Report # UM-11-01-0001 UM-11-01-0002 UM-11-01-0003 UM-11-01-0004

UNIVERSITY OF MISSOURI ETHICS AND COMPLIANCE HOTLINE 2011 Allegation Response Allegation that a UMC employee falsified timesheets; non-performance of assigned job The report was investigated. No duties. action was deemed necessary. The report was investigated. Allegation that a retired UMC faculty member used an inappropriate emeritus title. Appropriate action was taken. Allegation that a machine shop on the UMC campus was infected with tiny gnats or The report was investigated. fruit flies. Appropriate action was taken. Allegation that UM System Information Technology employees were given pay The report was investigated. No increases while other employees were not during a time of a freeze of pay increases. action was deemed necessary. General cautionary comment regarding individuals who sign contracts in the UMHC managed care area - to ensure that they do not accept gifts. Allegation that UMHC billing statements are purposefully being crossed in the mail resulting in overpayments. Allegation that there is no hot or tepid water in a building on the UMC campus and that this is a violation of OSHA regulations. Allegation that an S&T employee is frequently tardy and wears inappropriate attire to work. Allegation of discourteous behavior by UMC supervisory employee. Allegation that a UMC manager and subordinate are romantically involved, and as a result the subordinate may have been given preferential treatment. Allegation that the individual calling (campus affiliation withheld) would file a lawsuit against the university because their job was threatened. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. Appropriate action was taken.

Date Report Initiated 01/17/11 01/18/11 01/18/11 01/18/11

Date of Response 03/11/11 02/10/11 02/10/11 03/09/11

UM-11-01-0005 UM-11-01-0006 UM-11-01-0007 UM-11-01-0008 UM-11-01-0009 UM-11-01-0010 UM-11-01-0011

01/19/11 01/19/11 01/19/11 01/19/11 01/19/11 01/20/11 01/20/11

03/09/11 04/29/11 02/10/11 05/23/11 03/09/11 03/09/11 01/21/11

UM-11-01-0012 UM-11-01-0013 UM-11-01-0014 UM-11-01-0015

UM-11-01-0016 UM-11-02-0001 UM-11-02-0002

UM-11-02-0003

The report was not investigated and was closed because the caller terminated call prior to completion of interview and did not provide sufficient detail for investigation. Allegation that a UMC employee used inappropriate language in the workplace. The report was investigated. Appropriate action was taken. Allegation that SMART cards sold by a UMSL department appeared to have a lack of The report was investigated. accountability in their control and sale. Appropriate action was taken. Allegation that an S&T employee used university resources to operate a consulting The report was investigated. No business. action was deemed necessary. Allegation that a UM System employee was observed at work while seemingly under The report was not investigated and the influence of drugs. was closed because the caller did not provide sufficient detail for investigation. Allegation that an individual working at a UMC Greek house sexually assaulted reporter The report was investigated. No at former employer and allegedly deals drugs. action was deemed necessary. Allegation that a UMSL employee took time off without accounting for it and that the The report was investigated. No supervisor was aware of, and allowed it. action was deemed necessary. Allegation that a UMC managerial employee created a negative work environment in The report was investigated. Appropriate action was taken. the office; there are some integrity and ethical concerns, and some regulations may have been bypassed. Allegations that a UMHC employee was not working required 40 hours; favoritism was The report was investigated. No action was deemed necessary. shown to an employee; a job was not posted; inappropriate language at work; and insufficient training for employees. Allegation that a UMHC supervisor approved an employee to work from home instead of requiring the employee to take a leave of absence and use available sick or vacation time. Allegation that a UMHC employee was falsifying medical documents and seeking drugs illegally using falsified prescriptions. Allegation that sexual harassment complaints are not adequately addressed; several employees on the S&T campus were cited. The report was investigated. No action was deemed necessary. The report was investigated. Appropriate action was taken.

