Presentation on theme: "New Faculty Orientation"— Presentation transcript:
1 New Faculty Orientation Office of the General CounselAnne K. GarciaSenior Associate General CounselExecutive Director of Billing and Research Compliance
2 New Faculty Orientation Office of the General CounselProvides legal guidance and servicesSaint Louis University provides coverage for:FacultyFellowsResidentsMedical StudentsOther Staff
3 New Faculty Orientation Coverage is provided for all occurrences that happened during the course and scope of your employment with Saint Louis University.NOT COVERED:If injuries result from acts or omissions while under the influence of drugs or alcoholCriminal or intentional actsOutside the normal course and scope of your employment
4 New Faculty Orientation Failure to Cooperate with OGC or Defense CounselInsurance:University is self insured up to $2 millionExcess commercial insurance is provided up to $25 million per year.
5 New Faculty Orientation Reporting of IncidentsPlease report promptly (within hours)Methods of Reporting977-URPT (8778)Slucareincident.slu.eduUsername: INCIDENTPassword: SLUCARE1!Call the OGC at
6 New Faculty Orientation Other Helpful TipsIf an attorney calls, please direct them to the OGC at Do not speak with the attorney.If you receive a BHA or AG complaint direct it to the OGCDirect any process servers to the OGCIf you are named in a lawsuit, OGC will appoint defense counsel and will notify you of your assigned counsel.
7 New Faculty Orientation Other Helpful Tips (Continued)Complete and Timely DocumentationLimit Communications (Discoverable)Please discuss patient care in the appropriate settingNeed assistance handling a difficult issue/family involve Risk Management
9 Office of University Compliance Physician Billing CompliancePrivacy/HIPAAResearch ComplianceExport Controls
10 Billing Compliance Routine audits of billing records Education Repayments to CMS and insurance companiesSanction checks for HSC employees and vendors
11 Privacy/HIPAA Ensure SLU’s compliance with HIPAA privacy regulations Provide HIPAA education to SLU workforceEstablish and maintain policies regarding privacyProvide incident response to issues of privacyAdvise staff and management regarding privacy mattersCollaborate with IT to address appropriate safeguarding of informationPrivacy Officer: Ron Rawson,
12 Research Compliance Audits/Reviews of Research Divisions IACUC, IRB, OEHS, etc.Clinical Trial reviewsSunshine ActResearch misconduct investigationsEducation
13 Reporting Saint Louis University Compliance Hotline Available and answered 24/7Caller / reporter may remain anonymousProtection provided
14 the highest standards of ethical, moral, The Saint Louis University Office of University Compliance is committed to excellence in corporate integrity and responsibility. This commitment is realized through the integration of education, leadership, and service. Through collaboration the Department promotesthe highest standards of ethical, moral,and lawful practices. These efforts areguided by the mission of Saint LouisUniversity and the Jesuit tradition.Read SlideResource!Additionally, numerous resources are available at the University to assist with questions, projects, issues and concerns.
16 Michael Reeves Export Control Officer Export ControlsMichael ReevesExport Control Officer
17 Export ControlsFederal Export Control regulations restrict the following exports:Tangible goods: technology, letters, software, or packagesCommunication: and phone conversationsInternational travel
18 Definitions“U.S. Person”-Any person who is a citizen of the United States, a lawful permanent resident alien of the United States, a refugee or someone here under amnesty.“Foreign National”- Any individual or organization that is not a U.S. person.“Technology Control Plan”-Plan used to manage Export Control restrictions during research project.
19 “Deemed Export”“Deemed Export”- Discussion with a “Foreign National” or providing them access to controlled research within the borders of the United States.
20 Regulated by 3 federal agencies: Department of CommerceDepartment of StateDepartment of the Treasury
21 Department of Commerce Export Administration Regulations (EAR)15 CFR“Dual-use” items- commercial goods, services, and technologies that also have military or proliferation possibilities. (i.e. GPS, UAV)Maintain Commerce Control List
22 Department of State International Traffic in Arms Regulations (ITAR) 22 CFRDefense items-products specifically designed for military applications (i.e. missiles)Maintain Munitions listRecently updated category XV“Defense Services”Defense services-The furnishing of assistance (including training) to foreign persons, whether in the US or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, procession or us of defense articles.
23 Department of the Treasury Office of Foreign Assets Control (OFAC)31 CFRRegulates countries, organizations, and individuals. Targets terrorists, drug traffickers, WMD proliferators, human rights violators, anti-boycott and narcotics (i.e. Marion, IL golf course, )Maintain sanction lists for the above groupsIndependence Day
24 Export restricted and embargoed countries All three federal agencies maintain lists of restricted and embargoed countriesComprehensive Sanctioned Countries T-5 (Cuba, Iran,, N. Korea, Syria, Sudan)Most countries have commodity or information exchange specially restricted (i.e. China, Russia)China is the highest risk country for the US….most foreign national students from China. We also have students from Iraq, Iran.
25 Fundamental Research Exclusion Ordinarily published and shared broadly within the scientific communityGenerally accessible to the interested public in any formApplies only to information, not tangible goods
26 EducationalGeneral science, math and engineering commonly taught at schools and universities (ITAR)Information conveyed in courses listed in course catalogues and in their associated teaching labs of any academic institution (EAR)
27 Bona Fide Employee Is a full-time, bona fide employee; Is not a national of certain countries;Has a permanent residence in the US while employed; andIs advised in writing not to share covered technical data with foreign nationals.
28 LicensesCurrent process requires us to seek license for highest level of restriction;ITAREAROFAC-Travel to all T-5 and most D-1 countries
29 Areas of Concern for SLU Downloading software on a restricted computerProviding technology/technical data via , fax or during a phone conversation or a meeting to a foreign nationalProvision of defense services to a foreign person; wherever the services take placeRe-exportShadowing into restricted spaces
30 Travel Traveling with SLU equipment Temporary Export Certificate Clean computerTraveling with personal technologyAll technology is on CCLNo research on personal devices while traveling
31 Penalties for Violations ITAR: Civil Penalties-Up to $500,000 fineITAR: Criminal Penalties-Up to $1 million fine, up to 10 years in prisonEAR: Civil Penalties-Up to $250,000 fineEAR: Criminal Penalties-Up to $1 million fine, 20 years in prison.OFAC: Civil Penalties-Up to $250,000 fineOFAC: Criminal Violations-Up to $1 million fine, 10 years in prison.
32 Examples of Violations Professor J. Reece Roth, University of TennesseeGuilty of 18 counts of conspiracy, fraud, and violating the Arms Export Control ActSentenced to 48 monthsUT escaped fine because of cooperation and policyUM-Lowell- Failed to screen company- $100,000 fine.ITT-leading producer of night vision goggles -$100 million fineBoeing $4.2 million and $15 million fines
33 Contact informationMichael Reeves, University Export Control Officer