Ethics Line Information - USG

Ethics & Compliance Reporting Hotline

Helpful information regarding the USG’s Ethics Line

Ethics Line Information – 2020A component of the USG’s Comprehensive Ethics &

Compliance Program

Overview

• The Ethics Line continues to be a critical element of the USG’s comprehensive Ethics &

Compliance Program.

• Significant cases of fraud, waste and abuse and significant policy violations were addressed

as a result of the Ethics Line.

• The cases received added value as demonstrated by an almost 38% substantiation rate (cases

in which corrective action was taken). An increase from 32% for last year.

• Continuing decrease in the average number of days to close a case. The average days to close

cases for 2019 was 47 days – the lowest since the USG began operating an Ethics Line.

• A total of 891 cases were received in 2019 which is moderately above the benchmark for

comparable organizations. The total count is down from 2018, where the USG had a total of

991 cases.

• The increase in cases from 2019 is due largely to the continued higher than normal Ethics

Line cases from one institution (the Georgia Institute of Technology).

Why We Have an Ethics Line

Proven Tool to prevent Fraud, Waste and Abuse➢ Org. with ethics lines experience frauds that on average are: 41% less costly

and are discovered 50% more quickly➢ More fraud is discovered through employee tips than from any other

source. (40% vs 15% management review).

Part of USG Ethics & Compliance Program➢ Promotes compliance with policies, regulations & laws;➢ Part of the Federal Sentencing Guidelines requirements;➢ Protects the USG where Federal funds are involved; (can reduce fines up to

60%)➢ Helps to promote an ethical culture

Having an Ethics Line is a Best Practice

➢ Can reduce liabilities and lawsuits

➢ Protects our most valuable asset: our reputation

➢Helps to retain personnel and maintain morale

➢Allows institutions an opportunity to correct problems that might otherwise not be reported

Managing Risk / Best Practices

What an Ethics Line is NOT:

1. Does not replace existing reporting mechanism.

2. Does not duplicate other review procedures.

Not a tool to be used to:

1. Embarrass co-workers or supervisors

2. Discredit others or settle old scores

Where the Ethics Line Fits In

How many cases were reported each year?

303 290 294336

454499 476 502

626 607

991891

0

200

400

600

800

1000

1200

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019

Case Totals Per Year

7

Comparison of Cases Received Thru August 25th

567 553

2019 2020

Complaint Categories for 2019

7%

30%

10%

15%

15%

7%

12%

4% Academic Misconduct

Conflict, Harassment or Discriminationinvolving Supervisor

Employee conflict of interest

Fraud, Waste, or Abuse of Resources

Other

Poor customer service to students

Unhappy with employee services orconditions

Unsafe conditions

Change in Complaint Category2018 to 2019

302

97

167

8156 66

255

83

130

58

18

105

0

50

100

150

200

250

300

350

Conflict, Harassment orDiscrimination involving

Supervisor

Employee conflict ofinterest

Fraud, Waste, or Abuseof Resources

Poor customer service tostudents

Recommendation forImprovement

Unhappy with employeeservices or conditions

Largest change in complaint categories 2018 to 2019

2018 2019

Top 4 Reporting Categories Since 2015

190

144118

302

255

46

141113

167130

72110

130

81105

6495

6397 83

0

50

100

150

200

250

300

350

2015 2016 2017 2018 2019

Conflict, Harassment or Discrimination involving SupervisorFraud, Waste, or Abuse of ResourcesUnhappy with employee services or conditionsPoor customer service to studentsEmployee conflict of interest

Change in Complaint Category2017, 2018, & 2019

118

36

113

63

8

130

302

97

167

8156 66

255

83

130

58

18

105

0

50

100

150

200

250

300

350

Conflict, Harassment orDiscrimination involving

Supervisor

Employee conflict ofinterest

Fraud, Waste, or Abuseof Resources

Poor customer service tostudents

Recommendation forImprovement

Unhappy with employeeservices or conditions

Largest change in complaint category 2017-2019

2017 2018 2019

Anonymous vs. Named Complainants

70%

74%

67%

30%

26%

33%

0% 10% 20% 30% 40% 50% 60% 70% 80%

2017

2018

2019

Named Anonymous

What is the substantiation rate for all institutions?(substantiation rate of closed cases for all institutions)

32.12% 32.67%37.90%

0.00%

10.00%

20.00%

30.00%

40.00%

50.00%

60.00%

70.00%

80.00%

90.00%

100.00%

2017 2018 2019

Corrective Action Taken

Top 5 Substantiated Complaint Categories (2019, with 3 year comparison)

38%

58%

31% 28% 30%

51%

42%

27%33%

19%

70%

57%

43% 42% 40%

0%10%20%30%40%50%60%70%80%90%

100%

Breach of Privacy Unsafe conditions Employee conflictof interest

Unhappy withemployee services

or conditions

AcademicMisconduct

Top 5 Substantiated Complaint Categories 2017-2019

2017 2018 2019

Average number of days to close since 2012

119

87 88

77 78

48

77

47

0

20

40

60

80

100

120

140

2012 2013 2014 2015 2016 2017 2018 2019

The End