1616 Guadalupe Street, UTA 2.206 (512) 232-7055 ▪ (512) 232-3722 (fax) utexas/compliance

1. 1616 Guadalupe Street, UTA 2.206 (512) 232-7055 ▪ (512) 232-3722 (fax) www.utexas.edu/compliance

2. What I Hope to Accomplish Today Introduce you to University Compliance Services (UCS) • Who we are • Why we’re here • What we do • How we work together www.utexas.edu/compliance

3. Who We Are Office ofLegal Affairs (includingEthics Officer) Office of Internal Audits University Policy Office HR, CFO, IT, Security, and other Stakeholders www.utexas.edu/compliance Executive Compliance Committee University President University ComplianceServices UT System Compliance Office

4. Who We Are UCS Staff • Paul Liebman, Director • Clay Simmons, Deputy Director • Jaime Davis, Training Coordinator • Cristy Oliver, Administrative Manager • Karen Pate, Administrative Assistant www.utexas.edu/compliance

5. MANDATED BOUNDARIES Why We’re Here:The Big Picture OBSTACLES OPPORTUNITIES Strategic, financial and operational OBJECTIVES BUSINESS MODEL includes strategy, people, processes, technology and infrastructure OPPORTUNITIES VOLUNTARY BOUNDARIES.

6. MANDATED BOUNDARIES are established by external forces including foreign and US federal, state, local laws and regulations, and other mandates like UT System policies. Why We’re Here: The Big Picture Mission: The mission of The University of Texas at Austin is to achieve excellence in the interrelated areas of undergraduate education, graduate education, research and public service. The university provides superior and comprehensive educational opportunities at the baccalaureate through doctoral and special professional educational levels OBSTACLES OPPORTUNITIES Mission: The University of Texas at Austin contributes to the advancement of society through research, creative activity, scholarly inquiry and the development of new knowledge. The university preserves and promotes the arts, benefits the state’s economy, serves the citizens through public programs and provides other public service OPPORTUNITIES VOLUNTARY BOUNDARIES are defined by UT’s voluntary policies, contractual obligations and public commitments, and its Core Values and Honor Code.

7. Why We’re Here The potential consequences for violating mandatory and voluntary boundaries can be severe: • Death or serious injury • Criminal liability for the University or individuals • Significant civil or administrative liability • Loss of business or research opportunities • Reputation damage • Change of law www.utexas.edu/compliance

8. Why We’re Here Nobody budgets for illegal or unethical behavior. Money spent investigating and correcting problems – or even the perception of problems – comes right off the bottom line. That money would be much better spent on research and innovation, capital improvements and retaining key talent. www.utexas.edu/compliance

9. Why We’re Here UCS Purpose is to promote and support a working environment which reflects the University’s commitment to maintaining the highest level of integrity and ethical standards in the conduct of its operations. Towards this end, the compliance and ethics program will include programs and practices designed to nurture and preserve the University’s culture of respect and honesty while building compliance and ethics consciousness into the daily activities of its faculty and staff. www.utexas.edu/compliance

10. What We Do Strive to be a valued resource to the University community by being a centralized “center of excellence” where we benchmark and share compliance and ethics best practices. www.utexas.edu/compliance

11. What We Do Create (or assist others in the creation of) effective compliance & ethics processes: • risk assessment • policies and procedures • training and education • monitoring and auditing • reporting and investigations • corrective action and continuous improvement www.utexas.edu/compliance

12. What We Do Facilitate an ongoing and meaningful conversation between students, faculty and staff about legal and ethical behavior to ensure that the University has effective programs in place to prevent, detect and mitigate significant compliance and ethics risks. No gaps. No waste. No surprises. www.utexas.edu/compliance

13. How We Work Together Compliance and ethics expectations of all students, faculty and staff: • Act legally and ethically at all times • Encourage others to act legally and ethically at all times • Manage conscientiously • Prevent and report retaliation • Complete compliance training • Report illegal or unethical behavior in a timely manner www.utexas.edu/compliance

14. How We Work Together Reporting illegal and unethical behavior: • Contact us before you do something that you think may be unethical or illegal • Speak up if you see someone else do something that you think may be unethical or illegal • Conflicts of interest • Kickbacks, theft, favors or fraud • Questionable accounting or auditing practices • Falsifying payroll or company records • Use or sale of illegal drugs • Unsafe behavior www.utexas.edu/compliance

15. How We Work Together If you want to report suspicious behavior, you have lots of options: • Talk to your Dean • Talk to HR • Contact the Legal Department • Contact University Compliance Services (UCS) • In person at 1616 Guadalupe Street, UTA 2.206 • By mail at PO Box 8118, Austin, TX 78713 or Campus Mail Code D9200 • By phone (512) 232-7055 or fax at (512) 232-3722 • By web at www.utexas.edu/compliance • Or use the compliance and ethics hotline www.utexas.edu/compliance

16. The Compliance and Ethics Hotline 1 (877) 507-7321 www.reportlineweb.com/utaustin hotline@compliance.utexas.edu Reports to the hotline can be made anonymously. Confidentiality will be maintained to the greatest extent allowed by law and under the circumstances of the report. www.utexas.edu/compliance

17. 1616 Guadalupe Street, UTA 2.206 (512) 232-7055 ▪ (512) 232-3722 (fax) www.utexas.edu/compliance