1 W elcome to The University of Texas Pan American’s Institutional Compliance Program by Compliance Support Services

2 Today we will talk about…   What compliance means at UTPA   Why compliance programs exist   Points Dr. Cardenas made   Introduction to the Compliance Program And most important   Answer any questions that come up as we go along

3 What does Compliance mean? Merriam Webster defines compliance as:  an act or process of complying with a demand or recommendation  observance of official requirements What does it mean for all of us at UTPA? It means “Doing the Right Thing” Reference: compliance. (n.d.). Merriam-Webster's Medical Dictionary. Retrieved August 27, 2007, from Dictionary.com website:

4 Why Do Compliance Programs Exist? State and Federal Statutes   United States Sentencing Guidelines – Provides maximum penalties to guilty organizations that do not meet standards defined by law to prevent wrongdoing.   Whistleblower Act – Provides large financial rewards to (ex)employees who have tried without success to address wrongdoing through institutional processes, and/or met with retaliation after trying.   Sarbanes Oxley – Increases liability of board members for institutional wrongdoing. UT System   Various experiences at some of the larger campuses UTPA   ELI money taken, NCAA probation approx 10 – 15 years ago

5 Story Dr. Cardenas Shared Told a story from personal experience long ago. The gist of the story is a significant misuse of agency funds with the potential for negative publicity and loss of public faith in the program Key points in the story:   “You’ve told me about this now. It’s not your problem now- it’s mine now.”   First step - explore and verify facts before acting   Agency staff stonewalled her, but she persisted   Ultimately succeeded with help of her boss and investigative resources at his disposal Bottom line - Dr. Cardenas stressed that the agency was never sidetracked from its mission

6 Points Dr. Cardenas Made UTPA is a precious asset to this region, it is gathering momentum. We must not let it become sidetracked by compliance issues. We have a responsibility to recognize and address compliance questions quickly and effectively.   These questions will always come up for the simple reason that we all make mistakes. Point is – if we fix mistakes quickly and effectively, UTPA - will never be sidetracked from its mission because of them.

7 Dr. Cardenas Request Please learn about the spirit as well as the letter of our compliance program. It is fundamentally a problem solving tool, not a policing mechanism.   Becomes policing mechanism if we fail to use it correctly; if we fail collectively to correct mistakes and problems quickly and effectively. Her request to the campus community is learn to use this program correctly, in the appropriate spirit, as the problem solving tool it is designed to be.

8 Compliance Program- Introduction Mission of the program To fulfill our responsibilities to the people of Texas in an environment based on ethical behavior and compliance to laws and rules. (HOP 2.4.1A) The gist of it is simple: UTPA is moving from “We assume compliance” to “We assure compliance” as we do our work every day.

9 Compliance Program- Introduction How Our Program is Different Mr. Langabeer’s first reaction - its everyone’s job   Rejected idea that “you work, we make sure you comply” (HOP A) What UTPA employees taught us (HOP B3)   We raise compliance questions (don’t “report suspected non-compliance”) The Spirit of the Compliance Function (HOP G)   To explore and evaluate compliance questions with the aim of improving the overall level of compliance at the University

10 Compliance Program- Introduction Difficult Compliance Questions (HOP C) (Another lesson UTPA employees taught us) Difficult compliance questions are not common, but are important to understand   Happen when management is inattentive to compliance questions and/or overrides the efforts of others to address them.   These are the issues likely to do most harm to the University. Result- clear statement of policy that employee’s persist in raising questions until resolved

11 Compliance Program- Introduction Options to raise compliance questions (Difficult questions not resolved by supervisor) (HOP D) Higher level manager in chain of command Institutional Compliance Officer – Mr. Langabeer Anonymous Compliance Hotline Compliance Coordinator – Wilson Ballard Compliance Project Specialist – Katrina Luna If 1st option fails, pursuing 2 nd, 3 rd or 4 th is obligatory. Employee’s do not have to follow a particular order to raise questions-they can use the method that serves them best.

12 Compliance Program- Introduction Anonymous Hotline- how it works (HOP E) Third party companyThird party company Trained interviewers – English or SpanishTrained interviewers – English or Spanish Available 24/7Available 24/7 Callers remain anonymous at their choiceCallers remain anonymous at their choice Company s report of call to Compliance Support ServicesCompany s report of call to Compliance Support Services Anonymous callers call company to receive responses to questions raisedAnonymous callers call company to receive responses to questions raised

13 Compliance Program- Introduction Responsibilities of all UTPA employees (HOP B) Learn compliance requirements of our job Obey these requirements Raise compliance questions we become aware of Cooperate in the evaluation of questions raised The program asks us as UTPA employees to trust this process – –to the extent that we overcome any desire to avoid making waves.

14 Compliance Program- Introduction Added Supervisor Responsibilities (HOP 2.4.1H) Create a positive compliance atmosphere   Employees should feel encouraged to raise questions   Any form of retaliation against those who raise questions is prohibited Promptly address compliance issues raised Manage compliance risks in their area The program asks that UTPA supervisors desire compliance more than they desire personal control over situations that come up.

15 Compliance Program- Introduction Statistics for FY07 98 questions were raised   81 had compliance issues (82%)   32 were anonymous (33%) Many more were resolved informally in the departments More and more question are raised earlier   18 raised prior to any action being taken (18%)   40 raised within the same month (41%)

16 Compliance Program- Introduction Example Questions – lots of variety Alcohol served at art exhibitAlcohol served at art exhibit Timely completion of employee evaluationTimely completion of employee evaluation Solicitation - political, commercial, websites, etc.Solicitation - political, commercial, websites, etc. Use of University equipmentUse of University equipment Time worked vs. time reportedTime worked vs. time reported Copyrights on course material on UTPA websiteCopyrights on course material on UTPA website Appropriateness of expendituresAppropriateness of expenditures

17 Compliance Program - Introduction Additional General Compliance Training Online compliance training requirement for new employees via UTPA’s Training Post The post provides additional training modules on a wide range of issues applying to everyone with a short quiz to ensure understanding after each one HR will send the employee a notice of training Employee’s must complete training modules within 30 days from date of notice Employee’s must review modules every two years

18 Compliance Program- Introduction Proper Use of the Program The program is here to promote “Doing the Right Thing”The program is here to promote “Doing the Right Thing” State laws protect us from retaliation when we use the program in good faithState laws protect us from retaliation when we use the program in good faith We assume good faithWe assume good faith Employees have shown good faithEmployees have shown good faith Good faith is essential to the program’s successGood faith is essential to the program’s success

19 Compliance Support Services Our office is located on 5 th and Van Week (NE corner of campus by the railroad tracks) Our website address is:

20 Compliance Program- Introduction In closing … Welcome to UTPA!! We hope you never need to call us But if you do, we hope you will remember us * Wilson Ballard * Katrina Luna We don’t want you stuck in such a situation We don’t want the University stuck in it either We’ll do our best in exploring your question

21 UTPA Institutional Compliance Program Thank you We hope you enjoy your stay at UTPA! Wilson Ballard and Katrina Luna