Policy GBA - Board of Education Hotline

Policy GBA-Board of Education Hotline (PDF)

Issue Date: October 20, 2021


 

Establishment of Hotline

The Board of Education has established a hotline to provide an avenue for citizens, including District employees and contractors, to report improper governmental activities including:

  1. Waste or misuse of public funds, property, or manpower
  2. Violations of a law, rule, or regulation applicable to the government
  3. Gross mismanagement
  4. Abuse of authority
  5. Unethical conduct

Utah Admin. Rules R277-13-6(2) (November 10, 2020)

Fraud, Waste, Abuse Hotline Complaint Procedures:

Complaints may be submitted through any of the following avenues:

Email: This email address is being protected from spambots. You need JavaScript enabled to view it. – this is a dedicated email just for hot lines

Phone: 801-538-7813 – this is a dedicated line just for hotlines.

US Mail:         Director of Internal Audit

Utah State Board of Education PO Box 144200

250 East 500 South

Salt Lake City, Utah 84114-4200

In-Person: by visiting the offices of the Internal Audit Department at the   

Utah State Board of Education (see address above).

Direct Webpage submission: Report Fraud, Waste, or Abuse Form tab at https://schools.utah.gov/internalaudit

 

Filing a Complaint

Complaints should be submitted in writing using the attached form. Complainants should also submit any evidence that supports the complaint. Essential information includes specifics on “who, what, where, when” as well as any other details that may be important such as information on other witnesses, documents, and pertinent evidence. Due to limited resources the Board of Education is unable to accept complaints that are not supported by evidence or provide a means for us to investigate the problem further. At a minimum, please use the form as a guide to ensure the necessary information is provided. Submit complaints via the following methods:

Email: [hotline email address]

US Mail: [hotline mailing address]

Complainants may call the hotline at [hotline phone number] for more information.

Processing of Hotline Complaints

  1. After receipt of the complaint, the [internal auditor] will review the allegation and any evidence provided by the complainant. The list below represents some of the factors that are considered during the screening and prioritization process.
    1. Does the complaint involve actions by a person subject to the Board of Education’s authority?
    2. Does the complaint pertain to improper governmental activities? Disagreements with administration decisions or actions taken by Board members that are within the law will not be investigated.
    3. Has the complainant taken appropriate steps to resolve the issue with the District? If the District is not responsive, the concern relates to District administration, or the complainant desires anonymity, consideration will be increased.
    4. What is the timing and frequency of alleged improper activity? Allegations of improper activities that are recent and/or on-going may receive a higher priority.
    5. Should the allegation be investigated by another entity? Are there other agencies that have oversight of the complaint? Is a member of the Board of Education or the audit committee being accused?
    6. Can the complaint be efficiently and effectively investigated? Overly broad or vague complaints or complaints where evidence is unavailable may be declined or receive a low priority.
  2. The [internal auditor] communicates to the Audit Committee: 
    1. The allegation of the complaint
    2. Any facts supporting or refuting the complaint
    3. A recommendation based upon preliminary inquiry
  3. The Audit Committee decides the appropriate next action (if a member of the Audit Committee is the subject of the complaint they may not be included in this process):
    1. Discontinue the investigation
    2. Continue with the investigation
    3. Refer the investigation to another agency
  4. If the investigation proceeds, the Audit Committee sets the following:
    1. Time and resource budget
    2. Scope of the audit
  5. [internal auditor] completes the audit
  6. [internal auditor] creates a report outlining the work performed and conclusions
  7. [internal auditor] provides the report to the Audit Committee
  8. The Audit Committee reports investigation results to the Board of Education (if a separate audit committee exists).
  9. The Board of Education addresses any findings noted in the report

Whistleblower Protection

Utah Code § 67-21-3 prohibits public employers (such as the District) from taking adverse action against their employees for reporting government waste or violations of law in good faith, to the appropriate authorities. A District employee is presumed to have communicated in good faith if the employee has given written notice or otherwise formally communicated the conduct to the Board of Education, a member of the Board of Education, the Superintendent, or to a government official with authority to audit the District.

Utah Code § 67-21-3(1)(a), (b)(vi) (2020) 

 

HOTLINE REPORTING FORM

Email completed form to:

[hotline email address]

or Mail to:

Board of Education of ___________ School District

Attn: [internal audit]

[Board of Education mailing address]

Complainant Information:

Complainant to remain anonymous?     Yes   ____ No _____

Complainant would like a response?      Yes   ____ No _____

Complainant Name:      _______________________________

Check One

Elected Official                _____

District Employee           _____

Citizen/Contractor          _____

Date Submitted          ___________

            Home Address           _______________________________________

            Phone/cell/email      _______________________________________

            Work Address and information (if applicable)      _________________

            _______________________________________________________

            _______________________________________________________

Information Concerning the Complaint (Please complete one form for each separate complaint)

Each improper action should be noted separately and supported with reliable and sufficient evidence. Supplying detailed information contributes to a thorough and efficient investigation. This form is designed to help you supply the needed information.

Who is the person(s) the complaint is against?  (Please provide name, position, and phone #)

Who is the above person’s supervisor? (Please provide name, position, and phone#)

What is the assertion of improper governmental activity? Please describe in detail.  

  

When did the event(s) take place?  Please include dates, time, and frequency.

Where did the event(s) occur?

Are there any other persons who might provide information or who witnessed the event?  If so, what are their names, positions, and their contact information?

Is there evidence that can be examined or documentation that can be reviewed?  (Please provide any available documentation)

How do you know about the improper action? Did you see it occur? Did you see documentation indicating it occurred? Did you hear about it from someone else?

What specific law or state regulation has been violated?

Please attach to the email supporting documentation, details and ANY and ALL other information available to support the complaints or concerns.

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