What
is compliance?
For every employee at UTSA, compliance is knowing and doing the right thing. However, at the institutional level,
compliance is simply good management. As a university, we operate in a very complex
regulatory environment and we face tremendous risk on a daily basis.
Compliance is knowing what our risks are and ensuring that our resources are
appropriately allocated to provide reasonable assurance that our most critical risks are
adequately mitigated. This proactive approach to compliance will help UTSA
to achieve its goals and objectives. Top
Why this increased emphasis on
"compliance" within the UT System on the last few years?
In the wake of several major instances of
non-compliance within the UT System that resulted in negative publicity,
fines or loss of funding, the Chairman of the UT System Board of Regents
requested that the Chancellor develop an Action Plan to Ensure Institutional
Compliance. The Action Plan was developed in 1998 and includes the following
key elements:
Designation
of a System-wide Compliance Officer.
The
appointment of an Institutional Compliance Officer at System
Administration and at each component institution.
The
creation of a UT System-wide Compliance Committee and parallel
Compliance Committees at System Administration and each component
institution which meet at least quarterly.
The
mandate for a continuous and proactive compliance function, which
reports to the Institutional Compliance Officer at System Administration
and each component institution.
The
allocation of sufficient resources at System Administration and at each
component institution to fund compliance activities (including
information resources, training, and monitoring activities) that reduce
compliance risk to a reasonably low level.
The
requirement that the Institutional Compliance Officers and Committees at
System Administration and the component institutions report their
activities to the UT System-wide Compliance Officer at least quarterly. Top
Why does UTSA need a
Compliance Program?
A Compliance Program is a self-governance infrastructure that
achieves the following objectives:
Reduces the risk of non-compliance that could
result in significant harm to the institution's operations, finances or
reputation.
Provides evidence to external entities, e.g., Texas
Legislature, Federal oversight authorities, and UT System that UTSA has
a system in place to identify and actively manage risks and provide
positive assurance to executive management.
Ensures that every employee is aware of the rules
and regulations that apply to their job? Top
Who
is the Compliance Officer at UTSA?
Mr. Dick Dawson, Executive Director of Audit Compliance and Risk Services is the Compliance Officer. Top
What
are the responsibilities of the Compliance Officer?
The Compliance Officer oversees the
Compliance Program to ensure that the infrastructure of the program is
adequate and that it is operating effectively. Some specific
responsibilities include:
Establishing
and maintaining a system that builds compliance consciousness into daily
activities.
Monitoring
the various compliance program activities to ensure that they are being
performed as designed.
Communicating
with the President and others regarding compliance program activities and
issues of non-compliance. Top
Who can answer my questions
about compliance?
The answers to many common
compliance questions can be found in the Employee Standards of Conduct
Guide. Every employee receives a copy of this publication and it is on
the Institutional Compliance website.
If the Guide does not answer
your question, you are encouraged to go to your supervisor with
questions.
If your supervisor cannot
answer your question or you feel uncomfortable asking your supervisor,
you have a variety of offices you can go to depending on the issue you
are trying to resolve. These offices and their phone numbers are also
listed in the Employee Standards of Conduct Guide.
The Office of Institutional
Compliance may be able to answer your questions or put you in contact
with someone who can.Top
Why does UTSA have a
Hotline?
A hotline is part of an early warning system that enables
management to react quickly to investigate issues, and often resolve
problems prior to costly litigation or negative publicity. A Company called
The Network operates UTSA's hotline and trained Interview Specialists take
the callers' information and relay it to UTSA. More information about the
Hotline can be accessed via the Hotline
Information page in the Institutional
Compliance website. Top
What if I only suspect
something is wrong but don't know for sure?
Discuss it with your supervisor or someone in management at UTSA. Top
Why do I need to take
compliance training?
It is critical that every employee at UTSA is aware of the key
compliance issues that impact their jobs on a daily basis; as a result,
training is a cornerstone of UTSA's Institutional Compliance Program. The
University has adopted a web-based training approach that provides employees
with the knowledge they need in a flexible and user-friendly format. All
employees are required to meet the requirements of the General Compliance
Training Program, and non-compliance is reported to supervisors.
General Compliance Training modules can be accessed via the Institutional
Compliance website. Top
What is the difference
between General and Specialized Compliance Training?
All employees are required to take General Compliance Training.
Specialized Training is related only to areas that have been identified
through the risk assessment process as Institutional High Risks and only
individuals who interact with those areas are trained. Top |
