Hotline - (866) 627-3768
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For general information about Columbia University, please refer to http://www.columbia.edu or call the general phone number at (212) 854-1754.

How do I submit a  Compliance Report?


Columbia University is committed to operating with integrity in full compliance with all applicable laws, regulations, and policies.  The University sets expectations of the highest standards of ethical conduct and is committed to upholding its reputation as one of the top academic and research institutions in the world.  The Compliance Hotline serves as a confidential channel for employees to report or seek guidance on possible compliance issues.

Columbia University relies on you to speak up if you believe that you have observed unethical, illegal or suspicious behavior. When you speak up, you provide the information necessary to investigate and remedy a potentially damaging situation. The University does not tolerate retaliation against individuals who report concerns in good faith.

For additional information, please refer to the Columbia University Non-Retaliation Policy.


Who should use the Compliance Hotline?
Columbia employees who have concerns of any kind stemming from possible noncompliance with federal, state, or local laws or regulations, University policies, errors or irregularities in Columbia's financial accounting practices or policies, such as in connection with the management of grants or the performance of federal contracts, can report them. Such concerns can be raised anonymously and without any fear of retaliation.

When should I contact the Compliance Hotline?
Below are some sample compliance concerns and situations that might prompt a Compliance Hotline Report:

Sample Compliance Concerns:
Examples of compliance concerns include:

  • "One of my co-workers may be improperly using University funds."
  • "I feel threatened by actions in the workplace."
  • "This transaction appears to be a violation of University policy and/or federal regulations."
  • "My supervisor appears to have a conflict of interest."
  • "One of my peers may have falsified research results."
 

Such situations may pertain to:

  • Fraud and financial improprieties
  • Research misconduct
  • Discrimination or harassment
  • Conflict of interest
  • Breaches of confidentiality
  • Inappropriate use of University resources

For general information about Columbia University, please refer to http://www.columbia.edu or call the general phone number at (212) 854-1754.


How do I submit a Compliance Report?

By Phone:

Toll Free:  (866)-627-3768
Available 24 hours a day.

OR

By Internet:

To file a report,
click below:

submit
  How do I receive a status update on a submitted Compliance Report or provide additional information?

By Phone:

Toll Free: (866)-627-3768
Use your case identification number to check the status of a previously submitted report.

OR

By Internet:

To check the status of a previously submitted report, click below:

submit

NOTE: This web submission form should not be used for situations requiring immediate attention. Any allegations relating to a threat against a person(s), property or the environment should be directed immediately to Columbia University Public Safety at (212) 854 – 5555. The office is open 24 hours a day, 7 days a week. If the threat is imminent, you should also consider calling 911.

Similarly, if you have a compliance concern pertaining to someone in the Office of the General Counsel or Internal Audit, please submit your concern via the Compliance Hotline at (866) 627 – 3768.

If you require any additional information, please contact Jeff Kestler, University Compliance Officer at jk@gc.columbia.edu.

What types of information will I need to submit a report?

A report submission initiates a formal investigation process.  In order to ensure that Columbia has enough information to conduct a proper investigation, you will be asked to provide the following types of information:

Type of Issue:
You will be asked to select a category that best fits your issue.

Persons Involved:
You will be asked to provide your name and contact information unless you choose to remain anonymous.  You will also need to provide Information on any people involved in the incident.

Incident Details:
You will be asked to provide basic information regarding the incident.

Attachments:
You may attach files related to the issue being reported.  Any attachments are submitted
with the report as a permanent record.

Case Identification Number
After you file your report, you will be provided a case identification number.

About the Compliance Hotline

The Hotline serves as a confidential channel for employees to report or seek guidance on possible compliance issues.  It is supported by a third party vendor and staffed by professionals.  It is available to Columbia personnel through the telephone and the internet with confidential intake and report handling and options to report anonymously.

 

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