01/21/11 01/25/11 01/26/11 01/31/11

03/09/11 02/16/11 06/23/11 04/08/11

01/31/11 02/05/11 02/09/11

02/10/11 02/16/11 05/2/11

02/16/11

05/23/11

UM-11-02-0004

02/21/11

06/23/11

UM-11-02-0005 UM-11-02-0006

02/28/11 02/28/11

05/02/11 03/01/11

UM-11-02-0007 UM-11-03-0001 UM-11-03-0002 UM-11-03-0003 UM-11-03-0004

The report was not investigated and was closed because the caller terminated call prior to completion of interview and did not provide sufficient detail for investigation. Allegation that several S&T employees sexually harass female students on a daily basis. The report was investigated. No action was deemed necessary. Allegation that favoritism was shown by a UMHC supervisor to another employee by The report was investigated. No not enforcing a tardy policy. action was deemed necessary. Allegation that a UMC employee used the University purchasing card to purchase a The report was investigated. No personal item; supervisors did not issue disciplinary action. action was deemed necessary. Allegation of drug use by a UMHC employee, who also subsequently twice crashed their ambulance. Allegation that a UMHC employee used Facebook to vent their frustration. The report was investigated. No action was deemed necessary. The report was not investigated and was closed because the caller terminated call prior to completion of interview and did not provide sufficient detail for investigation. The report was investigated. No action was deemed necessary.

02/28/11 03/04/11 03/09/11 03/09/11 03/15/11

12/15/11 04/29/11 06/23/11 05/02/11 04/05/11

UM-11-03-0005

Allegation that there is a lack of segregation of duties in the UM System Workers Compensation Claims area.

03/31/11

04/29/11

Report # UM-11-04-0001 UM-11-04-0002

UNIVERSITY OF MISSOURI ETHICS AND COMPLIANCE HOTLINE 2011 Allegation Response Allegation that a UMC employee drove a university vehicle on lunch breaks and on personal business. Allegation that a UMC supervisory employee has approved time reported by Work Study students on days when offices were closed and when students have been observed doing homework. Allegation that a UMHC employee did not provide quality patient care and failed to refer according to a patient's request. Allegation that an external party was threatened by a UM System employee before the start of a surplus auction. Allegation that a UMKC employee was unfairly terminated in order for another individual to be hired in their place. Allegation that a senior UM official regularly placed Bible quotes on email signatures, which were inappropriate given the individual's position. Allegation that a UMC employee used foul language when speaking to fellow employees; the accused allegedly indicated they had been reported previously, but that they continued to use such language because they did not receive disciplinary action when first reported. Allegation that an S&T employee conducted a private tax preparation business on university property using university resources. Allegation that a UMKC employee was soliciting work for a new employer (a contractor working for UMKC) while still on the payroll of UMKC. Allegation that a UMC employee was subjected to a hostile work environment while employed in a UMC faculty member's lab, and that the faculty member tried to make them quit their position and/or to form an artificial basis for termination. Allegation that a UMHC physician spoke to a patient inappropriately. The report was investigated. Appropriate action was taken. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. Appropriate action was taken. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary.

Date Report Initiated 04/05/11 04/05/11

Date of Response 06/23/11 05/02/11

UM-11-04-0003 UM-11-04-0004 UM-11-04-0005 UM-11-04-0006 UM-11-04-0007

04/18/11 04/21/11 04/22/11 04/25/11 04/27/11

08/02/11 06/23/11 08/02/11 04/29/11 09/08/11

UM-11-05-0001 UM-11-05-0002

The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary.

05/03/11 05/04/11

08/31/11 08/02/11

UM-11-05-0003

05/13/11

08/02/11

UM-11-05-0004

UM-11-05-0005 UM-11-05-0006

UM-11-05-0007

The report was not investigated and was closed because the caller did not provide sufficient detail for investigation. Allegation that an S&T police officer racially discriminated by action of intervening in a The report was investigated. No discussion with the police parking manager. action was deemed necessary. Issue from a UMKC individual regarding a letter received from lending agencies The report was investigated. No indicating that the individual was no longer in deferment status and that they would action was deemed necessary. soon be required to begin payments towards loans. The report was investigated. No Allegation that a UMC faculty member had a conflict of interest in advising a group action was deemed necessary. attempting to protect the ecological health of a Minnesota lake, since the faculty member owns property on the lake. Allegation that a UMKC faculty member told an individual to "say their daily prayers" which the individual did for five minutes each day; and as a result the individual was being accused of being an "impaired physician" by a school committee. No action was deemed necessary; the complaint was withdrawn.

