UTS178 Required Reporting of Significant Events

Sec. 1 Policy Statement. 

The University of Texas System Board of Regents is committed to exercising its oversight function by establishing an environment where significant allegations and investigations are reported to the Board in a timely fashion. This policy implements a reporting process to ensure the Board has the information needed to exercise its oversight responsibility.

Sec. 2 Reports of Allegations and Investigations.

Presidents and executive officers of the U. T. System institutions who oversee such functions as business affairs, compliance, audit, legal affairs, information security and safety, public relations, police operations, and patient safety shall report significant allegations, reviews, investigations, and reports of noncompliance with federal or state statutes and regulations, or U. T. System policies to the Responsible Contact Office at System Administration as soon as possible, and the responsible System office shall immediately notify the Chancellor, the appropriate Executive Vice Chancellor, the Vice Chancellor and General Counsel, and the General Counsel to the Board.

Sec. 3 Reports to the Board.

The General Counsel to the Board is charged with determining those matters to be reported immediately to the Board of Regents.

The General Counsel to the Board shall follow up on behalf of the Board and provide the Board with a monthly report of the status of all significant events.


Significant Events – matters including, but not limited to, reports of death or serious injury occurring on campus or involving a member of the university community; allegations of fraud or fiscal loss of $100,000 or more; allegations involving impropriety or failure to follow law or policy by the Chancellor, a System Executive Vice Chancellor or Vice Chancellor, the General Counsel to the Board, or the System Chief Audit Executive; or an institutional president or vice president; allegations of sexual misconduct; allegations related to the care or safety of minors; material concerns expressed by federal and state oversight agencies; security breaches involving confidential records; potential media reports that may impact the reputation of the university; or matters that reflect a systemic threat to patient safety.

Responsible Contact Office – The System office with which the institutional office interacts most regularly.