EthicsPoint — Frequently Asked Questions

EthicsPoint is a confidential reporting tool that provides members of the University at Buffalo community with a simple, risk-free, anonymous way to report inappropriate, unethical, or fraudulent activity and violations of university policies, or state and federal laws. EthicsPoint, a subsidiary of NAVEX Global, is the third-party provider of the reporting tool.

EthicsPoint offers both telephone and web-based reporting options:

• EthicsPoint secure website:  www.buffalo.ethicspoint.com
• EthicsPoint confidential hotline:  844-678-0455 toll-free within the U.S., Canada, Puerto Rico and Guam; available 24 hours a day, 7 days a week

Telephone and web-based reporting options help ensure that members of the campus community can file a report anonymously.

No, EthicsPoint is not for reporting emergencies. For reporting threats to life, personal safety, or theft of personal items, call 716-645-2222 to reach University Police or 911 for off-campus emergencies.

Spam, phishing and other online security issues should be reported directly to Information Technology.

A confidential and anonymous reporting system augments the university’s efforts to foster a culture of integrity and ethical decision-making. Reporting allows UB to investigate and address situations that negatively impact the university community. And although direct discussion with one’s supervisor and other existing channels of communication are preferred methods for raising concerns, in some circumstances individuals prefer to remain anonymous while expressing concerns about potential noncompliance.

Reporting practices in higher education institutions are increasingly important, and EthicsPoint provides us with an additional tool to effectively manage risks that are unique to the university environment.

Any member of the UB community who knows of a potential violation of university policies or procedures, or federal, state, or local laws is encouraged to report such conduct.

Members of the UB community can report any concern involving UB. The following categories can assist the reporter in framing their concern. Please note that this is not an all-inclusive list.

You may report any concern anonymously and confidentially using EthicsPoint, via telephone or website:

• EthicsPoint secure website:  www.buffalo.ethicspoint.com
• EthicsPoint confidential hotline:  844-678-0455 toll-free within the U.S., Canada, Puerto Rico and Guam; available 24 hours a day, 7 days a week

Reports will be directed to the appropriate university official for investigation. Reports will not be directed to an individual who is named within the report.

After you complete your report, you will be assigned a unique code called a “report key” and asked to choose a password. Write down your report key and password and keep them in a safe place. This information will allow you to log in at any time, from any place, and follow-up on your report. It will also allow you to anonymously access and answer follow-up questions from the university if you are comfortable doing so.

Yes. Ethical conduct is the most important core value of the UB community. Unethical conduct hurts our community, including our faculty, staff and students. If you are aware of misconduct or ethical violations, UB wants to know about those concerns and determine how best to address them.

We strongly encourage you to speak with a supervisor. If you fear retaliation, you should file a report. EthicsPoint can help you prepare and file your report so that it can be properly understood. We would rather be alerted to a situation that turned out to be harmless than let possible violations go unchecked because you weren’t sure.

No. You only need a good faith basis for your concern. A good faith concern does not require complete information. UB will review the facts and review the matter in detail based on the information that you provide.

If possible, you should investigate the matter. If you are unsure how to investigate the matter, contact Employee Relations, Equity Diversity and Inclusion, or Internal Audit for assistance. If you determine that the matter can be addressed internally, be sure to document the action taken and discuss the results with the employee, if appropriate, so that they understand how the matter has been addressed. If the concern involves your own conduct and cannot be resolved through discussion with the employee, you should contact Employee Relations. You also have the option of submitting the matter to EthicsPoint.

Reports are entered directly on the EthicsPoint secure server to prevent any possible breach in security. You can submit a report through the secure web page or phone line. If you choose to file a report using the toll-free number, a third party (NAVEX) intake specialist will enter the information in the EthicsPoint system on your behalf.

EthicsPoint makes these reports available only to specific individuals at the university who are charged with evaluating the report, based on the type of potential violation and location of the incident. Each report recipient has had training in keeping this information in the utmost confidence.

How does EthicsPoint maintain callers’ anonymity?

• EthicsPoint does not generate or maintain any internal connection logs with IP addresses, so information linking your PC to EthicsPoint is not available. EthicsPoint is contractually committed not to pursue a reporter’s identity.
  
