Chancellor's Working Group on Ethics and Integrity Report

Ethics and Integrity Working Group Report and Recommendations, November 2015 1

Chancellor’s Working Group on Ethics and Integrity

Report and Recommendations

November 2015

2 Ethics and Integrity Working Group Report and Recommendations, November 2015

Table of Contents

Executive Summary 3 - 5

I. Working Group Charge and Membership 6 - 7

II. Process 8 - 11

III. Recommendations of the Ethics and Integrity Working Group 12

A. Reaffirm the University’s Commitment: Statement on Ethics and Integrity 13 - 14

B. Embed the University’s Commitment: Address Influences That Shape the 14 - 17 Campus Culture of Ethical Behavior

C. Educate and Train: Inventory of Ethics Training Across Campus, 18 - 20 Evaluation of Expectations and Consequences, and Oversight

D. Expand Reporting and Establish Oversight: Reporting Mechanisms 20 - 23

IV. Joint Recommendation of the Ethics and Integrity Working Group and the Policy 24 - 28

and Procedures Working Group: Creation of an Office of Integrity and Policy

Appendices

Appendix A: Subgroup Membership 29

30 - 32Appendix B: Inventory of Ethics Statements

Appendix C: Inventory of Ethics Trainings and Education Programs at UNC-Chapel Hill 33 - 41

Appendix D: Inventory of Campus Reporting Mechanisms 42 - 48

Appendix E: Benchmarking Interviews—Reporting Mechanisms and Administrative Structure 49 - 58

Appendix F: EthicsPoint at UNC-Chapel Hill 59 - 60


Executive Summary In May 2015, the Ethics and Integrity Working Group (hereinafter the Working Group) was created and charged by Chancellor Carol L. Folt to examine and offer recommendations on how the University of North Carolina at Chapel Hill might strengthen its commitment to ethics and integrity. Through extensive research and frank discussions, the Working Group identified four key areas for potential action:

1. Develop a unifying campus statement on ethics and integrity.

2. Identify influences that shape the campus culture of ethical behavior.

3. Inventory ethics training across all campus units; evaluate the awareness of expectations and consequences of unethical behavior; and identify areas for consolidation and improvement.

4. Develop a plan for broad and comprehensive programs for reporting unethical behavior and questions of integrity, including identifying areas for expansion of an ethics reporting tool and assessing the cultural issues associated with widespread integration and expansion of an ethics reporting tool.

Within these areas, the Working Group developed the following recommendations:

I. Reaffirm the University’s Commitment: Adopt a statement on ethics and integrity to serve as the overarching declaration of ethical principles to be adhered to by all members of the University community.

II. Embed the University’s Commitment: Address influences that shape the campus culture of ethical behavior by:

a. Holding all members of the University community to the same standards for ethical behavior, integrity, and compliance and applying those standards consistently in the investigation of concerns and potential violations.

b. Conducting a meaningful review of the University’s policy on retaliation and communicating a clear commitment to upholding protections against retaliation.

c. Creating opportunities for constructive structured dialogue around the issue of conflict avoidance and conflict management and developing training programs around these issues.

d. Sharing investigation outcomes with affected parties to the extent allowed by law.

e. Developing a comprehensive exit interview/survey program that is consistent across the University.

f. Inviting the campus community to participate in ongoing discussions about demonstrating the University’s commitment to ethics and integrity.


III. Educate and Train: Ensure that all members of the University are aware of the expectations and consequences associated with ethical behavior by:

a. Providing leadership by creating the position of Chief Integrity and Policy Officer.

b. Supporting the work of the Chief Integrity and Policy Officer through a representative group of faculty and staff.

c. Sharing information, new initiatives, and best practices on ethics and integrity programs across campus units.

d. Reporting systemic problems or gaps to appropriate lines of authority to facilitate corrective action; maintaining the autonomy of the Chief Integrity and Policy Officer to serve as an independent investigator and to compel corrective action when unit responsibilities are not being properly fulfilled.

e. Overseeing and managing the ethics and integrity portion of all training and orientation sessions.

f. Communicating the University’s commitment to ethics and integrity.

IV. Expand Reporting and Establish Oversight: Expand opportunities for members of the University community to report concerns and potential violations by:

a. Considering expanding reporting categories in EthicsPoint, the University’s Compliance Line, taking into consideration the advantages, disadvantages, and input from offices with existing reporting and compliance functions.

b. Communicating all reporting mechanisms broadly to the University community.

c. Forming a representative group of campus constituencies to review EthicsPoint reports and identify trends and areas of concern.

These recommendations are discussed in depth in Section III of this report.

The Ethics and Integrity Working Group and the Policy and Procedures Working Group arrived at a joint recommendation to create the position of Chief Integrity and Policy Officer and establish a new Office of Integrity and Policy. This independent, central office, under the direction of the new Officer, would support the University by strengthening cultural and procedural best practices related to ethics and policy. The office would be responsible for three primary functions:

1. Awareness and Promotion: Foster awareness of the Statement of Ethics, encourage a culture of ethics and integrity, and help the University community be aware of the resources available for everyone to take an active part in upholding University expectations and values.


