Guide to Reporting a Concern or Complaint

The following information was developed to assist in determining where to report a particular type of concern or complaint. This information is provided to assist UNT Dallas employees in directing any question, concern, or complaint they may have pertaining to any type of alleged inappropriate act, conduct, or compliance with federal or state laws or UNT Dallas policies.

The first step should always be to resolve the question, concern, or complaint using the supervisory chain-of-command. If the issue involves someone in the supervisory chain, employees should report the matter to the next higher supervisor, manager, or unit head, however, when in doubt you may always contact any of the units listed in this guidance:

  • Internal Audit
  • Human Resources
  • Office of Equal Opportunity
  • UNT Dallas Police
  • Institutional Compliance

If the unit contacted is not the appropriate point-of-contact for the particular issue being raised, the contacted unit will refer the issue to the appropriate UNT System or UNTD unit for resolution. We sincerely hope that this guidance is truly beneficial in identifying the appropriate unit to report your question, concern, or complaint to.

UNT Dallas Policy 4.013 – Employee Responsibilities and Rights under the Institutional Compliance and Ethics Program

Self Reporting

Employees are also encouraged to self-report significant compliance failures for which they may be personally responsible. This does not include an isolated one time issue such as failing to punch a time clock. Self-reporting does not allow them to escape responsibility for their actions, however such reporting may mitigate any disciplinary action imposed.

False-Reporting

False Reporting Reminder:  Intentionally making a false report regarding compliance and non-compliance is a serious matter that can constitute grounds for disciplinary action including dismissal.

Employee Reporting Rights and Protection from Retaliation

All UNT Dallas employees have the obligation to report suspected compliance failures to the appropriate administrative authorities. They also have the right to report suspected compliance failures to the appropriate state or federal regulatory agency that monitors compliance with the particular regulatory requirement. University administrative authorities include an Auditor, Equal Employment Opportunity Officer, Human Resources Generalist, Legal Counsel, a UNT Dallas Compliance Officer, Vice Presidents, Deans, Department Heads, Directors, or other management.

Employees who report or cause to be reported compliance failures in good faith shall be protected from retaliation. Additionally, employees assisting in any investigation by authorized or responsible parties of known or suspected violations of laws, rules, regulations, policies and/or procedures, or improper activities shall be protected from retaliation. Anyone who retaliates against an employee who reports a compliance failure in good faith or assists in an investigation shall be subject to disciplinary action including dismissal.

Employee Responsibilities

All University employees are responsible for:

  • adhering strictly to federal and state laws as a condition of employment.
  • Participating in periodic training on ethics, compliance, and on the legal topics that relate directly to their job functions.
  • reporting suspected non-compliance with applicable federal and state laws.

Each UNT Dallas employee may have specific compliance expectations that are defined by their job duties. Each UNT Dallas employee may be certified as proficient in the compliance function related to their job duties by completing training offered by a UNT Dallas business unit including but not limited to the following: Computing and Information Technology, Equal Opportunity Office, General Counsel, Human Resources, Internal Audit, Institutional Compliance, Office of Research and Economic Development, Risk Management Services, and UNT Dallas Police. Failure to complete required training within time frames specified by law may result in sanctions.

Management Responsibilities

All University management is responsible for:

  • being knowledgeable of federal and state laws that impact on their business units.
  • informing their employees of the specific regulatory requirements that apply to their job functions.
  • recommending or providing training that employees need to remain in compliance with the law.
  • participating in the responsibility for compliance implementation and enforcement within their units.