Commitment to Excellence:Institutional and Individual

Compliance

Standards of Conduct Training

Commitment to Excellence:Institutional and Individual

Compliance

Standards of Conduct Training

Standards of Conduct TrainingStandards of Conduct Training

The purpose of this training is to provide:

• An understanding of The University of Texas System and The University of Texas Health Science Center at Houston Standards of Conduct.

• An understanding of state law regarding the ethical conduct of state employees.

• An understanding of how to contact The University of Texas Health Science Center at Houston’s Office of Institutional Compliance.

UTHSC-H Institutional Compliance ProgramUTHSC-H Institutional Compliance Program

Why provide Compliance and Ethics Training?

Faculty and staff members of The University of Texas Health Science Center at Houston are employees of the State of Texas. As such, all faculty and staff members are required to abide by state laws which outline acceptable ethical conduct for state employees. The University of Texas System and The University of Texas Health Science Center at Houston have developed ethical standards which reflect these state laws.

The University of Texas System Ethical Standards

The University of Texas System Ethical Standards

The University of Texas System Ethical Standards are available online at http://www.utsystem.edu/bor/rules/homepage.htm.

These standards are found in the Standards of Conduct and Conflict of Interest portions of The University of Texas System Board of Regents’ Rules and Regulations, as well as the UTHSC-H Standards of Conduct. These ethical standards incorporate state law regarding the ethical conduct of state employees. These state laws are found in the Texas Government Code in sections 572.051 and 572.005.

These laws can be found online at http://www.capitol.state.tx.us/statutes/gv.toc.htm.

The University of Texas System Ethical Standards

The University of Texas System Ethical Standards

The University of Texas System Standards apply to all faculty and staff members of The University of Texas components. Therefore, the Ethical Standards apply to all faculty and staff members of The University of Texas Health Science Center at Houston.

The Ethical Standards require that all faculty and staff members obey the laws, rules, regulations, and policies which apply to their particular job duties. If a faculty or staff member fails to obey laws and regulations, they will be subject to disciplinary action. A faculty or staff member could be terminated for failure to obey laws and regulations.

The University of Texas Health Science Center at Houston Standards of ConductThe University of Texas Health Science Center at Houston Standards of Conduct

The University of Texas Health Science Center at Houston’s Standards of Conduct can be found in several different policies and guidelines in the Handbook of Operating Procedures (HOOP). The HOOP is available online at http://www.uth.tmc.edu/ut_general/admin_fin/planning/pub/hoop/index.html.

The text and examples below will help you better understand both The University of Texas System’s and The University of Texas Health Science Center at Houston’s Standards of Conduct.

Conflicting Interests Conflicting Interests

Faculty and staff members may not have an interest that conflicts with the way the faculty or staff member performs their job duties.

Let’s look at a case study to see how to apply this rule.

Conflicting InterestsConflicting Interests

ExampleA department is hosting a lunch meeting. Jan has been assigned the task of selecting a vendor to provide food for the lunch. Jan and her sister own a catering company. Jan decides to use the catering company she and her sister own to provide food for the meeting. Jan, as an owner in the company, will receive part of the money earned from providing food for the lunch meeting.

Is this okay?No.

Jan selected the catering company she owns because she would receive a fee for providing food for the meeting. Jan has a financial interest that influenced the way she carried out her job duties. This behavior violates The University of Texas System Ethical Standards.

UTHSC-H HOOP 2.19: Conflict of Interest UTHSC-H HOOP 2.19: Conflict of Interest

If a faculty or staff member is engaged in an outside activity for which they receive a payment or benefit, the faculty or staff member should not use health science center resources in connection with this activity or give a health science center building or department as a business address in connection with the outside activity.

UTHSC-H HOOP 2.19: Conflict of InterestUTHSC-H HOOP 2.19: Conflict of Interest

Professional Opinions

A faculty or staff member who gives a professional opinion in a private capacity must protect The University of Texas Health Science Center at Houston against the circulation of that opinion for advertising purposes. It should be made clear that the professional opinion is not being given by the faculty or staff member in their official capacity at The University of Texas Health Science Center at Houston.

Let’s look at a case study.

