1616 Guadalupe Street, UTA (512) ▪ (512) (fax)

What I Hope to Accomplish Today 2www.utexas.edu/compliance Introduce you to University Compliance Services (UCS ) Who we are Why we’re here What we do How we work together

Who We Are 3www.utexas.edu/compliance University President Executive Compliance Committee University Compliance Services UT System Compliance Office Office of Internal Audits Office of Legal Affairs (including Ethics Officer) HR, CFO, IT, Security, and other Stakeholders University Policy Office

Who We Are 4www.utexas.edu/compliance UCS Staff Paul Liebman, Director Clay Simmons, Deputy Director Jaime Davis, Training Coordinator Cristy Oliver, Administrative Manager Karen Pate, Administrative Assistant

Why We’re Here: The Big Picture Strategic, financial and operational OBJECTIVES BUSINESS MODEL includes strategy, people, processes, technology and infrastructure VOLUNTARY BOUNDARIES. OPPORTUNITIES OBSTACLES MANDATED BOUNDARIES

Why We’re Here: The Big Picture Mission: The mission of The University of Texas at Austin is to achieve excellence in the interrelated areas of undergraduate education, graduate education, research and public service. The university provides superior and comprehensive educational opportunities at the baccalaureate through doctoral and special professional educational levels Mission: The University of Texas at Austin contributes to the advancement of society through research, creative activity, scholarly inquiry and the development of new knowledge. The university preserves and promotes the arts, benefits the state’s economy, serves the citizens through public programs and provides other public service VOLUNTARY BOUNDARIES are defined by UT’s voluntary policies, contractual obligations and public commitments, and its Core Values and Honor Code. OPPORTUNITIES OBSTACLES MANDATED BOUNDARIES are established by external forces including foreign and US federal, state, local laws and regulations, and other mandates like UT System policies.

Why We’re Here 7www.utexas.edu/compliance The potential consequences for violating mandatory and voluntary boundaries can be severe: Death or serious injury Criminal liability for the University or individuals Significant civil or administrative liability Loss of business or research opportunities Reputation damage Change of law

Why We’re Here 8www.utexas.edu/compliance Nobody budgets for illegal or unethical behavior. Money spent investigating and correcting problems – or even the perception of problems – comes right off the bottom line. That money would be much better spent on research and innovation, capital improvements and retaining key talent.

Why We’re Here 9www.utexas.edu/compliance UCS Purpose is to promote and support a working environment which reflects the University’s commitment to maintaining the highest level of integrity and ethical standards in the conduct of its operations. Towards this end, the compliance and ethics program will include programs and practices designed to nurture and preserve the University’s culture of respect and honesty while building compliance and ethics consciousness into the daily activities of its faculty and staff.

What We Do 10www.utexas.edu/compliance Strive to be a valued resource to the University community by being a centralized “center of excellence” where we benchmark and share compliance and ethics best practices.

What We Do 11www.utexas.edu/compliance Create (or assist others in the creation of) effective compliance & ethics processes: – risk assessment – policies and procedures – training and education – monitoring and auditing – reporting and investigations – corrective action and continuous improvement

What We Do 12www.utexas.edu/compliance Facilitate an ongoing and meaningful conversation between students, faculty and staff about legal and ethical behavior to ensure that the University has effective programs in place to prevent, detect and mitigate significant compliance and ethics risks. No gaps. No waste. No surprises.

How We Work Together 13www.utexas.edu/compliance Compliance and ethics expectations of all students, faculty and staff: Act legally and ethically at all times Encourage others to act legally and ethically at all times Manage conscientiously Prevent and report retaliation Complete compliance training Report illegal or unethical behavior in a timely manner

How We Work Together 14www.utexas.edu/compliance Reporting illegal and unethical behavior: Contact us before you do something that you think may be unethical or illegal Speak up if you see someone else do something that you think may be unethical or illegal – Conflicts of interest – Kickbacks, theft, favors or fraud – Questionable accounting or auditing practices – Falsifying payroll or company records – Use or sale of illegal drugs – Unsafe behavior

How We Work Together 15www.utexas.edu/compliance If you want to report suspicious behavior, you have lots of options: Talk to your Dean Talk to HR Contact the Legal Department Contact University Compliance Services (UCS) – In person at 1616 Guadalupe Street, UTA – By mail at PO Box 8118, Austin, TX or Campus Mail Code D9200 – By phone (512) or fax at (512) – By web at Or use the compliance and ethics hotline

The Compliance and Ethics Hotline 16www.utexas.edu/compliance 1 (877) Reports to the hotline can be made anonymously. Confidentiality will be maintained to the greatest extent allowed by law and under the circumstances of the report.

1616 Guadalupe Street, UTA (512) ▪ (512) (fax)