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compliance and ethics

University of Health Sciences and Pharmacy in St. Louis is committed to operating with integrity in compliance with applicable laws, regulations and policies. In fact, integrity is one of our core institutional values. We expect the highest standards of ethical conduct from members of our community.

We are committed to upholding our reputation of excellence and carrying forward the spirit of innovation, dedication and service that has been the bedrock of our community since our founding in 1864.

Our Compliance Program

The University has implemented comprehensive strategies and systems to maintain a culture of compliance and ethics. All members of the campus community share responsibility for compliance efforts by ensuring they model the University’s value of integrity and are trained on policies that affect them.

Responsible offices ensuring compliance and ethical conduct through policies, procedures, training and communication.

Compliance matters are reviewed by the University’s designated chief compliance officer, evaluated by the enterprise risk management committee, and oversight is maintained by the Board of Trustees Audit Committee.

Together we act to do what is in the best interest of our institution using our value of integrity as the guidepost to ensure a culture of compliance and ethics.

Reporting a Concern

If you have reason to believe that violations of the University’s policy or improper conduct have occurred, you should file a report through any of the following mechanisms.

Reporters will not be threatened, retaliated against or punished for making a good faith report alleging unethical or illegal behavior in others.

Employees are encouraged to report their concerns to their supervisor, department or division manager, dean or President’s Staff Representative, or persons identified in the applicable policies and procedures.

Additional reporting contacts include the president, director of human resources and/or general counsel. Any concern(s) relating to the president or a trustee may be reported to the chair of the Board of Trustees or the chair of the BOT Audit Committee.

Students are encouraged to report their concerns regarding student life matters to the manager for the particular area or persons designated under existing policies and procedures.

Additional reporting contacts include the assistant vice president for student affairs.

If you need clarification on a policy or wish to express concerns, we encourage you to first reach out to your direct supervisor (for employees) or Student Affairs (for students). However, if a supervisor cannot serve as a resource, contacts are available across campus to provide support.

Each policy in the University’s institutional policy library includes contacts and the responsible office. Additionally, contacts are available by topic area.

See list of contacts below.

The University has established a hotline administered by an outside vendor to allow members of the University community to file confidential reports of allegations of improper conduct anonymously or by name.

Improper conduct may include:

  • A violation of the law
  • A violation of University policy
  • Any other behavior that you have reason to believe is inconsistent with the organization’s ethics and values and/or in violation of institutional policies

The hotline provides an additional method for reporting improper conduct to give individuals another option to supplement reporting procedures under existing policies.

Reports will be promptly reviewed and investigated. In any case where a violation is substantiated, the University may initiate appropriate corrective action.

Submit an Online Report

This online form should not be used for situations requiring immediate attention. Any allegations relating to a threat against a person(s), property or the environment should be directed immediately to the Office of Public Safety at 314.446.SAFE (7233). Public safety officers are available 24 hours a day, 7 days a week.

Download the App

The hotline app can be downloaded to your phone and will enable you to submit new anonymous reports and follow up on anonymous reports related to an issue at your company or organization.

Download the “Anonymous Reporting” app the Apple App Store or the Google Play store.

Submit a Report by Phone

To submit a report by phone, use the contact numbers below.

  • 866.770.0009 for English-speaking callers in the USA and Canada (not available from Mexico)
  • 800.216.1288 Spanish-speaking callers North America
  • 01.800.681.5340 for Spanish speaking-callers from Mexico

Submit a Report by Email

Email reports should be submitted to reports@lighthouse-services.com. You must include the company name with report.

Submit a Report by Fax

Fax reports should be submitted to 215.689.3885. You must include the company name with report.

Using the Hotline

Make a New Report

  • When you open the app, it will present you with a field containing the words “Enter Keyword.” The keyword should be provided by your employer or other organization that subscribes to the Lighthouse service. Once you enter it, click “Save.” This will save that keyword in “Your Keywords.”
  • Click the keyword to submit your report.
  • After submitting a report, you will be provided with a case number. You can store this case number in the app by copying the case number provided, clicking on the edit icon for the keyword and pasting it into the “Enter Case Number” field.
  • If you provided a PIN during report submission, check the “This case number has a PIN” checkbox. There is no field to save your PIN; you will still need to remember it. Select “Save” to store the case number.

