Handbook of Operating Procedures > Series 200 General Policies and Procedures > 2.5.7 Compliance Investigations

2.5.7 Compliance Investigations

A. Purpose

To establish a policy to investigate alleged violations of University policy and/or relevant laws and regulations and 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 University of Texas at Tyler (the "University") students, faculty, and staff.

C. Definitions

None.

D. Policy and Procedures

1. Investigations
   1. The University has established a full-time Compliance and Ethics hotline service for faculty, staff, employees, patients, and/ or contractors to use to report suspected incidences of non-compliance.
      1. Health Center Hotline: https://www.uthct.edu/compliance/
      2. Academic Campus Hotline: https://www.uttyler.edu/compliance/ethics-line/
   2. In addition, individuals are encouraged to contact any of the Executive Compliance Committee (ECC) members, the health or academic campus Compliance Office, Human Resources, the Title IX office, or Internal Audit to report suspected violations. All reports that are received are logged and scheduled for investigation as appropriate to the situation. If the alleged violation or misconduct meets UT System reporting requirement, the Internal Audit Department is be notified. Allegations of wrongdoing may also be escalated depending on severity to a dean, vice president, the president, UT System, or the Regents.
   3. When potential violations or misconduct are reported, an investigation into the matter is initiated to determine whether a violation has actually occurred.Depending upon the nature of the allegation, investigations will be referred to Compliance, Internal Audit, Human Resources, Title IX, Quality Department, the Police Department, Office of Legal Affairs, UT System Office of General Counsel, outside counsel, or a combination of any of the above, and investigated using steps outlined in the relevant policy. When appropriate, steps should be taken to prevent destruction of documents or other evidence that may be necessary for further investigation by other parties.
   4. If university leadership believes the integrity of the investigation is at stake, the involved employee(s) is (are) removed until the investigation is completed.
   5. Following the investigation, the investigative department prepares a report describing the findings and identifying the steps and accountability structure required to remedy any issue noted. This report will be issued to relevant managers and/or executives and the Compliance Office will be informed that the investigation is complete.
   6. If the investigation indicates that corrective action is warranted, it is imposed based upon the severity of the violation, in accordance with the Rules and Regulations governing the Board of Regents of the UT Systems, with the University written standards of disciplinary action as noted in the University's Handbook of Operating Procedures.
   7. Any misconduct that violates criminal law or is a material violation of civil law or of the rules and regulations governing federally funded or state funded healthcare programs is reported to the appropriate agency within a reasonable time period after receipt of credible evidence of misconduct, with appropriate disciplinary action taken.Restitution or repayment of funds to a program shall be undertaken with the advice of Office of Legal Affairs, UT System Office of General Counsel or outside counsel. Repayment and reporting shall occur after institutional review in compliance with applicable federal, state and local statutes, regulations, policies and directives.]
2. Enforcement
   1. All supervisors are responsible for enforcing this policy. Individuals who violate this policy will be subject to the appropriate and applicable disciplinary process, up to and including termination.

E. Responsibilities

See section D, Policies and Procedures.

F. Review

• February - April 2020 by HSC leadership
• February 2022 by UT Tyler leadership

G. References

No references.