Faculty using 'whistleblower hotline' to ensure good ethics

By Mary Georgevich

The university has contracted with an outside company to provide a "whistleblower hotline" to which faculty and staff may report any suspected or observed unethical behavior by other members of the faculty or staff.

The university hired EthicsPoint, whose Web site states, "EthicsPoint's goal is to ensure that you can communicate issues and concerns associated with unethical or illegal activities safely and honestly with an organization's management or the board of directors while maintaining your anonymity and confidentiality."

"Basically it's a whistleblower hotline," said Harry Fong, associate vice president for finance and risk management. "It is a different tool for personnel to report any observed or suspected issues that have to do with ethics or personnel behavior."

Fong said that previously, faculty and staff had been instructed to report any suspicions to their supervisors.

Fong said changes stemmed from the audit committee of the board of trustees, who asked the university to find an outside source for a whistleblower hotline in order to comply with 2002's Sarbanes-Oxley Act, which has to do with regulating corporations.

EthicsPoint will serve as a middleman between the whistleblower and Santa Clara once something is reported.

"It's passed on to somebody on campus," Fong said. "And we're obligated to investigate it." He said there were a number of people who would investigate reported incidents, depending on the type of incident.

"If it's a human resource problem, then human resources would be notified. If it's something with finance, then it would be the finance department investigating," he said.

If the investigator has more questions, then they are allowed to ask the reporter through EthicsPoint, Fong said.

"If the reporter decides to remain anonymous, then they're allowed to retain that anonymity," he said.

EthicsPoint could not be reached for comment.

University President Paul Locatelli, S.J., sent an e-mail to faculty and staff at the end of last quarter announcing the new source for reporting any issues.

He wrote, "We strive to foster a work environment that is safe, secure, and ethical."

Of the new method, Locatelli stated it "allows you to more effectively communicate your legitimate concerns regarding suspected behavior, misconduct, or situations that are not conducive to a positive work environment."

Contact Mary Georgevich at (408) 554-4546 or mgeorgevich.com.