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2.5.7 Compliance Investigations

A. Purpose

The purpose of this Policy is to establish a process to address potential violations, to report to the appropriate agencies violations of laws or regulations requiring the return of prior payments to a program, or to address other institutional violations.

B. Persons Affected

This Policy applies to all Employees, students, contractors, and subcontractors.

C. Definitions

CCO: Chief Compliance Officer

D. Policy and Procedures

  1. Reporting Violations
    1. Hotline. The University has established a 24/7 Ethics and Compliance Hotline for Employees to use to report suspected incidences of noncompliance. Reporters using the hotline can remain anonymous.
    2. Alternatives. Alternatively, individuals are encouraged to contact the Office of Compliance, OHR, the Title IX Office, or Internal Audit to report suspected violations. 

  2. Receipt of Violation Reports. All reports of suspected noncompliance are logged by the Office of Compliance and scheduled for investigation, if appropriate to the situation.

  3. Investigations

    1. Time frame. When the Office of Compliance learns of potential violations or misconduct, an investigation into the matter is initiated to determine whether a material violation has occurred.
    2. Procedure. Investigations may include interviews and a review of relevant documents and/or other materials.
    3. Notification. Allegations of wrongdoing may also be escalated, depending on severity, to a dean, vice president, the President, UT System, or the Board of Regents.
    4. Other departments. The CCO may refer the investigation to Internal Audit, OHR, Title IX, the Quality Department, the UPD, the Office of Legal Affairs, UT System’s Office of General Counsel, or outside counsel, depending upon the nature of the reported violation.
    5. Preservation of evidence. The Office of Compliance shall ensure that steps are taken to prevent destruction of documents or other evidence that may be necessary for further investigation by other parties.
    6. Employee removal. If the CCO believes the integrity of the investigation is at stake, the involved Employee(s) will be removed until the investigation is completed.

  5. Corrective Actions

    1. Time frame. If the investigation indicates that corrective action is warranted, it is immediately imposed based upon the severity of the violation, in accordance with the Rules governing the Board of Regents of the UT Systems.
    2. Actions taken. Specific imposition of disciplinary action is outlined by the appropriate Policy in the HOP.

    5. Reports

    1. Internal. Following the investigation, the Office of Compliance may prepare a report describing the findings and identifying the steps and accountability structure required to remedy any issue noted.
    2. External. Any misconduct which falls in any the following categories shall be reported to the appropriate agency within a reasonable time period after receipt of credible evidence of misconduct, with appropriate disciplinary action taken:
      1. violates criminal law;
      2. a material violation of civil law; or
      3. a material violation of the rules and regulations governing federally funded or state funded healthcare programs.

    6. Restitution

    Restitution or repayment of funds to a program shall be undertaken with the advice of the Office of Legal Affairs, the UT System Office of General Counsel, or outside counsel.

     

    7. Time Frame

    External reporting and repayment shall occur after University review and in compliance with applicable federal, state, and local statutes, regulations, policies, and directives.

E. Reference Sources and Authority

Not applicable.

F. Review Responsibilities and Dates

The Division Head for this Policy is the Chief Compliance Officer, and this Policy shall be reviewed every two (3) years or sooner, if necessary, by the Division Head or their designee.