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Updated date Title Details
05/15/2012 - 09:42 Enterprise Risk Assessment - Help

Thank you for your participation in the UNT System Enterprise Risk Assessment process! Below you will find downloadable files which contain helpful information about the risk assessment process. If you have any questions, please do not hesitate to contact the Office of Institutional Compliance at (940) 565-4142.
02/22/2011 - 18:16 Institutional Compliance Coordinating Committee (Only applies to UNT)

Institutional Compliance, as part of its responsibility to provide on-going assurance of compliance with applicable regulatory requirements has identified the need to reestablish a Compliance Committee with campus-wide representation to assist in managing some University risks.  Institutional Compliance in addressing UNT risks, as needed. This Committee also assists Institutional Compliance in appropriately addressing campus-wide compliance concerns, issues, and challenges, to include the timely satisfying of any immediate regulatory requirements. 

An important benefit for establishing this Committee is it provides an effective mechanism towards tracking progress in meeting any new regulatory requirements.  It is extremely valuable to have a standing Committee with the campus-wide representation to address any short suspense mandates.

The UNT Institutional Compliance Coordinating Committee performs the following functions:

  • Assists in promoting awareness of the Institutional Compliance Program within their respective unit and campus-wide as applicable.
  • Assist in addressing campus-wide compliance concerns, including satisfying any immediate regulatory requirements.
  • Each Committee member will ensure their units identify and document the applicable regulatory information the units they're representing are supposed to be in compliance with.
  •  Review and assist in ensuring that all reports received by the Committee are resolved in a timely manner.
  •  Assist Institutional Compliance with providing on-going assurance regarding compliance with applicable regulatory requirements, policies, and procedures.
02/22/2011 - 18:02 Building Upon the Mission: Everyone Plays a Part

The University of North Texas System and its campuses are committed to conducting themselves with the highest integrity and in compliance with all laws. They are dedicated to ensuring that its faculty, staff, and administration understand the requirements of applicable laws, and that they have access to the training and guidance they need to carry out their duties in an effective and ethical manner. The UNT System and its campuses have extensive record keeping, tracking, and oversight mechanisms for ensuring compliance, and they are committed to their continuous review and improvement.

Institutional Compliance Mission Statement: To reinforce and support a culture at UNT System Institutions which builds compliance consciousness into their daily activities and operations throughout each area of our University and encourages each employee to conduct UNT System and campus business with the highest standards of honesty and integrity.

Institutional Compliance is an independent arm of management with a mission of establishing an Institutional Compliance program that clearly demonstrates UNT System's total commitment to the highest standards of ethics and compliance with all applicable regulatory requirements by its faculty, staff, and students.

Additional Suspected Fraud, Waste and Abuse Reporting Options:  It is the policy of UNT System and its campuses to identify and promptly investigate any possibility of fraudulent or related dishonest activities against UNT System or one if its campuses and, when appropriate, to pursue legal remedies available under the law.  Another option for reporting suspected fraud, waste and abuse in addition to reporting it to a UNT System or campus organization is directly reporting the suspected incident to the State Auditor's Office.  The State Auditor's telephone number is 1-800-TX-AUDIT (892-8348) and their website is http://sao.fraud.state.tx.us. 

Institutional Compliance News & Updates
02/22/2011 - 17:29 Contact

Institutional Compliance is located in the Hurley Administration Building, suite 135. Please call or email for more information or to schedule an appointment.

Institutional Compliance Staff

Telephone
For information, click here.

Web Based Hotline Reporting
Compliance Hotline Weblink

Ask a Records Management Question

Compliance Telephone Hotline (this option does not allow anonymous reporting)
(940) 565-4351

FAX
(940) 565-4322

Postal Address
Institutional Compliance
University of North Texas
1155 Union Circle # 311699
Denton, TX 76203
 

Electronic mail
For information, click here.
02/22/2011 - 17:08 UNT System and Campus Resources

If you have specific questions pertaining to any of the UNT business units listed below, please click on the link below.

