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Complaint Review

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.

The following will help to introduce you to this OACR service:

RECEIPT OF COMPLAINT:

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. The UF Compliance Hotline provides information on the 24/7 complaint intake program administered by the Network®, contracted service vendor.


OVERVIEW OF INVESTIGATION REVIEW PROCESS:

Preliminary

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

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.

These are:

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.

These are:

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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Tel: (352) 392-1391
Fax: (352) 392-3149
Office of Audit & Compliance Review
341 Tigert Hall, P.O. Box 113025, Gainesville, FL 32611
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