UTHSC-H HOOP 2.19, Conflict of InterestUTHSC-H HOOP 2.19, Conflict of Interest

Stan works as a faculty member in the Medical School. Stan is a licensed physician. Stan is approached by a manufacturer of a medical device to provide initial feedback on the medical device. Stan will be paid directly for this advice and this review will not be done as part of his job responsibilities at the Medical School. He will review the devices on his own time and will not use any health science center resources. After Stan conducts his review, the manufacturer asks if they can use part of his opinion in a brochure they are developing for the device. The brochure will state that this opinion is from Stan Brown, Professor, The University of Texas Medical School at Houston.

Is that okay?

UTHSC-H HOOP 2.19, Conflict of InterestUTHSC-H HOOP 2.19, Conflict of Interest

No.

Stan should ensure that The University of Texas Health Science Center at Houston’s name is not used in advertising for the medical device. Stan should also make sure that the manufacturer understands that the health science center’s name should not be connected to his name because the review he performed was not conducted in his official capacity with the health science center.

Here’s another example.

HOOP 2.19, Conflict of InterestHOOP 2.19, Conflict of Interest

Stan has written an article which will be published soon. The article is related to his academic and research responsibilities at the health science center. The journal will list Stan as Stan Brown, Professor, The University of Texas Medical School at Houston.

Is that okay?Yes.

Faculty and staff members can reference The University of Texas Health Science Center at Houston’s name when they author a book, pamphlet, or article related to their academic or research responsibilities at the health science center.

Research Conflicts of InterestResearch Conflicts of Interest

Faculty or staff members who conduct research or educational activities using public or private funding from any source have additional obligations under HOOP 23.10, Research Conflicts of Interest.

Gifts to Faculty or Staff Members Gifts to Faculty or Staff Members

Faculty and staff members should not ask for or accept any gift that might influence the way the faculty or staff member performs his or her job duties. Additionally, faculty and staff members should not ask for or accept a favor or service that might influence how they do their jobs.

Let’s look at an example.

Gifts to Faculty or Staff Members Gifts to Faculty or Staff Members

Dan is in the process of ordering several, new large pieces of equipment for his department’s laboratory. One of the vendors whose equipment Dan may buy has offered Dan season tickets for the Houston Texans football team.

Is it okay to accept the season tickets?

Dan cannot accept the season tickets if accepting the season tickets would affect Dan’s decision about which vendor to buy equipment from. Additionally, Dan cannot accept the season tickets if accepting them would appear to influence Dan’s decision about which vendor to buy equipment from. Furthermore, Dan can only attend the games if the vendor goes with him to the games and Dan is his guest.

Gifts to Faculty or Staff MembersGifts to Faculty or Staff Members

Faculty and staff members cannot ask for or accept any benefit in exchange for performing his or her job duties in a manner that favors another.

Let’s see how this standard applies to the workplace.

Gifts to Faculty or Staff MembersGifts to Faculty or Staff Members

ExampleJill works in the Office of Admissions for the Dental Branch. Jill reviews applications and makes recommendations on which students should be interviewed. A prospective student has asked her to ensure that he is interviewed for admission to the school. The prospective student has offered Jill three hundred dollars in cash in exchange for her help.

Can Jill accept the money?No.

Jill may not accept this money. Jill is being offered this money so that she will perform her job duties in a manner that favors another. Jill is being asked to ensure the prospective student gets an interview in exchange for cash. This type of behavior directly violates Texas state law regarding the ethical conduct of state employees. Acceptance of the money by Jill may also violate the Texas Bribery statute. Jill could be charged with a felony.

Confidential InformationLimits on Employment and Certain ActivitiesConfidential InformationLimits on Employment and Certain Activities

Faculty and staff members cannot accept outside employment which might require the faculty or staff member to disclose confidential information the faculty or staff member has learned due to his or her job responsibilities at The University of Texas Health Science Center at Houston. Faculty and staff members cannot participate in any external business or professional activity which might require the faculty or staff member to disclose confidential health science center information.

Let’s look at a case study.

Confidential InformationLimits on Employment and Certain ActivitiesConfidential InformationLimits on Employment and Certain Activities

ExampleJack works in Human Resources and has access to personnel data for all health science center employees. Jack has access to the home phone numbers and addresses of all health science center employees. Jack is thinking about working on the weekends with a telemarketing company. The telemarketing company will only hire Jack if he gives them the home phone numbers and addresses of employees at the health science center.

