University of Nebraska Medical Center

Compliance Program: Difference between revisions

Page Discussion

Compliance Program (view source)

Revision as of 14:28, January 2, 2014

516 bytes added ,  January 2, 2014
no edit summary
VisualWikitext
No edit summary
No edit summary
Line 63: Line 63:
Compliance Committee representatives shall assist the Compliance Office with communicating compliance policies and procedures and other information within their respective units. The Compliance Committee shall meet no less than quarterly. The Compliance Office shall complete meeting minutes and maintain them on file for no less than seven years. The meeting minutes shall be confidential.  Meeting minutes shall be distributed to committee members, vice chancellors, college deans and executive directors to inform UNMC leadership about compliance activities.
Compliance Committee representatives shall assist the Compliance Office with communicating compliance policies and procedures and other information within their respective units. The Compliance Committee shall meet no less than quarterly. The Compliance Office shall complete meeting minutes and maintain them on file for no less than seven years. The meeting minutes shall be confidential.  Meeting minutes shall be distributed to committee members, vice chancellors, college deans and executive directors to inform UNMC leadership about compliance activities.
===Compliance Hotline===
===Compliance Hotline===
A compliance hotline has been established to provide individuals with an additional communication channel to report compliance concerns. The [http://mailto:swrobel@unmc.edu Compliance Officer] shall investigate concerns and take corrective action in response to identified issues. For additional information, see UNMC Policy No. 8001, [[Compliance Hotline | Compliance Hotline]].
A compliance hotline has been established to provide individuals with an additional communication channel to report compliance concerns. The [http://mailto:swrobel@unmc.edu Compliance Officer] shall investigate concerns and take corrective action in response to identified issues. For additional information, see UNMC Policy No. 8001, [[Compliance Hotline]].
===Code of Conduct===
===Code of Conduct===
The UNMC Code of Conduct applies to all UNMC faculty, staff, and students, and guides them in carrying out daily activities within appropriate ethical and legal standards. UNMC Policy No. 8006, [[Code of Conduct]] codifies UNMC’s commitment to full compliance with all federal, state, and local regulatory requirements and mandates that the UNMC Community abide by the Code.
The UNMC Code of Conduct applies to all UNMC faculty, staff, and students, and guides them in carrying out daily activities within appropriate ethical and legal standards. UNMC Policy No. 8006, [[Code of Conduct]] codifies UNMC’s commitment to full compliance with all federal, state, and local regulatory requirements and mandates that the UNMC Community abide by the Code.
Line 100: Line 100:
=====[http://info.unmc.edu/dept/spaccounting/ Sponsored Programs Accounting]=====
=====[http://info.unmc.edu/dept/spaccounting/ Sponsored Programs Accounting]=====
Sponsored Programs Accounting is responsible for the post-award administration of grants and contracts. After an award is received, Sponsored Programs Accounting sets up the WBS account and inputs the budget. All cash collections related to grants, contracts, donations, wills or trusts are recorded by Sponsored Programs Accounting. The department reviews the reasonableness and appropriateness of expenditures for sponsored program activities and approves Cost Transfer Forms. The Personnel Activity Reporting for federal programs is administered by Sponsored Programs Accounting and involves the set up of cost sharing cost centers for tracking cost sharing on grants. Other responsibilities include: preparing financial reports for sponsoring agencies, reporting for annual financial audit under Generally Accepted Accounting Principles, compliance and reporting for the annual A-133 audit, and sub-recipient review of subcontractors.
Sponsored Programs Accounting is responsible for the post-award administration of grants and contracts. After an award is received, Sponsored Programs Accounting sets up the WBS account and inputs the budget. All cash collections related to grants, contracts, donations, wills or trusts are recorded by Sponsored Programs Accounting. The department reviews the reasonableness and appropriateness of expenditures for sponsored program activities and approves Cost Transfer Forms. The Personnel Activity Reporting for federal programs is administered by Sponsored Programs Accounting and involves the set up of cost sharing cost centers for tracking cost sharing on grants. Other responsibilities include: preparing financial reports for sponsoring agencies, reporting for annual financial audit under Generally Accepted Accounting Principles, compliance and reporting for the annual A-133 audit, and sub-recipient review of subcontractors.
====[http://info.unmc.edu/dept/fincompliance/ Financial Controls and Compliance]====
====[http://info.unmc.edu/fincompliance.htm Financial Compliance and Cost Analysis]====
Financial Controls and Compliance coordinates campus cost accounting standards (CAS).
Financial Compliance and Cost Analysis coordinates campus cost accounting standards (CAS).<br />
Financial Controls and Compliance is responsible for minimizing UNMC’s risk of non-compliance of the Federal government’s Cost Accounting Standards regarding sponsored programs. The Cost Accounting Standards are found in OMB Circular A-21. The areas that the Standards encompass include direct costs, facilities and administrative (F&A) costs, effort reporting, cost sharing, cost transfers and service centers.<br />


