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Institutional Compliance FAQs

Q: What is the institutional compliance and ethics program?

A: Board of Regents Policy 42.01, establishes a framework for an Institutional Compliance Program for UH.   As a result, an Institutional Compliance and Ethics Program was established at UH.  This program was established to develop processes and oversight to help ensure UH’s compliance with state laws and regulations, as well as UH and System policies. 

Examples of external rules and regulations:

  • Federal information security laws (FERPA, GLB, HIPAA, etc.)
  • NCAA requirements for athletic programs
  • IRS rules for filing tax returns
  • State purchase and payment regulations
  • Sponsor requirements on research grants
In addition, the UH Institutional Compliance and Ethics Program aims to evaluate and identify risks that are critical to the institution; ensure that critical institutional risks are properly managed by the appropriate individuals; provide employees with the training necessary to understand the relevant compliance issues; provide effective communication between managers, executive officers, and the Board of Regents regarding the status and management of critical institutional risks; and provide the UH community with an opportunity to report issues of potential non-compliance in a manner that preserves confidentiality and protects against improper retaliation.

Q: How can I report suspected non-compliance with external rules and regulations?

A: Report suspected non-compliance in one of the following ways:

1.  Notify your supervisor

2.  Notify the Chief Compliance Officer (Sergio V. Leal)

  • 713-743-7613

3.  Use the Fraud & Non-Compliance Hotline

Q: Am I protected against retaliation if I report suspected fraud or compliance violations?

A: Yes. The Texas Whistleblower Act (Texas Govt Code, Chapter 554) protects employees from retaliation who report unlawful activity in good faith.

Q: What types of issues should NOT be reported through the Fraud & Non-Compliance Hotline or the other avenues for reporting fraud or compliance violations?

A: Examples include:

  • Employee/supervisor disputes (call UH Human Resources at x35703)
  • Affirmative Action/EEOC issues (call UH Affirmative Action at x38835)
  • Violent crimes, breaking and entering, or burglary (call UH Police at x33333 or call 911)
  • Medical emergencies (call UH Police at x33333 or call 911)
  • Hazardous waste spills (call UH Environmental Health at x35858)
  • Fire (call UH Police at x33333 or call 911)