OVERVIEW OF UHS
POLICIES AND PROCEDURES
FOR INVESTIGATING AND ACTING ON REPORTS OF
NON-COMPLIANCE AND CRIMINAL ACTIVITY
August 15, 2012
Longstanding culture of compliance and reporting
Tone at the top
Board of Regents Policies
UHS Policies
Institutional Policies
UHS Training
UHS Institutional Compliance Programs
Acting on Reports of Non-Compliance and Criminal Activity
Enhancing programs for Compliance, Reporting and Training
Longstanding culture of
compliance and reporting
• Implementation of the institutional
compliance program/anonymous reporting
mechanism - 2005
• Implementation of the Fraud policy (1989)
and Whistleblower protections (1980s)
• Annual Clery reports to the Board of Regents
• New regent orientation
Tone at the top:
Communications from the Chancellor
• Holding management accountable for
compliance
• November 16, 2011 email
• March 12, 2012 email
• July 23 & 24, 2012 tweets
• Bottom Line: Report any perceived noncompliance and criminal activity
Board of Regents Policies
• Code of Ethics, 57.01
• Internal Auditing, 41.01
• Institutional Compliance, 42.01
UHS Policies
• Reporting / Investigating Fraudulent Acts, SAM
01.C.04
• Ethical Conduct of Employees, SAM 02.A.29
• Campus Programs for Minors, SAM 05.C.01
• Guidelines for Sexual Harassment Policies and
Procedures, SAM 02.A.03
Institutional Policies
•
•
•
•
Campus Specific Policies
Faculty handbooks
Student handbooks
Title IX policies
UHS Training
•
•
•
•
•
•
•
•
Ethics
Sexual harassment and EEO
Fraudulent Activity
Programs for Minors (child abuse)
New hire orientation for faculty & staff
Title IX – Sexual misconduct
Clery Act – for Campus Security Authorities
Risk Management in Student Affairs
UHS Institutional
Compliance Programs
•
•
•
•
•
Human Resources (HR & EOS)
Research
Athletics
Health and Safety (UHPD)
Student Affairs
Human Resources
The Role of Human Resources?
Slide 1 of 2
• Advisor
o Payroll
o Benefits
o Compensation
o Employee Relations
o Training
• Compliance
o Background checks
o Fair Labor Standards
o Family Medical Leave
o Ethical Conduct
• HR Management
o Administrative guidance (promotions,
progressive discipline, etc.)
o Investigation of complaints
o Consulting
How Do We Receive Complaints?
• Directly from complainants
• MySafeCampus
• Referrals
o Provost
o UHDPS
o Departments/Colleges
o Equal Opportunity Services
o Ombudsperson
o External agencies
o Outreach efforts
o Consulting
Human Resources
How do we adjudicate?
• HR investigates all reports.
• Informal – mediation/consulting
• Formal – Utilize appropriate policies
• Recommendations
• Deliver training
Equal Opportunity Services (EOS)
What is EOS’ function?
Composition of EOS?
• EOS is a clearinghouse for
best practices for diversity,
affirmative action and equal
opportunity.
• AVC /VP for Equal Opportunity Services
Dr. Richard Anthony Baker
• EOS coordinates and
enforces the federal and
state equal opportunity
regulations
B.S.W., University of Texas at Austin, 1999
J.D., M.P.A., Texas Tech University, 2002
Ph.D., Texas Tech University, 2010
• Assistant Director
Brian A. Schaffer
B.A., Stony Brook University, 1980
J.D., American University Law School, 1983
LL.M., Georgetown University Law Center,
1985
• EOS’ primary responsibility is • Equal Opportunity Specialist
Kimberly Frayne
to investigate complaints,
B.B.A, University of Texas at Austin, 2002
prevent its reoccurrence, and
J.D., University of Houston Law Center, 2008
address its effects.
Equal Opportunity Services (EOS)
How do we receive reports?
How do we adjudicate?
• Directly from complainants
• MySafeCampus
• Referrals
o Provost
o UHDPS
o Departments/Colleges
o General Counsel
o Ombudsperson
o External agencies
o Outreach efforts
o Consulting
• EOS investigates all reports.
