Compliance

What is Compliance?

• Compliance is knowing what to do and doing what is right.

System Administration Compliance Office

Compliance Officer: J. Dale Sump
Compliance Coordinator: Rhonda J. Lands

• Responsible for the compliance program and general compliance training
• Provides administrative support to the System Administration Executive Compliance Committee and Compliance Working Group

Why is there a Compliance Program?

• UT System is committed to the highest ethical standards and compliance with all applicable laws, rules, regulations, policies, and procedures.
• General Compliance training and awareness efforts are designed to both:
  • Maximize employee compliance with laws and rules; and
  • Minimize the risk of fines, litigation, and adverse publicity due to non-compliance

Compliance Program Activities

The System Administration Compliance Program is designed to:

• Build awareness of ethics and compliance issues into daily business processes
• Monitor the effectiveness of those processes; and
• Communicate instances of non-compliance to appropriate officials for action

Your Responsibility

• Each employee is expected to perform his or her duties in compliance with applicable laws, rules, regulations, policies, and procedures.

Employee Code of Conduct

Standards of Conduct Guide

• Summarizes the System Administration compliance program
• Provides guidance to System Employees on workplace conduct; and
• Includes references to the law, rule, policy, regulation, or procedure

You are required to review this Guide as a part of this orientation. Click on the graphic to open the Guide.

Frequently Asked Questions

Training

General Training is provided to all System Administration employees and generally cover topics included in the Standards of Conduct Guide, such as:

• Conflicts of Interest and Ethics
• Computer Security and Use of State Resources
• Overtime Compensation and Timekeeping
• Drug and Weapon-Free Workplace
• Workplace Health and Safety & Injury Prevention
• Fraud Awareness
• Equal Employment Opportunity
• Preventing Sexual Harassment

Specialized compliance training is generally offered to certain employees by a department, as needed.

Rule of Thumb

When faced with a compliance or ethical decision, ask yourself:

• What is the law, rule, regulation, policy or procedure?
• Am I being fair and honest?
• Does it feel like the right thing to do?
• How would it look in the newspaper?

If you know it's wrong, Don't Do It!

If you're not sure... Ask Before You Act!

Suspected Violations

• The head of the affected department
• An appropriate System Administration official
• System Administration Compliance Office; or
• The Compliance Hotline* 1-877-217-2426

*Make an anonymous report to System Administration's toll-free hotline service, operated 24 hours a day, 365 days a year by trained professionals.

Questions, Comments, or Suggestions?

If you have a question, comment or suggestion about this training, the Standards of Conduct Guide, or the compliance program itself, please contact the Compliance Officer, Dale Sump, in person, by e-mail at dsump@utsystem.edu, by phone at(512) 499-4348, or anonymously at http://www.utsystem.edu/systemcompliance/contactus.aspx.

Think Compliance...

Wherever you are...

Whatever you do..