Can Jack accept the job with the telemarketing company?

No.

Jack cannot accept the job with the telemarketing company because this second job would require Jack to disclose confidential information he learns through his job at the health science center.

Disclosing Confidential InformationDisclosing Confidential Information

Faculty and staff members cannot disclose confidential information they have learned through their jobs at The University of Texas Health Science Center at Houston to benefit themselves.

Let’s see how this standard applies to the workplace.

Disclosing Confidential InformationDisclosing Confidential Information

ExampleSue works in the Office of Public Affairs. Through her job responsibilities, Sue often learns of sensitive information which may be reported in the press. A reporter from a local TV station is aware of Sue’s job responsibilities and offers to pay her each time she leaks a story to him.

Is it okay for Sue to tell the reporter about the sensitive information she learns through her job and accept these

payments?No.

Sue cannot leak sensitive information about the health science center to the reporter in exchange for cash. If she did this, Sue would be disclosing confidential information she has learned through her job to benefit herself. Sue’s action would violate Texas state law.

Personal InvestmentsPersonal InvestmentsFaculty and staff members should not make personal investments that could create a substantial conflict between the employee’s private interest and the public interest.

Let’s look at a case study.

Personal InvestmentsPersonal InvestmentsJim is a faculty member at the Medical School. Jim is currently conducting a study sponsored by Pharmaceutical Company ABC. If the outcome of the study is favorable, Pharmaceutical Company ABC’s stock price could rise substantially. Jim recently received an unexpected tax refund. He is thinking about using this money to invest in Pharmaceutical Company ABC.

Would investing in Pharmaceutical Company ABC violate The University of Texas System’s Ethical Standards?

Yes.

Investing in Pharmaceutical Company ABC creates a conflict between Jim’s private interest and the public interest. If Jim invests in Pharmaceutical Company ABC, Jim has an interest in the outcome of the study he is conducting. If the outcome is favorable, Jim’s investment in Pharmaceutical Company ABC could be worth more money. Jim may be tempted to change the outcome of the study, so that he makes money on his Pharmaceutical Company ABC stock. However, changing the outcome of the study may hurt patients whose doctors rely on the data from this study when deciding how to treat their patients.

Independent Judgment Independent Judgment

No faculty or staff member can accept other employment or compensation that might affect the faculty or staff member’s independence of judgment in the performance of the faculty or staff member’s job duties.

Let’s look at an example.

Independent JudgmentIndependent Judgment

Ann is a professor at The University of Texas Health Science Center at Houston. One of her students is not performing well in her class. The student has offered to pay Ann $5,000 in cash if Ann will raise his grade to a B for the semester.

Is it okay for Ann to accept the money? No.

Ann may not accept the money to raise the student’s grade. A faculty or staff member cannot accept compensation that might affect the faculty or staff member’s independence of judgment in the performance of the faculty or staff member’s job duties.

HonorariaHonoraria

An honorarium is payment for services, such as a speech or a lecture. A faculty or staff member cannot ask for or accept an honorarium if they would not have been asked to give the speech or lecture but for their official position at The University of Texas Health Science Center at Houston. Therefore, you should not take a speaker’s fee for speaking if your position with The University of Texas Health Science Center at Houston is a deciding factor in the decision to ask you to speak. You can accept transportation, lodging, and meal expenses for active participation in a conference or seminar at which you render services which are more than perfunctory.

Let’s look at an example.

HonorariaHonoraria

Katherine works as a Director of Management Operations (DMO) for a department in the Medical School. She is also a Certified Public Accountant. She has been asked to speak at a conference about the financial policies she helped to implement in her department. The sponsors of the conference have offered to pay Katherine $500 to speak and to pay for her transportation, lodging, and meal expenses while she is at the conference. In their letter to Katherine inviting her to speak, the conference sponsors state, “We have invited you to speak because of your current position at The University of Texas Health Science Center at Houston and the expertise you have gained through your work at the university.”

Can Katherine accept the $500? Can Katherine accept payment for her

transportation, lodging, and meal expenses?