Financial Controls and Compliance minimizes this risk by creating policies and procedures, educating the campus to these policies and procedures, monitoring for compliance and taking corrective action when instances of noncompliance are discovered. Other responsibilities include completing the Federal Facilities and Administrative rate proposal and negotiation and monitoring and revising UNMC’s Disclosure Statement (DS-2).
Financial Compliance and Cost Analysis is responsible for minimizing UNMC’s risk of non-compliance of the Federal government’s Cost Accounting Standards regarding sponsored programs. The Cost Accounting Standards are found in OMB Circular A-21. The areas that the Standards encompass include direct costs, facilities and administrative (F&A) costs, effort reporting, cost sharing, cost transfers and service centers.<br />
 
Financial Compliance and Cost Analysis minimizes this risk by creating policies and procedures, educating the campus to these policies and procedures, monitoring for compliance and taking corrective action when instances of noncompliance are discovered. Other responsibilities include completing the Federal Facilities and Administrative rate proposal and negotiation and monitoring and revising UNMC’s Disclosure Statement (DS-2).
====Conflict of Interest====
====Conflict of Interest====
Conflicts of interest may arise when an individual’s duty to UNMC conflicts with his/her own personal interests or when the financial interests of UNMC conflict with its responsibility to make prudent business decisions.<br />
Conflicts of interest may arise when an individual’s duty to UNMC conflicts with his/her own personal interests or when the financial interests of UNMC conflict with its responsibility to make prudent business decisions.<br />


Potential conflicts of interest must be identified, analyzed, managed, or eliminated when warranted to maintain the public’s trust in UNMC’s teaching, research and service missions. A Conflict of Interest Committee has been established to review and address potential conflicts of interest. For additional information, see UNMC Policy 8010, [[Conflict of Interest]].
Potential conflicts of interest must be identified, analyzed, managed, or eliminated when warranted to maintain the public’s trust in UNMC’s teaching, research and service missions. A Conflict of Interest Committee has been established to review and address potential conflicts of interest. For additional information, see UNMC Policy No. 8010, [[Conflict of Interest]].
====Human Resources====
====Human Resources====
The Human Resources department is responsible for staff employment activities; payroll, records and benefits administration; employee relations; compensation and salary administration activities; and administration of Human Resources Policies. In conjunction with these core functions, compliance responsibility includes adherence to and enforcement of law, regulation and policy pertaining to the following:
The Human Resources department is responsible for staff employment activities; payroll, records and benefits administration; employee relations; compensation and salary administration activities; and administration of Human Resources Policies. In conjunction with these core functions, compliance responsibility includes adherence to and enforcement of law, regulation and policy pertaining to the following:
Line 184: Line 185:
==Additional Information==
==Additional Information==
*Contact the [mailto:swrobel@unmc.edu Compliance Officer]
*Contact the [mailto:swrobel@unmc.edu Compliance Officer]
 
*UNMC Policy No. 1003, [Drug Free Campus]
 
*UNMC Policy No. 1099, [Non-Discrimination and Sexual and Other Prohibited Harassment | Non-Discrimination/Sexual Harassment]
 
*UNMC Policy No. 2002, [Shipping Hazardous Materials | Shipment of Hazardous Materials or Dangerous Goods]
*UNMC Policy No. 2004, [[Bloodborne Pathogen Exposure]]
*UNMC Policy No. 8001, [[Compliance Hotline]]
*UNMC Policy No. 8005, [[Export Control]]
*UNMC Policy No. 8006, [[Code of Conduct]]
*UNMC Policy No. 8010, [[Conflict of Interest]]
<br />
<br />
<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].
This page maintained by [mailto:dpanowic@unmc.edu dkp].
Retrieved from "https://wiki.unmc.edu/index.php/Special:MobileDiff/4610"