CW101 Introduction to the Compliance and Ethics Program at UT Austin Revised 3/5/2014

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1 Welcome. I'm Jane. On behalf of University Compliance Services, I want to give you, for the next 10 minutes or so, a short introduction to the compliance and ethics program at UT Austin. After you finish the presentation, close it. That will take you back to the library. Then click on Review to get to the quiz. You must complete the quiz and answer 80% of the questions correctly in order to earn credit for the training. You may return the quiz to University Compliance Services by , fax, or campus mail. See the quiz for more instructions. The goal of this training is to help you understand how compliance and ethics are important to you as a member of the University community. University Compliance Services 1 of 14

2 First I'll talk about the expectation of ethical behavior the University has of you, and of all employees. Then I'll describe the range efforts that make up the compliance and ethics program at UT Austin, and talk about University Compliance Services' role in those efforts. Finally, I'll tell you about some of your options if you should become aware of activities you believe to be unethical or improper behavior. At UT Austin, we only consider ourselves successful if the work we do, the research we conduct, the competitive sports we play, and the business we undertake, is done with the highest level of integrity and ethical standards. University Compliance Services 2 of 14

3 The University's core values are expressed in the University Honor Code. Those values include learning, discovery, freedom, leadership, individual opportunity, and responsibility. Every member of the university is expected to uphold these values through integrity, honesty, trust, fairness, and respect toward peers and community. It's important for you to remember that we, as University faculty, staff, and students, are accountable to each other as well as to the people of Texas. It is the University's expectation and our commitment to be good stewards of the resources entrusted to us. University Compliance Services 3 of 14

4 The University is a large and complex institution that must follow a tremendous number of laws, rules, policies, and regulations. There are many compliance professionals, throughout the University, who use their expertise to help the University comply with these laws, rules, policies, and regulationsin areas like health and safety, IT Security, intercollegiate athletics, privacy, and research. The University's compliance and ethics program consists of all the University's efforts to be compliant and to create an ethical environment. The University's efforts and expectation of compliance and ethics matter to you - and to all of us - because, as research shows, people are happier when they work at an ethical workplace. At ethical workplaces, employees are more engaged and committed to their work; people are less likely to commit misconduct, and they are also more apt to report misconduct. Many business leaders and others are convinced that ethical workplaces are not only good for us, but are also more successful. University Compliance Services 4 of 14

5 So what is University Compliance Services' role in the University's compliance and ethics program? University Compliance Services (or UCS) helps facilitate and coordinate many of the University's compliance and ethics activities. UCS helps provide training on compliance issues, helps assess and advise the University about compliance risks, so we can be aware of them before they become a problem. And UCS helps answer compliance questions and provides ways to report behavior that may not follow compliance guidelines. To assist University faculty, staff, and student employees, University Compliance Services provides the Employee Compliance Guide. The Guide, which must be read by all new employees in their first month on the job, serves as a standard of conduct and provides a thorough overview of the policies we are all expected to follow. (Click to see a copy of the Guide) University Compliance Services 5 of 14

6 It's not always easy to know if something rises to the level of a compliance issues. The important thing is that if you are unsure, just ask. The best place to start is with your supervisor or manager. Building open communication with your supervisor is critical to feeling good about your workplace. If you prefer not to go to your supervisor or your manager, you have several other options. For instance, you may speak with one of the University's Ombuds - for faculty, staff, or students. The ombuds' role is to provide you with a confidential, neutral, informal, and independent place to get help with work-related issues. Regardless of who you go to with questions, it is important to report noncompliance if you become aware of it. To make a formal report of wrongdoing, you may report anonymously through University Compliance Services' telephone hotline or online. Since these methods are anonymous, you don't have to give your name or department when making a report. You may also contact our office directly by phone, online or in person. Our contact information is listed on our webpage at University Compliance Services 6 of 14

7 After someone makes a report to UCS of something they believe is a compliance issue, that is, something that involves adherence to a law, rule, policy or regulation, the report is sent to a team of University officials who determine the nature of the issue. If the report is determined to be a possible compliance violation, then it is referred to a University official for investigation. Someone who reports misconduct is frequently called a whistleblower. A whistleblower is defined as someone who, in good faith, reports noncompliance by a state entity, or by another state employee. In order to be considered a whistleblower, the person making a report must do so in good faith; that is, the person making the report must sincerely believe that wrongdoing has occurred and not be reporting out of malice or ill will. University Compliance Services 7 of 14

8 Whistleblowers are protected by the Texas Whistleblower Act. According to the Act, no retaliation or adverse personnel action, including suspension or termination, may be made against a public employee who reports a violation of the law. Here are five examples of improper behavior and one example of conflict of interest that have occurred at UT Austin. In the next few pages, we will take a look at these examples to get an idea of the types of things that should be reported. University Compliance Services 8 of 14

9 A department did not have funds for overtime pay, but the staff routinely worked over 40 hours a week during the busy part of the year. To compensate for these extra hours, the supervisor gave staff time off during slower periods, but had them record eight hours worked on their time sheets. Doing this is considered a "theft of time." You may not claim hours on your time sheet that you have not worked. We sometimes hear reports that a faculty member or administrator has asked a staff member to use the faculty member's or administrator's UT EID and password to complete online training or reporting. Remember this is unauthorized use of the UT EID and password and is contrary to our Acceptable Use policy. University Compliance Services 9 of 14

10 In November 2011, the media reported that a former UT Austin police officer had accessed official state records to get information about a former girlfriend. This was a case of misuse of official information and of abusing one's official access to records for one's own personal use. The largest known fraud ever committed at UT Austin was one in which a long-time, trusted employee embezzled $850,000 over the course of several years. The employee was able to commit this fraud because no one double checked her work. Managers need to guard against providing opportunity and temptation by having internal controls in place. University Compliance Services 10 of 14

11 A conflict of interest occurs when one's personal or financial interest interferes, or appears to interfere, with one's professional duties or judgment. Recently a professor at UT Austin conducted a research study about the use of fracking in oil and gas recovery, but did not disclose that he was on the board of directors of an energy company that used fracking. While there did not appear to be any misconduct in his research, his failure to disclose his involvement cast doubt on the validity of his findings. The issue is not necessarily having a conflict of interest; it is that you must disclose a conflict of interest. University Compliance Services 11 of 14

12 In March 2012, the Austin American Statesman reported that a UT staff member had been charged with forgery. As a result of an anonymous report, an investigation was carried out that revealed the former staffer had forged cab vouchers for personal use, including for transportation to her wedding. University Compliance Services 12 of 14

13 We hope that as a result of this training you understand that the University has the expectation that you will conduct yourself with the highest ethical standards of behavior. We hope you also understand that the University carries out a broad range of efforts to support compliance and promote ethical behavior which comprise the compliance and ethics program. UCS has an important role in the compliance and ethics program and, among other things, provides training, helps assess compliance risk, and facilitates reporting. We also hope you also took the opportunity to review some of the examples of inappropriate behavior that have occurred at UT Austin. University Compliance Services 13 of 14

14 University Compliance Services has a host of resources available to you through our homepage at From our website you can access the hotline, reference materials, and even your required training. Call us at , or visit us in person at our office at the UT Administration Building, at 1616 Guadalupe. Our staff is happy to assist you. Thanks for joining us for this Introduction to the Compliance and Ethics Program at UT Austin. Close this window to be taken back to the library, where you will find a link to the quiz. You must complete this step and answer 80% of the questions correctly in order to get credit for having completed the training. You may return the quiz to University Compliance Services by , fax, or campus mail. See the quiz for more instructions. University Compliance Services 14 of 14

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