1. Office of Compliance and Risk Management General Compliance, Public Information, Risk Management 2014-2015 Budget Authority Training

2. 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 2

3. 3 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 http://www.uttyler.edu/compliance/docu ments/MRH.pdf Live training (or video for new BA’s)

4. 4 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 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 http://www.uttyler.edu/compliance/training. php

5. 5 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

6. 6 Ethics Hotline 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 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

7. 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 http://www.uttyler.edu/compliance/ethics line.php 7

8. 8 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

9. 9 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: publicinfo@uttyler.edu  (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

10. 10 Texas Public Information Act Guidance on the University’s Public Information procedures can be found at: https://www.uttyler.edu/recordsretention/op enrecords.php https://www.uttyler.edu/recordsretention/op enrecords.php UT System resources for Public Information: http://www.utsystem.edu/openrecords http://www.utsystem.edu/openrecords Texas Attorney General Public Information Handbook: https://www.texasattorneygeneral.gov/ag_p ublications/pdfs/publicinfo_hb.pdf https://www.texasattorneygeneral.gov/ag_p ublications/pdfs/publicinfo_hb.pdf

11. 11 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

12. 12 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/First- Notice-of-Automobile-Loss-Form.pdf https://www.uttyler.edu/compliance/documents/First- Notice-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 https://www.uttyler.edu/compliance/insurance-faq.php

13. 13 Additional Resources Compliance: http://www.uttyler.edu/compliance/ http://www.uttyler.edu/compliance/ Risk Management: http://www.uttyler.edu/compliance/ risk-management.php http://www.uttyler.edu/compliance/ risk-management.php University policies: http://www.uttyler.edu/facultystaff/ http://www.uttyler.edu/facultystaff/

14. 14 Contacts Lee Murray, Director of Compliance and Risk Management USC 155 LMurray@uttyler.edu 903-565-5805 Joy Shogry, Admin. Assistant II USC 156 jshogry@uttyler.edu 903-565-5859