HonorariaHonoraria

Katherine should not accept the $500 for speaking at the conference because the letter from the sponsoring organization indicates that her current position at The University of Texas Health Science Center at Houston is a deciding factor in the decision to ask her to speak at the conference. Katherine can accept payment for her transportation, lodging, and meal expenses because she is actively participating in the conference and rendering services which are more than perfunctory.

Fraud & AbuseFraud & Abuse

It is every faculty and staff member’s responsibility to prevent fraud and abuse of university and State of Texas resources. Additionally, faculty and staff members are prohibited from committing fraud and abuse of health science center and State of Texas resources.

Fraud is knowingly or willfully attempting to gain any benefit which does not belong to you.

Abuse is defined as activities that result in excessive or unreasonable cost to the university, or other state or federal agencies.

Fraud & AbuseFraud & Abuse

What are some examples of fraud? • Falsifying any type of record: payroll or time records, medical

records, scientific research records • Providing false receipts and documentation for any type of

reimbursement from the health science center, e.g. travel • Billing for procedures or services not performed or rendered with

inadequate documentation • Overstating the percentage of effort that personnel actually work

on research grants funded by federal or state agencies

What are some examples of abuse? • Using sick leave when not sick • Taking products or supplies that belong to the health science center • Taking a long lunch or break without approval

Sensitive InformationSensitive Information

Sensitive information about health science center students, employees, strategies, and operations must be protected. Employees who handle sensitive information shall follow all administrative, technical, and physical safeguards implemented by the health science center for the protection of sensitive information. Some examples of sensitive information include: • personnel data, • social security numbers, • student information, • research data, • financial data, and• employee lists and data

Sensitive InformationSensitive Information

Let’s look at an example:

While typing some employment records, I noticed that a new employee is married to my ex-husband. Can I go talk to her about it?

No. You may not disclose that you saw this information on her employment application. The employment application contains sensitive personnel information. If you speak with the new employee about the information in her employment application, you are not fulfilling your responsibility to maintain the confidentiality of this information.

Government Agency InvestigationsGovernment Agency Investigations

The health science center is committed to cooperating with government or other investigations of the university and its faculty or staff members. However, it is essential that the legal rights of the health science center and its faculty and staff members are protected.

If you are contacted by a governmental agency or if you receive a subpoena, inquiry, or other legal document from any governmental agency regarding university business, you should immediately contact the Office of Legal Affairs & Institutional Compliance at (713) 500-3268.

If you are contacted at your home, you may politely ask the agent or the investigator to contact you at your office as you are not required to speak to the agent at your home. You should also immediately contact the Office of Legal Affairs & Institutional Compliance to notify them of the contact. For more information, consult HOOP 1.03, Handling Legal Processes.

Government Agency InvestigationsGovernment Agency Investigations

Here’s a scenario about Government Agency Investigations

Two agents from the Department of Health & Human Services Office of Inspector General are in my office and are asking me to pull some files from our department for them, so that they can examine them. What should I do?

You should politely direct the agents to the Office of Legal Affairs & Institutional Compliance at (713) 500-3268. Legal Affairs can ensure that the appropriate information is given to the agents and that the legal rights of the university and its faculty and staff members are protected.

Accuracy of RecordsAccuracy of Records

Faculty and staff members of the university are responsible for maintaining the integrity and accuracy of health science center business documents and records for which they are responsible.

Faculty and staff members may not alter or falsify information on any university record or document.

Ethics Guidance Ethics Guidance

The most current and complete source of information on ethical standards is The University of Texas System Office of General Counsel web page.

http://www.utsystem.edu/OGC/

On this web site, you can find information that explains state ethics laws and The University of Texas System’s ethical standards for faculty and staff members.

UTHSC-H Chief Compliance OfficerUTHSC-H Chief Compliance Officer

If you have any questions regarding either The University of Texas System ethical standards, The University of Texas Health Science Center at Houston ethical standards, or state ethics laws, you should contact The University of Texas Health Science Center at Houston’s Chief Compliance Officer, Arlene Staller, J.D.

You can contact Ms. Staller at: UCT 1460

(713) 500-3268Arlene.D.Staller@uth.tmc.edu

Thank you for Completing

Commitment to Excellence:Institutional and Individual

Compliance Standards of Conduct

Training

Thank you for Completing

Commitment to Excellence:Institutional and Individual

Compliance Standards of Conduct

Training