• Informal –
mediation/consulting
• Formal – Utilize appropriate
policies
• Recommendations
• Deliver training
Research
Compliance Area/Risk
Oversight/Safeguards*
Human Subjects Research:
Compliance with DHHS/FDA regulations
•
•
Institutional Review Boards
RAMP Protocol System
Animal Research
•
Institutional Animal Care and Use
Committee
Semi-annual program review and
facility inspections
AAALAC Accreditation
Compliance with DHHS/USDA regulations
•
•
Grant Management, including Fiscal
Compliance
Compliance with OMB Circulars; Federal and State
regulatory requirements
•
•
•
Export Control
Compliance with Federal Regulations
•
•
•
DOR has policies and procedures in
place to assure compliance with and
tracking of all regulatory requirements
Congruency checks (match of grant to
oversight approvals) in place for all
funded research
Internal and State audits
DOR has screening procedures in place
Embargo form certification for
International travel
Certification on H-18 visa processing
* Training and education of researchers and oversight committee members is an ongoing effort in all four areas
Research
Compliance Area/Risk
Oversight/Safeguards
Financial Conflict of Interest
•
•
•
FCOI Committee
Multiple checks in place pre- and post-award
Annual Certification and Disclosure
Research Misconduct
•
Policies and procedures are in place through
the Provost’s office for receiving and
investigating reports of misconduct
Responsible Conduct of Research
•
Training protocols are in place for those with
federal awards
Compliance Area/Risk
Oversight/Safeguards
Materials and Devices
•
Managing real/perceived conflicts to avoid bias
in research; compliance with DHHS, NSF
regulations
Inquiry/Investigation into Falsification,
Fabrication, Plagiarism (DHHS ORI)
Compliance with Federal and State regulations
and Guidelines for the following:
•
•
•
Biological agents/rDNA
Radiation/Laser/X-ray
Chemical Agents
Committees in place for oversight and
investigation:
•
•
•
Institutional Biosafety Committee
Radiation Safety Committee
EH&S conducts training, laboratory surveys,
audits, and assays; ensures the submission of
protocols for review of agents; manages
waste disposal
Athletics
Reports of Non-Compliance and Criminal Activity
• From an NCAA rules perspective, all violations are investigated by
the Compliance Office and reported to the appropriate authority
(NCAA and/or Conference Office).
– Compliance Office has complete autonomy to investigate and
report all potential violations of NCAA rules.
– Chancellor, Director of Athletics, FAR and Sport Administrator (if
applicable) are notified of violations for informational purposes
and to issue appropriate corrective and/or disciplinary action as
deemed necessary by the Compliance Office.
– Chief Compliance Officer has reporting line to Chancellor.
– Chief Compliance Officer and Faculty Athletic Representative
meets quarterly with Chancellor regarding compliance issues.
Athletics
Reports of Non-Compliance and Criminal Activity
•
Compliance Office engages General Counsel regarding any potential violation
which may be deemed more serious than an isolated or secondary infraction
of NCAA rules.
•
Compliance Office conducts ongoing education for all athletic department
staff members regarding adherence to NCAA rules.
•
Athletic Compliance Office is currently in the process including the
MySafeCampus system link on the institutions athletics website to facilitate
and track reporting of potential violations in an anonymous fashion.
•
Any potential criminal activity is reported to the Office of General Counsel
and/or University Police.
UHPD
External Guides for
Police Conduct
o Oath of Office
o TCLEOSE
o Texas Penal Code
• Felonies
• Child Abuse
UHPD
Clery Report
o Role of the Police Chief
o Campus Security Authority
•
•
The function of a campus security authority is to
report to the official or office designated by the
institution to collect crime report information, such
as the campus police or security department, those
allegations of Clery Act crimes that he or she
concludes were made in good faith.
Over 600 current CSAs
Student Affairs/Dean of Students
Reports of Non-Compliance and Criminal Activity
•
Policies
- Student Code of Conduct
Students notified of conduct expectations and policy compliance at:
New Student Orientation (NSO) conferences
Advising and Registration for Transfers (ART) sessions
- Coordination with UH Department of Public Safety (DPS) on suspected criminal
activity
- Coordination with Equal Opportunity Services on allegations of sexual misconduct
- Referral to appropriate authority for other UH policies
•
Incident Reporting
- Reports from DPS via on-line Incident Report Form
- Reports from any UH community member via on-line Incident Report Form
Form link located on the Dean of Students Office home page
Form link located on the Conduct Assessment and Response Team home page
- Any written reports received are entered into conduct database via Incident Report
Form
Student Affairs/Dean of Students
Reports of Non-Compliance and Criminal Activity
•
Report/Allegation Processing
- Administrative due process applied per the Student Code of Conduct
- Sanctions issued for code violation findings
•
Incident Tracking
- Incident reports entered into and tracked through the “Conduct Manager” program
- Incidents are assigned to a conduct Hearing Officer or referred to other UH authority
- Cases are resolved and the results are recorded on the students’ disciplinary record
•
Training
- Incident report and response training is regularly offered to:
Dean of Students Office Staff
Student Housing and Residential Life Staff
UH Department of Public Safety Staff
Conduct Assessment and Response Team Members
Other UH departments and colleges as needed or requested
Acting on Reports of
Non-Compliance and Criminal Activity
• General Counsel and Internal Auditor triage
and assign investigator
• Report log maintained (Anonymous, SAO or
Miscellaneous)
• Follow-up to determine appropriate action
taken
• Report log periodically reviewed by Chancellor
and Chair A&C com.
Enhancing programs for
Compliance, Reporting and Training
• System-wide log through MySafeCampus and
Maxient
• Campus Security Officer program
• Expand General Counsel report on pending or
potential legal matters
Follow-up
• Response to Governor’s letter of July 13, 2012.