1. 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 “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.