Follow Up on a Specific Report

  • Select the case number below the keyword on the dashboard page.
  • If a PIN was required during report submission, the Case Management System portal page will be displayed with the case number pre-populated. You’ll need to enter the report’s PIN to access the report through the portal.
  • If a PIN was not required during report submission, your company’s or organization’s anonymous web reporting page will be displayed. On that page, click the submit button labeled “Don’t have a PIN” under “Already Made a Report Selection.” This will take you to your organization’s web reporting page. Scroll down and click “Don’t have a PIN” under “Already Made a Report?”

Manage Keywords

  • Select the gear icon in the lower right of the dashboard page.
  • The Manage Keywords page will allow you to enter additional keywords or delete existing keywords.
  • Note, when a keyword is deleted, all associated case numbers will be deleted on the app only. This does not delete the reports themselves.

code of ethical conduct

University of Health Sciences and Pharmacy in St. Louis is committed to maintaining a campus environment that offers a wide range of professional, social and cultural opportunities and where the well-being of students is the primary focus of all decision-making and actions.

The University’s Code of Ethical Conduct is in place to avoid conflicts of interest, legal and/or ethics violations and ensure mechanisms are in place to allow for protected reporting of violations.

The complete Code of Ethical Conduct is available within the University’s institutional policy library.

Review ethical conduct code

Institutional Policies

University of Health Sciences and Pharmacy in St. Louis’ policies, procedures and guidelines outline requirements and processes for executing the mission of the University for students, faculty and staff in ways that are effective, consistent and compliant with relevant laws and regulations.

The University’s policies also apply to visitors and members of the general public as they engage in activities with the University or its academic, research and business units.

Institutional Policy Library

Most policies are housed in the institutional policy library. Visitors may browse policies, search for policies and review the process for creating and updating policies at the University.

Visit the Policy Library

Questions about a policy should be directed to the policy contact or responsible office listed on the policy.

Individual units may maintain additional policies applying only to that unit that are not in conflict with university-wide policies. Unit and department policies do not override institutional policies.

Additional Resources

Links to additional policies and resources not available in the policy library are provided below.

Academic Catalog
Handbooks
Financial Aid Policies
Clery Act Reporting
Student Consumer Information
Website Privacy Policy

Compliance Contacts

When members of the University community need clarification on a policy or wish to express concerns, their first step should be their direct supervisor (for employees) or Student Affairs (for students).

However, if a supervisor cannot serve as a resource, the contacts below may be helpful.

Individual units may maintain additional policies applying only to that unit that are not in conflict with university-wide policies. Unit and department policies do not override institutional policies.

Human Resources
Dan Bauer, Director of Human Resources & Title IX Coordinator
314.446.8308
daniel.bauer@uhsp.edu

Human Resources can provide guidance to staff on policies related to their employment. Employees should also refer to the Faculty Handbook or Staff Handbook for employment policies.

Compliance Reporting
Ethics and Compliance Hotline
Submit a Report

The hotline provides a confidential channel for employees to report or seek guidance on potential wrongdoing. For more information about the hotline or to file a report online, read more about the hotline.

General Counsel
Kenneth Fleischmann
General Counsel & Chief Compliance Officer
314.446.8104
kenneth.fleischmann@uhsp.edu

The Office of the General Counsel provides a full range of legal services to the University, including labor and employment, business matters, contract review, litigation, environmental, patents, copyright, property acquisitions, student and faculty issues, entity tax and regulatory compliance, among others.

Public Safety
Office of Public Safety
Student Success Center, Room 2124
314.446.SAFE (7233)
uhsp.edu/safety

The Office of Public Safety provides 24/7 service to the campus community. Any threat against persons or property should be directed immediately to Public Safety.

Section 504 & Title IX
Dan Bauer
Director of Human Resources and Section 504 & Title IX Coordinator
314.446.8308
daniel.bauer@uhsp.edu

The Section 504 & Title IX Coordinator or the Deputy Coordinator for Students will oversee the complaint process related to Title IX, Harassment, Sexual Misconduct, Relationship Violence and Stalking in order to best assess, respond and investigate complaints to eliminate events, prevent their recurrence and address the effects on the complainant and others. Additionally, the Section 504 & Title IX Coordinator is responsible for coordination and oversight of the University’s Title IX policies including processing and investigation of complaints, disciplinary proceedings and sanctions, reporting, education and awareness of prohibited conduct and this policy, training of personnel, and conducting an annual review of the effectiveness of the University’s Prohibited Conduct programs.

