The Compliance Office monitors the Ethics and Compliance Hotline, which provides an additional mechanism for reporting potential safety, policy, and/or ethical behavior violations while allowing Jefferson County Commission employees to report anonymously. The system also allows a third party to complete an online questionnaire (www.jccal.ethicspoint.com) or make a confidential telephone call to the hotline number (844-759-0034). Employees have the option to self-identify or report anonymously. 

When determining whether to self-identify or remain anonymous, consider the nature of your complaint. For example, if a reporter becomes aware of a potential violation that impacts the safety of others, reporting anonymously would be appropriate. On the other hand, if a reporter is sexually harassed, self-identifying may be best.

We value your opinions and encourage you to use this system to report any issues, concerns, questions, or suggestions you feel are appropriate to bring forward. If you have any questions about the Ethics and Compliance Hotline, please do not hesitate to contact the Compliance Office at 205-325-5535 or via email at compliance@jccal.org

A workplace investigation generally includes the following roles:

• Complainant: Individual(s) making the complaint.

• Respondent: Individual(s) implicated or accused in the complaint. 

• Witness:        A person who has knowledge of events from personal observation or experience. The complainant and the respondent may identify witnesses. 

• Investigator: The investigator should be an objective party. A Compliance Business Partner will conduct any investigation.

The Compliance Office and Jefferson County Commission reserve the right to take reasonable actions to investigate and address complaints and other workplace concerns brought to their attention, including reviewing video and electronic systems and other sources of available evidence. If an employee reporting a possible policy violation does not wish to pursue a complaint or proceed with an investigation, the Compliance Office may independently decide to investigate.

The Harassment and Retaliation Administrative Order strictly prohibits retaliation against any employee who reports or inquires in good faith about what the employee believes to be wrongful or unlawful activity, encourages another employee to make a complaint, or participates in an investigation or proceeding of such activity.

The exact steps involved in any workplace investigation may vary depending on the case's specifics. What follows is an example of steps taken in a typical workplace investigation. Note that the process could vary depending on each specific case.

1. The complainant makes a formal complaint using www.jccal.ethicspoint.com. Employees may also schedule a private and confidential consultation with a Business Partner in the Compliance Office who will assist with their concerns.

2. If provided, the Intake Coordinator interviews the complainant and reviews supporting evidence. If the Intake Coordinator determines that an investigation is necessary, they will notify the complainant and the appropriate department leadership accordingly.

3. If it is determined that an investigation is not necessary, the complainant will be notified.

4.The Compliance Business Partner collects information by interviewing the complainant, the respondent, and witnesses.

5. The Compliance Business Partner determines facts and findings after reviewing the information collected in the interviews and the evidence provided by participants.

6. The Compliance Manager and the Chef Compliance Officer review all findings.

7. The Compliance Business Partner communicates findings to appropriate department leadership and recommendations for next steps.

8. The complainant and respondents are informed of the findings and next steps.

To protect the investigation's integrity, all participants must sign a confidentiality agreement before any interview begins. During investigation interviews, the complainant, respondent, and witnesses can present information and material related to the situation.

The investigator will ask questions about the complaint, listen, and take notes. They will ask for the names of other individuals who may have information or knowledge of the situation and what happened. If necessary, the interviewee will also be able to respond to the information that will be relied upon and other information gathered.

The exact timeline is case-specific. Workplace investigations are approached as expeditiously as possible while ensuring the necessary due diligence. Complainants may contact the investigator to receive updates regarding the timeline.

The findings will be determined based on a preponderance of the evidence, which is supported by the greater weight of credible information gathered during the investigation. The Compliance Business Partner will discuss the findings with appropriate departmental leadership and provide consultation to determine the next steps. Recommendations, which are generally offered regardless of the investigation's outcome, may include, but are not limited to, training, adjustments to procedures, corrective action, etc.

Both the complainant and respondent will be informed of the outcome of the investigation. However, if corrective or disciplinary action is required, those details will only be shared with the person receiving the action and will not be disclosed to the other parties. Once the investigation is closed, all matters (e.g., interview notes, case reports, etc.) are submitted to the County Attorney’s Office.

Q: Why should I report what I know?

A: We all have the right to work in a positive environment. With that right comes the responsibility of acting ethically and speaking up if someone is not acting appropriately. By working together, we can support a healthy and productive environment. Employee misconduct can threaten the business success and reputation of Jefferson County Commission.

Q: Does Jefferson County Commission really want me to report?

A: We certainly do. We need you to report. You know what is going on in the County - good and bad. You may know about an activity that may cause concern. Your reporting may minimize the potential negative impact on the County and its people. Also, offering positive input may help find issues that need correcting to improve our culture and performance.

Q: What may I or should I report to the Ethics Hotline?

A: You may report any actual or suspected violation of the law, policies, or ethical concerns. However, if you are an employee, we suggest you consult your manager or Department Head first. Contact the Compliance Office if the matter violates legal, regulatory, safe working conditions, or government requirements.

Jefferson County seeks to prevent improper conduct and detect occurrences. We can also answer questions and respond to concerns you may have about compliance, ethics, and the requirements specified in the County’s AOs, rules, policies, and regulations. Please get in touch with us even if you are in doubt about whether the matter should be reported.

Q: What is a "Reporter?

A: A Reporter is an employee who offers information or raises a concern in good faith about suspected misconduct, mismanagement, waste of resources, and/or abuse of authority within the County. “Good faith” does not mean that you are correct. It just means that you honestly believe it to be true.

Q: Does Jefferson County Commission have a policy against Retaliation toward the Reporter?

A: The County recognizes it has an obligation to Reporters, who are subject to retaliation or fearing such consequences because of raising concerns in good faith. There are three ways in which the County addresses this for Reporters: (1) you may choose to remain anonymous when reporting suspected misconduct or raising concerns; (2) you may request to have your identity kept confidential during the investigative process; and (3) as a deterrent, the County prohibits retaliation against anyone who makes a report in good faith.

Anyone who seeks advice or raises a concern in good faith is doing the right thing. Retaliation against anyone who raises concern in good faith will not be tolerated. “Good faith” does not mean that you are correct. It just means that you honestly believe it to be true.

Q: Do I have to take part in any investigation?

A: Yes. You will be requested to cooperate in an investigation. You must cooperate in an investigation. This means you must make yourself available to help with investigations, be truthful and forthcoming with investigators, and supply complete, correct information.

Additionally, you must exercise confidentiality about the subject matter of the investigation.

Q: What information should I be prepared to give when making a complaint?

A: Your report should tell us (1) what happened, (2) when it happened, (3) where it happened, (4) who was involved, (5) what was done and/or said, (6) whether there were any witnesses other than you, (7) how other parties can be contacted, and (8) what documents or other evidence may support your report. To protect the reputation and privacy rights of all parties, and to promote due process and the fairness of investigations, the information you supply must be as correct as possible and given in good faith.

“Good faith” does not mean that you are correct. It just means that you honestly believe it to be true.

Q: Are reports confidential?

A: Information about a report or an investigation is confidential and disclosed only on a need-to-know basis or as necessary to comply with applicable laws or regulations. The people who need to know may vary depending on the situation, but can include Department heads or Directors, the County Manager’s office, the County Attorney’s Office, and individuals tasked with investigating the matter.