Transcript Essential Elements of an Institutional Executive

Office of Compliance and Risk Management
General Compliance, Public Information, Risk Management
2014-2015 Budget Authority Training
Responsibilities
• UT System compliance initiatives
• Institutional compliance reporting
• Executive Compliance Committee
and Compliance Working Group
• High Risk oversight and monitoring
• Institutional compliance training
• Quality Assurance Reviews
• Ethics Hotline
• Compliance website and manuals
• Risk Management and insurance
• Public Information coordinator
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Compliance Training
Budget Authority Training
• Required for new Budget Authorities
upon appointment
• Required for all Budget Authorities
every other year thereafter
• Based on Management
Responsibilities Handbook:
http://www.uttyler.edu/compliance/docu
ments/MRH.pdf
• Live training (or video for new BA’s)
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Compliance Training
General Compliance Training
• Required of all benefits eligible
employees upon employment and
every other year thereafter
• Based on Standards of Conduct Guide:
http://www.uttyler.edu/compliance/docume
nts/SOCGuide.pdf
• On-line Training (Blackboard)
• As a Budget Authority you are required
to complete your training and ensure
that your employees complete theirs:
http://www.uttyler.edu/compliance/training.
php
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Quality Assurance Review -QAR
•
Review of Departmental records
(purchasing, expenditure,
inventory, account reconciliations)
•
Not an audit, provides assurance
that best practices are being
followed
•
Work with Audit Services to
determine the schedule and
coordinate efforts
• Each department typically
reviewed every three years
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Ethics Hotline
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Confidential mechanism for
employees or students to report
suspected non-compliance
Fraud, theft, academic fraud or
dishonesty, or other unethical
behavior in the workplace or
classroom
Reports can be filed via:
Phone: 877-507-7318
Online: https://www.tnwgrc.com/WebReport/default.asp
U.S. Mail: The Compliance/Ethics Box at UT Tyler
P.O. Box 131292
Tyler, TX 75713-1292
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Ethics Hotline
Operated by a contracted
provider (The Network)
• Complaints are investigated by
a University triage team
• Information available at:
•
http://www.uttyler.edu/compliance/ethics
line.php
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Texas Public Information Act (TPIA)
• Chapter 552, Texas Government Code
• All persons are entitled to information
about the affairs of government
• Limited exceptions to disclosure
• Must be in writing and a request for
information in the University’s possession
• Not required to answer questions or
create information
• Respond within ten (10) business days
• If University or a third party objects to
release the Texas Attorney General
determines
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Texas Public Information Act
• How a request is submitted makes a
difference
• In order to be a valid request it must be
submitted via:
 (1) E-mail: [email protected]
 (2) U.S. Mail: Mr. Jesse Acosta,
Compliance Officer
 (3) Fax: (903) 566-7368
 (4) Hand-delivery to any University
employee
• Notify me promptly if you receive a
hand-delivered request
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Texas Public Information Act
• Guidance on the University’s Public
Information procedures can be
found at:
https://www.uttyler.edu/recordsretention/op
enrecords.php
• UT System resources for Public
Information:
http://www.utsystem.edu/openrecords
• Texas Attorney General Public
Information Handbook:
https://www.texasattorneygeneral.gov/ag_p
ublications/pdfs/publicinfo_hb.pdf
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Risk Management
• Administration of most University
insurance policies and claims, including
auto and property (exceptions are
Health Insurance and Worker’s Comp.)
• A wide variety of insurance policies are
provided by, or available through, UT
System
• UT System must approve the purchase of
most insurance policies
• Contractors and vendors are required to
maintain insurance per the University’s
requirements
• Outside groups that utilize University
facilities must provide liability insurance
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Risk Management
• Notify me immediately if anyone from
your area is involved in an auto accident
while on University business
• Complete First Notice of Loss form:
https://www.uttyler.edu/compliance/documents/FirstNotice-of-Automobile-Loss-Form.pdf
• Use of personal vehicles for University
business is strongly discouraged
• If you are contacted by a third party
regarding an injury or property damage
claim do not discuss - refer them to my
office or the University Counsel
• Further information available on the Risk
Management FAQ page:
https://www.uttyler.edu/compliance/insurance-faq.php
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Additional Resources
• Compliance:
http://www.uttyler.edu/compliance/
• Risk Management:
http://www.uttyler.edu/compliance/
risk-management.php
• University policies:
http://www.uttyler.edu/facultystaff/
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Contacts
• Lee Murray, Director of Compliance
and Risk Management
USC 155
[email protected]
903-565-5805
• Joy Shogry, Admin. Assistant II
USC 156
[email protected]
903-565-5859
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