New Faculty Orientation

1. New Faculty Orientation Office of the General Counsel Anne K. Garcia Senior Associate General Counsel Executive Director of Billing and Research Compliance

2. New Faculty Orientation • Office of the General Counsel • Provides legal guidance and services • Saint Louis University provides coverage for: • Faculty • Fellows • Residents • Medical Students • Other Staff

3. New Faculty Orientation • Coverage is provided for all occurrences that happened during the course and scope of your employment with Saint Louis University. • NOT COVERED: • If injuries result from acts or omissions while under the influence of drugs or alcohol • Criminal or intentional acts • Outside the normal course and scope of your employment

4. New Faculty Orientation • Failure to Cooperate with OGC or Defense Counsel • Insurance: • University is self insured up to $2 million • Excess commercial insurance is provided up to $25 million per year.

5. New Faculty Orientation • Reporting of Incidents • Please report promptly (within 24-48 hours) • Methods of Reporting • 977-URPT (8778) • Slucareincident.slu.edu • Username: INCIDENT • Password: SLUCARE1! • Call the OGC at 977-5767

6. New Faculty Orientation • Other Helpful Tips • If an attorney calls, please direct them to the OGC at 977-5767. Do not speak with the attorney. • If you receive a BHA or AG complaint direct it to the OGC • Direct any process servers to the OGC • If you are named in a lawsuit, OGC will appoint defense counsel and will notify you of your assigned counsel.

7. New Faculty Orientation • Other Helpful Tips (Continued) • Complete and Timely Documentation • Limit Email Communications (Discoverable) • Please discuss patient care in the appropriate setting • Need assistance handling a difficult issue/family involve Risk Management

8. New Faculty Orientation Questions???

9. Office of University Compliance • Physician Billing Compliance • Privacy/HIPAA • Research Compliance • Export Controls

10. Billing Compliance • Routine audits of billing records • Education • Repayments to CMS and insurance companies • Sanction checks for HSC employees and vendors

11. Privacy/HIPAA • Ensure SLU’s compliance with HIPAA privacy regulations • Provide HIPAA education to SLU workforce • Establish and maintain policies regarding privacy • Provide incident response to issues of privacy • Advise staff and management regarding privacy matters • Collaborate with IT to address appropriate safeguarding of information • Privacy Officer: Ron Rawson, rawsonr@slu.edu; 977-5880

12. Research Compliance • Audits/Reviews of Research Divisions • IACUC, IRB, OEHS, etc. • Clinical Trial reviews • Sunshine Act • Research misconduct investigations • Education

13. Reporting • Saint Louis University Compliance Hotline • Available and answered 24/7 • Caller / reporter may remain anonymous • Protection provided

14. The Saint Louis University Office of University Compliance is committed to excellence in corporate integrity and responsibility. This commitment is realized through the integration of education, leadership, and service. Through collaboration the Department promotes the highest standards of ethical, moral, and lawful practices. These efforts are guided by the mission of Saint Louis University and the Jesuit tradition. http://www.slu.edu/general-counsel-home/compliance

15. Questions?

16. Export Controls Michael Reeves Export Control Officer

17. Export Controls Federal Export Control regulations restrict the following exports: • Tangible goods: technology, letters, software, or packages • Communication: email and phone conversations • International travel

18. Definitions • “U.S. Person”-Any person who is a citizen of the United States, a lawful permanent resident alien of the United States, a refugee or someone here under amnesty. • “Foreign National”- Any individual or organization that is not a U.S. person. • “Technology Control Plan”-Plan used to manage Export Control restrictions during research project.

19. “Deemed Export” • “Deemed Export”- Discussion with a “Foreign National” or providing them access to controlled research within the borders of the United States.

20. Regulated by 3 federal agencies: • Department of Commerce • Department of State • Department of the Treasury

21. Department of Commerce • Export Administration Regulations (EAR) • 15 CFR 730-774 • “Dual-use” items- commercial goods, services, and technologies that also have military or proliferation possibilities. (i.e. GPS, UAV) • Maintain Commerce Control List

22. Department of State • International Traffic in Arms Regulations (ITAR) • 22 CFR 120-130 • Defense items-products specifically designed for military applications (i.e. missiles) • Maintain Munitions list • Recently updated category XV • “Defense Services”

23. Department of the Treasury • Office of Foreign Assets Control (OFAC) • 31 CFR 500-599 • Regulates countries, organizations, and individuals. Targets terrorists, drug traffickers, WMD proliferators, human rights violators, anti-boycott and narcotics (i.e. Marion, IL golf course, ) • Maintain sanction lists for the above groups

24. Export restricted and embargoed countries • All three federal agencies maintain lists of restricted and embargoed countries • Comprehensive Sanctioned Countries T-5 (Cuba, Iran,, N. Korea, Syria, Sudan) • Most countries have commodity or information exchange specially restricted (i.e. China, Russia)

25. Fundamental Research Exclusion • Ordinarily published and shared broadly within the scientific community • Generally accessible to the interested public in any form • Applies only to information, not tangible goods

26. Educational • General science, math and engineering commonly taught at schools and universities (ITAR) • Information conveyed in courses listed in course catalogues and in their associated teaching labs of any academic institution (EAR)

27. Bona Fide Employee • Is a full-time, bona fide employee; • Is not a national of certain countries; • Has a permanent residence in the US while employed; and • Is advised in writing not to share covered technical data with foreign nationals.

28. Licenses Current process requires us to seek license for highest level of restriction; • ITAR • EAR • OFAC-Travel to all T-5 and most D-1 countries

29. Areas of Concern for SLU • Downloading software on a restricted computer • Providing technology/technical data via email, fax or during a phone conversation or a meeting to a foreign national • Provision of defense services to a foreign person; wherever the services take place • Re-export • Shadowing into restricted spaces

30. Travel • Traveling with SLU equipment • Temporary Export Certificate • Clean computer • Traveling with personal technology • All technology is on CCL • No research on personal devices while traveling

31. Penalties for Violations • ITAR: Civil Penalties-Up to $500,000 fine • ITAR: Criminal Penalties-Up to $1 million fine, up to 10 years in prison • EAR: Civil Penalties-Up to $250,000 fine • EAR: Criminal Penalties-Up to $1 million fine, 20 years in prison. • OFAC: Civil Penalties-Up to $250,000 fine • OFAC: Criminal Violations-Up to $1 million fine, 10 years in prison.

32. Examples of Violations • Professor J. Reece Roth, University of Tennessee • Guilty of 18 counts of conspiracy, fraud, and violating the Arms Export Control Act • Sentenced to 48 months • UT escaped fine because of cooperation and policy • UM-Lowell- Failed to screen company- $100,000 fine. • ITT-leading producer of night vision goggles -$100 million fine • Boeing $4.2 million and $15 million fines

33. Contact information • Michael Reeves, University Export Control Officer mreeves8@slu.edu, 977-5880

34. Questions?