COMPLIANCE CHATTER

Manager Series

The Office of University Compliance receives reported concerns about a variety of issues. Sometimes issues related to employee conduct are referred to managers/supervisors as they are they are often best-suited to review and address them.

The Office of Employee Relations can assist managers/supervisors with conflict resolution, grievance processing and the adjustment of other workplace disputes that are governed by collective bargaining.

Any discussions or actions that may result in discipline must first be discussed with Employee Relations.

A review includes reading the reported concern and information provided by the Office of University Compliance, and deciding what other information you need or actions you may need to take. This may include, but is not limited to:



• Talking to employees involved to better understand the circumstances
• Reviewing the information and deciding there is no further action needed
• Having a conversation with an employee to ensure they understand your expectations and the policies and procedures implicated and/or
• Taking a more formal approach with the assistance of Employee Relations to investigate the matter and/or institute formal counseling, corrective or disciplinary action.

At the end of the review, you as the manager/supervisor should feel satisfied that the concern has been addressed and resolved.

Once the review has been completed, University Compliance will document that the matter is closed. This means that University Compliance will need you to share the outcome of your review and any actions taken.

University Compliance has the ability to correspond with reporters through the REPORTLINE while they maintain their anonymity. If you have any questions for a reporter who sends a concern through the REPORTLINE, you can ask University Compliance to post follow-up questions, ask for additional documentation, or supply resources to the reporter. While a reporter may not respond to the request, University Compliance can confirm when a reporter has received the communication through the system.

There are several things to be mindful of as you manage a reported concern.

Discuss the University’s Non-Retaliation Policy

Fear of retaliation is a concern for reporters, so it’s important to do what we can to prevent retaliatory behavior and make everyone aware of the University’s Non-Retaliation Policy. If you meet with employees as a part of the review process (whether witnesses or the subject of the concern), discuss the University’s Non-Retaliation Policy. This helps employees know that the University encourages good faith reporting of concerns and that retaliation against any individual who does so is strictly forbidden; it also signals that you take this responsibility seriously.

Maintain Privacy

Keeping the information related to the review private helps build confidence and trust in the process. Additionally, ask any employee you meet with to also keep the matter private. In general, information should only be shared with those who have a “need to know” in order to review and address the concern.

Documentation is Key

Keeping notes related to your meetings or your actions to be able to refer to later is good practice. If you counsel an employee and give them with clear expectations, it’s helpful to also provide that in writing so that everyone is on the same page and can reference it when needed.

Provide Resources to Employees

Resources such as the UConn Employee Assistance Program, the UConn Health Employee Assistance Program and the University’s Ombuds can provide support and guidance to employees in a confidential manner. Share these resources and encourage their use.

University Compliance is Always a Resource for You

When in doubt, just reach out. For more information on the reporting process and University Compliance’s investigation protocol, please visit compliance.uconn.edu.

Additional artwork provided by flaticon.com