not
adequately addressed or if you prefer an alternative
method for reporting concerns then you should submit
your complaint to the OACR through mail, phone
or anonymously,if you wish, through our Complaint
Hotline.
Complaints
should be addressed to:
Roger Frank
Senior Audit Manager
Telephone: 392-1391 ext.30
Email: rfrank@aa.ufl.edu
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