Section 504 & Title IX
Rebecca Jones, Assistant Vice President, Student Affairs and Deputy Section 502 & Title IX Coordinator for Students
314.446.8352
rebecca.jones@uhsp.edu

The Section 504 & Title IX Coordinator or the Deputy Coordinator for Students will oversee the complaint process related to Title IX, Harassment, Sexual Misconduct, Relationship Violence and Stalking in order to best assess, respond and investigate complaints to eliminate events, prevent their recurrence and address the effects on the complainant and others. Additionally, the Section 504 & Title IX Coordinator is responsible for coordination and oversight of the University’s Title IX policies including processing and investigation of complaints, disciplinary proceedings and sanctions, reporting, education and awareness of prohibited conduct and this policy, training of personnel, and conducting an annual review of the effectiveness of the University’s Prohibited Conduct programs.

College of Arts and Sciences
Ehren Bucholtz
Interim Dean of Arts and Sciences
314.446.8487
ehren.bucholtz@uhsp.edu

The dean of the College of Arts and Sciences oversees management of academic issues related to programs and complaints of student academic integrity within the college.

College of Global Population Health
David Steeb
Dean of Global Population Health
314.446.8050
david.steeb@uhsp.edu

The dean of the College of Global Population Health oversees management of academic issues related to programs and complaints of student academic integrity within the college.

College of Graduate Studies
Giovanni Pauletti
Dean of Graduate Studies
314.446.8441
giovanni.pauletti@uhsp.edu

The dean of the College of Graduate Studies oversees management of graduate programs and complaints of student academic integrity within the college.

St. Louis College of Pharmacy
Terri Warholak
Dean of Pharmacy
terri.warholak@uhsp.edu

The dean of St. Louis College of Pharmacy oversees management of academic issues in the pharmacy program, pharmacy professional standards and pharmacy licensure.

Student Affairs
Rebecca Jones, Assistant Vice President
314.446.8352
rebecca.jones@uhsp.edu

The assistant vice president for student affairs manages at-risk students or students of concern due to academic, personal, financial, mental health or behavioral concerns. They also manage issues regarding non-academic student misconduct, student organizations issues and residence hall issues.

Finance and Business Office
Kayla Reynolds
Assistant Vice President of Finance and Controller
314.446.8373
kayla.reynolds@uhsp.edu

The vice president for finance and chief financial officer is responsible for issues of fraud, misuse, financial misconduct/reporting (including research) and financial conflict of interest.

Diversity and Inclusion
Isaac Butler
Vice President for Career Services and Education and Chief Diversity Officer
314.446.8438
isaac.butler@uhsp.edu

The chief diversity officer is responsible for overseeing and resolving student bias incident involving race, national origin or ethnicity.

Operations
Eric Knoll
Vice President for Operations
314.446.8375
eric.knoll@uhsp.edu

The vice president for operations is responsible for animal welfare, environmental health, laboratory safety, occupational health and safety, public safety, IT and cyber security, export control and destruction of records.

Research
Brandi Clements
Assistant Vice President for Research Administration and Technology Transfer
314.446.8482
pamela.xaverius@uhsp.edu

The vice president for research oversees research issues involving human subjects, conflicts of interest (research) and research integrity.

Frequently Asked Questions

The focus on the hotline is for compliance and ethics concerns, but you can report any type of concern to the hotline. Examples include but are not limited to:

  • Violations of the law
  • Violations of University policy
  • Any type of activity suggesting fraudulent reporting or misappropriation of funds
  • Matters of bias, discrimination, sexual harassment
  • Workplace misconduct
  • Data or information security
  • Environmental or occupational health and safety
  • Concern for student welfare and safety

The Ethics and Compliance Hotline is available 24 hours a day, seven days a week.

You have the option to give your name or report anonymously.

All reports are initially received by a third-party company who is not directly affiliated with the University.

University policy prohibits retaliation against any individual who, in good faith, reports an allegation of misconduct or participates in an investigation.

Yes, you will be given a password and call back date at the end of your call should you desire to follow up on the status of your report or if you would like to provide additional information.

No, the hotline is not your only option. Anyone may register concerns of misconduct to your supervisor or responsible office. To find a contact, view the “Compliance Contacts” section above.

The University of Health Sciences and Pharmacy in St. Louis' campus looks great in the springtime.

Questions?

For general questions about the University’s compliance program, contact Ken Fleischmann, general counsel and chief compliance officer, at kenneth.fleischmann@uhsp.edu or 314.446.8104.