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How to create a compliance hotline report sheet

Compliance Monitor, November 8, 2006

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A hotline report sheet is a one-page form that outlines the essential information an operator needs to get from a caller during a compliance hotline call. Each sheet has its own serial number so each call can be tracked. Hotline operators must fill out a sheet every time they field a call, says Alex Schillaci, Deloitte & Touche, in Stamford, CT.

The operator who answers a hotline call fills in most of the report sheet for that call. The operator then sends the report sheet to the compliance officer or other designated contact.

The report sheet should include a confidentiality warning, case serial number, date, time, and operator's name.

Make sure the report sheet also denotes the caller's acknowledgement of right to anonymity and whether the caller releases his or her identity or not.

Note the material facts of allegation or concern along with promises or representations, follow-up arrangements, and information about whether the problem has been resolved.

If the information needs additional follow up, make sure the operator indicates the date and time, and person to whom the sheet was forwarded. And also have the recieving person note receipt of the log.

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