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

2 Today we will talk about…  Why compliance programs exist  Points Dr. Cardenas made  Introduction to the Compliance Program And most important  All the questions that come up as we go

3 Why 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

4 Points Dr. Cardenas Made Told a story from personal experience long ago. Story of misuse of agency funds with potential for negative publicity, loss of public faith in 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 – The agency was never sidetracked from its mission.

5 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 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. Bottom line – If we fix mistakes quickly and effectively, our program - UTPA - will never be sidetracked from its mission because of them.

6 Points Dr. Cardenas Made 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. Bottom line – Please learn to use this program correctly, in the appropriate spirit, as the problem solving tool it is designed to be.

7 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: Move from “We assume compliance” to “We assure compliance”Move from “We assume compliance” to “We assure compliance”

8 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

9 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 to persist in raising questions until resolved

10 Compliance Program- Introduction Options to raise compliance questions (Difficult questions not resolved by supervisor) (HOP D) Higher level manager in chain of commandHigher level manager in chain of command Institutional Compliance Officer – Mr. LangabeerInstitutional Compliance Officer – Mr. Langabeer Anonymous Compliance Hotline Anonymous Compliance Hotline Compliance Coordinator – Wilson Ballard Compliance Coordinator – Wilson Ballard Compliance Project Specialist – Katrina Luna Compliance Project Specialist – Katrina Luna If 1st option fails, pursuing 2 nd, 3 rd or 4 th is obligatory.

11 Compliance Program- Introduction Anonymous Hotline- how it works (HOP E) Third party companyThird party company Trained interviewers – English or SpanishTrained interviewers – English or Spanish Callers remain anonymous at their choiceCallers remain anonymous at their choice reports of call to Compliance Support Services reports of call to Compliance Support Services Anonymous callers call in to receive answersAnonymous callers call in to receive answers

12 Compliance Program- Introduction Responsibilities of Employees (HOP B) Learn compliance requirements of their jobLearn compliance requirements of their job Obey these requirementsObey these requirements Raise compliance questions they become aware ofRaise compliance questions they become aware of Cooperate in evaluation of questions raisedCooperate in evaluation of questions raised The program asks us as UTPA employees to trust this process  to the extent that it overcomes any desire to avoid making waves.

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

14 Compliance Program- Introduction Statistics for FY questions were raised126 questions were raised  96 had compliance issues (76%)  31 were anonymous (25%) Many more resolved informally in departmentsMany more resolved informally in departments More and more question are raised earlierMore and more question are raised earlier  15% raised prior to any action being taken  59% (74% cumulative) raised within one month of action

15 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

16 Compliance Program - Introduction General Compliance Training Online compliance training requirement for new employees via UTPA’s Training PostOnline compliance training requirement for new employees via UTPA’s Training Post The training post provides an overview of compliance program & short quiz to ensure understandingThe training post provides an overview of compliance program & short quiz to ensure understanding HR will send the employee notice of trainingHR will send the employee notice of training Complete within 30 days from date of noticeComplete within 30 days from date of notice Review every two yearsReview every two years

17 Compliance Program- Introduction Proper Use of the Program Program is here to promote complianceProgram is here to promote compliance 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

18 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:

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

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