The University of Texas Health Science Center at Houston (UTHSC-H) must ensure at all times that all practices comply with federal and state regulations as well as applicable state and federal laws. In an organization as large and complex as this one, situations involving legal or regulatory issues will arise. These situations may concern business processes of the university as well as legal matters affecting individuals both within their roles as members of the university community and as private citizens. When such situations are directly or indirectly related to university business or academic matters, the university's legal representatives must be advised and involved as soon as possible. Any inquiries from governmental and other official investigators should be referred to the Chief Legal & Compliance Officer.
The Chief Legal & Compliance Officer coordinates the processing of all legal documents and instruments to ensure timely and appropriate compliance with UT System regulations and applicable statutes.
This single point of contact permits a single, informed agent of the university to coordinate the handling of such situations and expedite and document all official UTHSC-H communications with The University of Texas System Office of General Counsel and other legal entities.
All faculty and staff are responsible for complying with the institution's policies on handling legal processes, record release (refer to 17.07 Handling Records Requests and 17.06 Records Management Program) and any other request for information. They are also responsible for exercising proper cautions in dealing with requests for information from the general public. No employee shall disclose confidential information gained by reason of his or her official position, nor shall the employee otherwise use such information for his or her personal gain or benefit.
All verbal and written requests for information must be referred OLAIC (713.500.3268). Failure to comply with policies related to information requests may seriously compromise the position of the UTHSC-H in pending litigation and may constitute grounds for disciplinary action by the UTHSC- H.
If either at work or at his or her personal residence, a faculty or staff member receives via mail, facsimile, e-mail, courier, or process server, an oral or written request (i.e., citation, demand, subpoena) for documents or information related to University of Texas business, that individual must refer the requestor to and forward the request immediately to OLAIC.
It is imperative that the recipient of a legal process make immediate contact by telephone OLAIC for an assessment of the legal implications of the process. Many processes can be satisfactorily evaluated by phone and procedures necessary for their resolution can be conveyed to the recipient. If pending litigation demands it, the recipient will be instructed to forward the documents, within 24 hours of receipt, to the associate vice president OLAIC, who will inform the President and any other university officials who should be apprised.
There are circumstances in which the failure to act immediately on a process may adversely affect or greatly complicate pending litigation. If for any reason the recipient fails to make immediate telephone contact with OLAIC for assessment, the individual must forward the documents, within 24 hours of receipt, to the Chief Legal & Compliance Officer.
If such a document does not indicate on whom and on what date the document was served, the receiver must write this information clearly on the face of the document prior to forwarding; for example: "Served on me personally, John Doe, 8/25/98." In the case where multiple documents have been requested, the receiver should make a log of all requested documents.
The Chief Legal & Compliance Officer will be responsible for forwarding the documents to The University of Texas System Office of General Counsel, if necessary.
Created 03/1990; Updated 6/01; 08/07