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Handbook of Operating Procedures
Chapter 9 - General Provisions
Publication Date: June 21, 2010
Responsible Executive: President

9.40 General Compliance Training


POLICY STATEMENT


All appointees, whether employed or not, having an appointment in The University of Texas at San Antonio (UTSA) financial system (DEFINE) shall complete general compliance-related training, or shall receive an appropriate exemption from such training from the President or their Vice President. The training includes information and acknowledgements concerning appointee duties and responsibilities for ethical and legal behavior.

New appointees to UTSA (including appointees who previously worked for a UT System institution) are required to complete the training within thirty (30) calendar days of their UTSA start date. Incumbent appointees or others with a continuing appointment are required to complete refresher training no less than every two (2) years.

Employees who violate this policy will be subject to applicable and appropriate disciplinary action, up to and including termination or dismissal. At the discretion of their supervisors and depending on the facts surrounding their failure, employees who fail to complete the mandatory training without obtaining an exemption may also be ineligible for merit increases, for any other types of salary increases, or for promotions.

If appointees who are not employees violate this policy, they may have their UTSA appointment, or other privileges extended to them by UTSA, revoked or suspended.


RATIONALE


A proactive compliance training program maximizes adherence to UTS 119 - Institutional Compliance Program and other applicable laws, rules, regulations and policies.


SCOPE


All appointees in The University of Texas at San Antonio financial system (DEFINE).


WEBSITE ADDRESS FOR THIS POLICY


http://www.utsa.edu/hop/chapter9/9-40.html


RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS


UT System Administration Policies & Standards

Other Policies and Standards


CONTACTS


If you have any questions about HOP policy 9.40, General Compliance Training, contact the following office:

Office of Institutional Compliance and Risk Services
210-458-4992


DEFINITIONS


An Appointee is any person with a DEFINE appointment, regardless of the percentage of their appointment, such as faculty, staff, ad-joint faculty, visiting scholars, student workers, volunteers, and professors emeritus.


RESPONSIBILITIES


The Office of Institutional Compliance and Risk Services (OICRS)

  • Determines the appropriate compliance training program infrastructure, procedures and scheduling

Executive Compliance Committee

  • Oversees and directs the general compliance training program
  • Meets quarterly

President and Vice Presidents

  • Ability to grant exemptions from training

Deans and Department Heads

  • Provides the opportunity and direction to the departmental staff and others with a UTSA appointment to complete the training required by this policy. Responsible for enforcing this policy within their colleges and/or assigned departments

Supervisors

  • Responsible for enforcing this policy for their direct reports


PROCEDURES


General compliance training is required to ensure individuals with an appointment at UTSA are aware of their duties and responsibilities for ethical and legal behavior.

General compliance training is a broad term that can include but is not limited to compliance acknowledgements, compliance information, and other information that is deemed relevant by the Executive Compliance Committee.

All appointees will be required to complete general compliance training. However, the President and the Vice President to whom an individual reports are allowed to exempt an individual from general compliance training if an exemption is permitted by law. These exemptions are to be documented and certified annually and must include the facts that justify the exemption along with documented approval of the President or Vice President. The original documentation of the exemption will be filed with OICRS and a copy of the decision will be sent to the appointee and the appointee's department supervisor.

The Executive Compliance Committee will determine the content and timing of general compliance training.


FORMS AND TOOLS/ONLINE PROCESSES



OICRS Website:

http://www.utsa.edu/acrs/

Learning Source Log In instructions:
http://www.utsa.edu/acrs/Training/training_instructions.htm

Frequently Asked Questions:
http://www.utsa.edu/acrs/Training/training_FAQ.htm