  
• If you feel uncomfortable making a report on your work computer, you have the option of accessing the EthicsPoint secure website from outside of work. It is important to use a secure internet connection to ensure complete anonymity.

When completing a report through the EthicsPoint website or phone number, you receive a unique username (“report key”) and choose a password. The report key and password allow you to return to EthicsPoint to check your report for comments or follow-up questions. Meanwhile, EthicsPoint notifies the appropriate designated university administrator that there is a report posted to a secure access site on the EthicsPoint system.

The EthicsPoint distribution process is designed so that a report is not shared with implicated parties or their subordinates. If a university administrator is implicated, the report is available only to certain other university administrators.

When you file a report through EthicsPoint on the website or phone number, you receive a unique username (“report key”) and are asked to choose a password.

You can return to EthicsPoint again, either by internet or telephone and use your report key and password to access the original report, answer any questions posed by an incident manager, and add further information to help resolve open issues. We encourage you to return to EthicsPoint within ten business days of filing your report to answer follow-up questions. Through the EthicsPoint secure platform, you and the university can enter into an anonymous dialog called EthicsChat where you can clarify your situation. In an EthicsChat session, you will be identified as “reporter” to the university incident manager.

EthicsPoint provides a clear channel of communication for good faith concerns, and it is also structured to focus the report on specific, defined university compliance problem or issue. Reports to EthicsPoint help us ensure that UB is a safe, secure, and ethical place to work and learn. Although this system can be misused, we rely on integrity and good intentions of reporters to avoid frivolous or erroneous reports.

Good faith inquiries and reports are essential for the effective functioning of the university, and therefore, the administrators and incident managers affiliated with EthicsPoint take reports seriously. Depending on the nature of the complaint, investigation, and resolution, the university may not be at liberty to reveal the results to the reporter or to others who have participated in the investigation.

UB understands that there may be times when you want to make a report but do not want to be identified by your manager or colleagues as having raised a concern. You are free to use EthicsPoint to make a complaint anonymously. If you make an anonymous complaint, you must be sure to provide enough information for UB to understand your concern and conduct a thorough review and take action if appropriate. It is important to note that UB prohibits retaliation against any person who has raised a concern in good faith about a violation of a law or policy. Good faith means that your concern is supported by a sincere belief based on the facts known to you at the time.

UB uses a third party to manage EthicsPoint. EthicsPoint is committed contractually not to pursue a reporter’s identity. As a result, EthicsPoint does not record IP addresses and does not have access to or store any information related to the source of incoming telephone calls; therefore, EthicsPoint cannot trace a report back to your computer or phone. If you remain concerned about your anonymity, consider making a report from a public phone or a private phone that is unlisted or where you can block your called ID, or reporting the complaint via computer from a non-UB location.

You can file an EthicsPoint report from any computer that can access the internet, including home computers. An internet portal never identifies a visitor by screen name and the EthicsPoint system strips away internet addresses so that anonymity is maintained. EthicsPoint is contractually committed not to pursue a reporter’s identity. 

UB will not learn your identity from EthicsPoint if you file an anonymous report. In some circumstances, however, your identity may nevertheless become apparent. For example, this may occur where the particular facts of a report suggest that it must have come from one person, or the reporter’s identity becomes clear during the course of investigating the report. You will want to take care in how you report concerns. You may inadvertently provide background information that provides clues to your identity by using phrases in your report such as “From my cubicle next to Jan Smith…” or “In my 33 years…”

In all cases, UB forbids retaliation based upon making a good faith report and provides resources to assist reporters concerned about retaliation.

There is a section in the report for you to identify yourself if you wish to do so.

Investigations are sometimes more effective if the investigator knows who the reporter is and able to converse directly with the reporter to obtain information and clarification throughout the course of the investigation. EthicsPoint provides a mechanism that enables investigators to post questions or comments to the reporter, but this approach is not as effective as a live conversation.

There are many options to make a report of suspected or actual misconduct, depending on the concern and what makes you feel most comfortable. Regardless of the method you choose, it is important to speak up when you see wrongdoing or have concerns that someone has violated the law or university policies.

The university encourages employees to attempt to resolve concerns or work-related issues with supervisors through established channels whenever possible. However, if making a report to a supervisor is uncomfortable or inappropriate, other reporting options are available.