05/18/11

08/02/11

05/18/11 05/18/11

12/19/11 08/01/11

05/19/11

08/01/11

UM-11-05-0008

05/20/11

09/09/11

UM-11-05-0009

Allegation that a video viewed during UMKC/UMSL classroom lectures implies that two The report was investigated. No labor studies instructors advocate for union violence and intimidation. action was deemed necessary. Allegation and request to notify appropriate parties that a UMKC employee was arrested and charged with several crimes in Kansas. Allegation that job responsibilities for several individuals at UMC were being changed, however, affected employees had not seen a list of their new responsibilities or been given an opportunity to discuss the changes. Allegation that patient data was viewable to other patients on a computer in UMHC clinic office. Allegation that UMHC physicians wrongfully denied an individual surgery. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. The report was investigated. Appropriate action was taken.

05/27/11

08/02/11

UM-11-06-0001 UM-11-06-0002

06/07/11 06/08/11

12/19/11 08/01/11

UM-11-06-0003 UM-11-06-0004

06/14/11 06/15/11

08/31/11 06/23/11

UM-11-06-0005

The report was not investigated and was closed because the caller terminated call prior to completion of interview and did not provide sufficient detail for investigation. Allegation that a contracted third party was allowed to enter UMHC patient laboratory The report was investigated. Appropriate action was taken. space without ID badges, escort or explanation, where they proceeded to inventory printers connected to patient sensitive computers.

06/30/11

08/01/11

UM-11-07-0001

UM-11-07-0002 UM-11-07-0003

UM-11-08-0001

Allegation that two UMC employees were romantically involved and that the The report was investigated. No relationship was a violation of University policy, as one employee supervises the other action was deemed necessary. employee. Allegation that a UMC employee had been using a university vehicle for personal use. The report was investigated. No action was deemed necessary. Allegation that an S&T employee had directed employees to ship liquor intended as a The report was investigated. thank you to a donors via UPS by mislabeling it; the individual did it themselves when Appropriate action was taken. the employee refused. The report was investigated. Allegation that when a parent took two children for UMHC clinic visits for the same Appropriate action was taken. services, the billed amount was nearly twice as much for one childs visit than the other's. Allegation that a UMHC employee offered the last name of a patient to a visitor. The report was investigated. Appropriate action was taken.

07/07/11

09/08/11

07/12/11 07/14/11

09/09/11 09/09/11

08/01/11

09/09/11

UM-11-09-0001

09/13/11

12/15/11

Report # UM-11-09-0002 UM-11-10-0001 UM-11-11-0001 UM-11-11-0002 UM-11-11-0003 UM-11-11-0004 UM-11-12-0001

UNIVERSITY OF MISSOURI ETHICS AND COMPLIANCE HOTLINE 2011 Allegation Response Allegations regarding UM System benefit enrollment period, charging of benefits, and coverage. Allegation that the spouse of a senior UMC employee may have been awarded a contract for a project because of their relationship with the employee. Allegation that a UMSL supervisory employee made inappropriate comments and treated employees unfairly. Allegation that an S&T employee used a university vehicle and sold university scrap wiring to a recycling center . Allegation of Age Discrimination regarding UMHC enforcement of the Pro-Act certification process. The report was investigated. No action was deemed necessary. The report was investigated. No action was deemed necessary. Pending The report was investigated. Appropriate action was taken. The report was investigated. No action was deemed necessary.

Date Report Initiated 09/29/11 10/14/11 11/01/11 11/03/11 11/26/11 11/28/11 12/03/11

Date of Response 12/19/11 12/15/11 N/A 01/05/12 01/04/12 01/04/12 01/05/12

Allegation that UMHC Management would not grant waiver of requirement to take flu The report was investigated. No vaccination due to religious purposes. action was deemed necessary. Request/suggestion that UM might want to consider having a policy following the Boy Scouts of America: that no adult Leader is ever to be alone with a child. Allegation from a UMHC employee who opted out of the mandatory flu vaccine because of negative reactions, who felt that the subsequent required use of the surgical mask when within 3 feet of employees, patients, and visitors was not necessary and would interfere with patient care. Allegation that a UM System employee sent negative information to an external party about an individual's spouse at the time when the external party was considering the spouse for a volunteer position. Suggestion was considered. No further action was deemed necessary. Pending

UM-11-12-0002

12/05/11

N/A

UM-11-12-0003

Pending

12/30/11

N/A