UNT Health Science Center Compliance Program

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Presentation transcript:

UNT Health Science Center Compliance Program Appendix XIV FY2015 UNT Health Science Center Compliance Program Incident Report and Response Protocol Allegation Report: Ethics Hotline In Person Division Sent to CCO Other Sources * ** Reviewed by: Compliance Office & Directed to Appropriate Division, CCO, or VP of Student Affairs within 24 Hours w/i 24 h Division/CCO/VP of Student Affairs Investigates: Violation of Law, Regulation, or UNTHSC Policy Fraud Response Team *** Evidence of Fraud w/i 24 h Yes No Yes Financial Fraud No Financial Fraud No w/i 24 h w/i 24 h w/i 24 h Policy Criminal Civil Division/CCO/ VP of Student Affairs remediates Consult OGC & CCO (as necessary) Consult OGC and HSC Police for Investigation Division/CCO/ VP of Student Affairs remediates Consult OGC & CCO (as necessary) Audit to Investigate (OGC as needed) w/i 10 day w/i 10 day w/i 10 day w/i 10 day w/i 10 day Report Summary and Recommended Action Submitted to CCO w/i 72 h Report back to Complainant as applicable Appropriate disciplinary and/or legal actions taken according to UNTHSC policies. ** Report to Board of Regents or Governmental Authorities (If required) *Complainant is notified upon resolution of all investigation, and/or sooner at the discretion of the division head in consultation with the Chief Compliance Officer. ** **Please see UNTHSC Policy 03.106 “Reporting Suspected Wrongdoing”. OGC: Office of General Counsel CCO: Chief Compliance Officer ***The Fraud Response Team is comprised of representative(s) from: the Institutional Compliance Office, Internal Audit and the Office of General Counsel.