UMass Lowell Compliance Hotline

Compliance Hotline Policies and Procedures

Purpose
   
A University of Massachusetts Lowell Compliance Hotline has been established at 978-934-3100 to provide a means to anonymously report potential compliance violations or suspected wrongdoing. Examples of UMass Lowell activities and operations in which non-compliance may occur include activities such as:

  • Scientific Misconduct such as Fabrication, Falsification and Plagiarism
  • Fraudulent Use of Federal, State or University Funds
  • Safety Laws, Policies and Procedures
  • Conflict of Interest and Ethics Laws and Policies
  • Research Activities Involving Human Subjects, Animals, or Hazardous Materials
  • Activities Subject to Export Control Laws.
The hotline is not intended to handle employee grievances such as work conditions, performance evaluations, hours of work, wages, raises, etc. The hotline has been established for complaints related only to non-compliance with policies and procedures governing research activities and the Federal and state legal requirements for these research activities.  

Confidentiality   
Calls to the hotline are anonymous. Calls go to an on-campus phone extension (978-934-3100) that records the call with no identifying information, unless the caller chooses to leave information to identify him/herself. The Director of Institutional Compliance retrieves the recorded messages and responds accordingly.

Non-retaliation
Employees who call the hotline will not be retaliated against. If an employee perceives that they are being retaliated against after making a call to the hotline, the employee is referred to the appropriate office to file an administrative grievance procedure.

Records Retention   
The Director of Institutional Compliance maintains an electronic log of all hotline telephone calls, which is password protected. The log is kept confidential. 

Investigation Procedures   
The Director of Institutional Compliance will consult with the UMass Lowell Compliance Committee to determine the appropriate response to the complaint and investigate accordingly. 

UMass Lowell Compliance Committee   
The UMass Lowell Compliance Committee is composed of the Provost, Vice Provost for Research, Vice Chancellor of Administration and Finance, Facilities, and Technology, Director of Institutional Compliance, Office of General Counsel representative, Assistant Comptroller, and the Proposal Development Manager.

Other Mechanisms to Report Non-Compliance

  • Visit the UMass Lowell Office of Institutional Compliance at 215 Wannalancit at 600 Suffolk Street.
  • Call the Director of Institutional Compliance at 978-934-3452.
  • Write up a memo and title it "Confidential Report of Concern" and put in intercampus mail or regular mail to the Director of Institutional Compliance at 215 Wannalancit, 600 Suffolk Street, Lowell, MA  01854.