2. Monitoring and Reporting: Serve as a resource for University units, identifying policies and procedures that need review or updating, finding gaps or conflicts in policies and procedures, and sharing recommendations to help units resolve identified issues. In addition, the office will act as a clearinghouse for reporting concerns and violations, pointing people to the best resources, and ensuring appropriate resolution and communication of issues reported through EthicsPoint.

3. Policy Management: Manage a central web repository for all policies across the University, enabling consistent and clear policies and providing implementation support for the entire policy lifecycle.

This recommendation is discussed in depth in Section IV of this report.


I. Working Group Charge and Membership The Ethics and Integrity Working Group (hereinafter the Working Group) was charged by the Chancellor to examine how the campus might create an optimal culture, principles, and practices to reinforce integrity and ethical behavior throughout the University. The Working Group was asked to consider both culture and practices, including specific policies and processes that will enable clear, consolidated channels through which all members of the University community can effectively speak up and share ethical concerns anonymously or confidentially.

The Working Group was asked to recommend ways in which the University could best oversee its commitment to integrity and compliance with all applicable laws, regulations, and policies. Finally, the Working Group was asked to identify additional processes, systems, personnel, and training to reinforce integrity and ethical behavior, including academic honesty, at every level.

Working Group membership encompassed a diverse cross section of the University community, with members representing faculty, administrators, staff, students, and trustees.

CO-CHAIRS Jean Elia Associate Provost for Strategy and Special Projects Office of the Executive Vice Chancellor and Provost

MEMBERS: Wayne Blair University Ombuds and Director University Ombuds Office

Julie Byerley Vice Dean for Education School of Medicine

Gena Carter Interim Associate Vice Chancellor for Human Resources Office of Human Resources

Haywood Cochrane Trustee UNC-Chapel Hill Board of Trustees

Norma Houston Coates Term Distinguished Lecturer for Teaching Excellence School of Government

Jennifer Conrad Senior Associate Dean for Academic Affairs Dalton McMichael Distinguished Professor of Finance Kenan-Flagler Business School

Pat Crawford Associate Vice Chancellor and Deputy General Counsel Office of University Counsel

Eric Everett Professor, Department of Pediatric Dentistry Associate Dean for Research, School of Dentistry Institutional Research Integrity Officer

Michael Gerhardt Samuel Ashe Distinguished Professor in Constitutional Law School of Law


Ferrel Guillory Professor of the Practice and Director, UNC Program on Public Life School of Media and Journalism

Kerri McNeill Auditor Office of Internal Audit

Paul Pogge Associate Athletic Director Department of Athletics

Joy Renner Associate Professor and Director, Division of Radiologic Science Department of Allied Health Sciences

STAFF:

Terry Rhodes Senior Associate Dean for Fine Arts and Humanities College of Arts and Sciences

Jonathan Sauls Dean of Students Student Affairs

Russ Shafer-Landau Professor and Director, Parr Center for Ethics Department of Philosophy

Houston Summers Student Body President, 2015-16

Olivia Farley Katrina Hauprich Chancellor’s Fellow Chancellor’s Fellow

Office of the Chancellor Office of the Chancellor


II. Process The Ethics and Integrity Working Group (hereinafter the Working Group) received its charge from the Chancellor at its first meeting on May 26, 2015, and continued to meet on a weekly basis through early November. Working Group meetings were open to the public and announced in accordance with North Carolina’s open meetings laws (G.S. Chapter 143, Article 33C). All presentations, reports, and resource materials were posted on a Sakai site available to all working group members. A calendar noting meetings, discussion topics, and periodic deadlines was maintained and available for all members on the Sakai site. The Working Group was ably assisted by two dedicated Chancellor’s Fellows, Olivia Farley and Katrina Hauprich. The Fellows conducted a significant portion of the research and data collection described in this section, coordinated meeting logistics, maintained the Sakai site, assisted with the preparation of this report, and, as recent graduates of the University, contributed substantively to the Working Group’s discussions. The UNC School of Government’s Publications Division assisted in the preparation of this report by providing invaluable editing and proofreading services.

The Working Group began its efforts by reviewing existing ethics-related programs, training, practices, regulations, and reporting/compliance mechanisms on campus. It received a total of 13 presentations from various campus offices and programs, including information from or about the following:

� University Ombuds Office

� UNC School of Medicine Program on Behaviors Towards Medical Students

� UNC Department of Athletics Up and Out Incident Reporting Guidlines

� Department of Public Safety Clery Act compliance requirements

� Office of University Counsel Compliance Line (EthicsPoint)

� Research Compliance Program

� Office of the University Registrar FERPA compliance requirements

� Risk Management

� Office of Human Resources orientation programs (SPA and EPA) and personnel policies

� UNC College of Arts & Sciences orientation program

� UNC Equal Opportunity and Compliance Office

� Faculty Onboarding ethics and integrity resources

� UNC Honor System


Based on its review of existing campus programs, the Working Group determined that a number of programs and resources related to ethics and integrity are already in place. Some of these resources, such as the University Ombuds Office and the School of Medicine’s Program on Behaviors Towards Medical Students, are viewed as national models. Any additional programs or initiatives recommended by the Working Group would augment or enhance this existing foundation.