 
02/22/2011 - 16:36 Ethics

Additional Suspected Fraud, Waste and Abuse Reporting Options:  It is the policy of UNT System and its campuses to identify and promptly investigate any possibility of fraudulent or related dishonest activities against UNT System or one of its campuses and, when appropriate, to pursue legal remedies available under the law.  Another option for reporting suspected fraud, waste and abuse in addition to reporting it to a UNT System or campus organization is directly reporting the suspected incident to the State Auditor's Office.  The State Auditor's telephone number is 1-800-TX-AUDIT (892-8348) and their website is http://sao.fraud.state.tx.us. 

 
02/22/2011 - 16:31 False-Reporting

False Reporting Reminder

Intentionally making a false report regarding compliance and non-compliance is a serious matter that can constitute grounds for disciplinary action including dismissal.

 

UNT SYSTEM POLICY

UNT POLICY 1.2.15:  RESPONSIBILITIES AND RIGHTS OF EMPLOYEES UNDER THE UNIVERSITY OF NORTH TEXAS COMPLIANCE PROGRAM
http://www.unt.edu/policy/UNT_Policy/volume1/1_2_15.html 

UNT DALLAS POLICY

 
02/22/2011 - 16:29 Retaliation

Employee Reporting Rights and Protection from Retaliation

All UNT System and campus employees have the obligation to report suspected compliance failures to the appropriate administrative authorities. They also have the right to report suspected compliance failures to the appropriate state or federal regulatory agency that monitors compliance with the particular regulatory requirement. University administrative authorities include an Auditor, Equal Employment Opportunity Officer, Human Resources Generalist, Legal Counsel, a UNT System or UNT Compliance Officer, Vice Presidents, Deans, Department Heads, Directors, or other management.

Employees who report or cause to be reported compliance failures in good faith shall be protected from retaliation. Additionally, employees assisting in any investigation by authorized or responsible parties of known or suspected violations of laws, rules, regulations, policies and/or procedures, or improper activities shall be protected from retaliation. Anyone who retaliates against an employee who reports a compliance failure in good faith or assists in an investigation shall be subject to disciplinary action including dismissal.
02/22/2011 - 16:26 Employee Responsibilities

All University employees are responsible for:

  • adhering strictly to federal and state laws as a condition of employment.
  • Participating in periodic training on ethics, compliance, and on the legal topics that relate directly to their job functions.
  • reporting suspected non-compliance with applicable federal and state laws.

Each UNT System or campus employee may have specific compliance expectations that are defined by their job duties. Each UNT System or campus employee may be certified as proficient in the compliance function related to their job duties by completing training offered by a UNT System or campus business unit including but not limited to the following: Computing and Information Technology, Equal Opportunity Office, General Counsel, Human Resources, Internal Audit, Institutional Compliance, Office of Research and Economic Development, Risk Management Services, and UNT System or campus Police.  Failure to complete required training within time frames specified by law may result in sanctions.  
02/22/2011 - 16:23 Guide to Reporting a Concern or Complaint

The following information was developed to assist in determining where to report a particular type of concern or complaint. This information is provided to assist UNT System, UNT, and UNT Dallas employees in directing any question, concern, or complaint they may have pertaining to any type of alleged inappropriate act, conduct, or compliance with federal or state laws or UNT System or campus policies.
 
The first step should always be to resolve the question, concern, or complaint using the supervisory chain-of-command. If the issue involves someone in the supervisory chain, employees should report the matter to the next higher supervisor, manager, or unit head, however, when in doubt you may always contact any of the units listed in this guidance, Internal Audit, Human Resources, Office of Equal Opportunity, UNT System or campus Police, Institutional Compliance, and possibly the Office of the Ombuds, if UNT related.
 
If the unit contacted is not the appropriate point-of-contact for the particular issue being raised, that unit will refer the issue to the appropriate UNT System or campus unit for resolution. We sincerely hope that this guidance is truly beneficial in identifying the appropriate unit to report your question, concern, or complaint to.
 
Employee's Guide to Reporting a Concern or Complaint
--Your UNT System Compliance Team