After surveying existing campus programs and resources, the Working Group identified four key areas of potential action and divided into subgroups charged with further investigation and data collection in each area (see Appendix A for subgroup members). The subgroups focused on the following key areas:

Subgroup 1: Develop a unifying campus statement on ethics and integrity.

Subgroup 2: Identify influences that shape the campus culture of ethical behavior.

Subgroup 3: Inventory ethics training across all campus units; evaluate the awareness of expectations and consequences of unethical behavior; and identify areas for consolidation and improvement.

Subgroup 4: Develop a plan for broad and comprehensive programs for reporting unethical behavior and questions of integrity, including identifying areas for expansion of an ethics reporting tool and assessing the cultural issues associated with widespread integration and expansion of an ethics reporting tool.

The subgroups conducted research throughout the summer and early fall, identifying issues and opportunities and bringing forward preliminary recommendations for consideration by the entire Working Group. The subgroups drafted preliminary reports, all of which were reviewed and discussed multiple times by the entire Working Group. During this process, the Co-Chairs briefed and received feedback from the Chancellor, the Chancellor’s Cabinet, the Deans’ Council, and the UNC-Chapel Hill Board of Trustees.

The Working Group’s efforts were conducted in concert with the Policy and Procedures Working Group, which was charged by the Chancellor with examining and offering recommendations to strengthen the University’s system for managing policies. The Chairs of both working groups identified areas of mutual interest and developed a plan for coordination to avoid duplication of effort and, where appropriate, to develop joint recommendations. The Working Group met twice with the Chair of the Policy and Procedures Working Group, Todd Nicolet, Associate Dean for Operations at the UNC School of Government, and was briefed by the Policy and Procedures Working Group’s consultant, Parthenon-EY. The joint recommendation that emerged from this coordinated effort is contained in Section IV of this report.

The subgroups conducted extensive research on the four key areas identified for action. These research efforts included:

� Inventory of Ethics Statements: Subgroup 1 reviewed ethics statements already in existence at UNC-Chapel Hill, such as the student Honor Code, the Faculty Code, and the UNC Division of Finance Statement of Ethics. The group then reviewed and compiled a list of the ethics statements of 27 universities, including UNC-Chapel Hill’s peer institutions, as well as the ethics statement of the Association of American Universities (AAU) (see Appendix B).

� Inventory of Ethics Training and Education Programs: In conjunction with Subgroup 3, the Chancellor’s

Fellows conducted an inventory of ethics-related training programs across campus and compiled a list of these programs, identifying the program name, coordinating office, topics covered, and whether


the program is mandatory for the intended audience. This research was intended to reflect the experience of any UNC-Chapel Hill constituent who sought online information about training. Because the research was focused on identifying reasonably accessible programs, some unit-specific training programs, which are not widely advertised, may have been omitted from this inventory. The inventory was reviewed by Working Group members for comments, corrections, and additions. Through this effort, Subgroup 3 identified a total of 42 ethics-related programs (see Appendix C).

� Inventory of Campus Reporting Mechanisms: In conjunction with Subgroup 4, the Chancellor’s Fellows conducted an inventory of campus mechanisms for reporting alleged violations of policy and other matters of concern and compiled a list identifying the reporting mechanism, coordinating office, topics covered, procedures, and whether the reporting is confidential or anonymous (see Appendix D). This research was intended to reflect the experience of any UNC-Chapel Hill constituent who sought online information about reporting violations. The subgroup acknowledges that some unit-specific reporting mechanisms, which are not widely advertised, may have been omitted from this inventory. This inventory was reviewed by Working Group members for comments, corrections, and additions. Through this effort, Subgroup 4 identified 20 distinct reporting mechanisms covering a wide array of policies and potential misconduct.

� Benchmark Interviews—Reporting Mechanisms and Administrative Structure: Members of Subgroup 4, with support from the Chancellor’s Fellows, conducted telephone interviews with nine benchmark universities to gain a deeper understanding of the structure of those institutions’ ethics and compliance programs. The purpose was to determine the universities’ use of and experience with EthicsPoint or other online reporting mechanisms. This information was compiled in a detailed chart and summarized to provide concise information for the Working Group’s review (see Appendix E).

� Administrative Structure (Parthenon-EY Research): The Working Group benefited from research conducted by Parthenon-EY on compliance-related administrative structures. Parthenon-EY studied the policy office structure of 10 benchmark universities, reviewed the policy structure for all publicly

available policies at UNC-Chapel Hill, and conducted interviews with UNC-Chapel Hill campus stakeholder groups. The details of this research will be included in the forthcoming report to be submitted by the Policy and Procedures Working Group.

� Administrative Structure: The Working Group also benefited from research conducted by Paul Krause, Senior Associate Athletic Director and former Senior Advisor to the Chancellor for Strategy and Planning, on organizational design, enterprise risk management, and policy office structures at six representative universities.

From this research, the Working Group confirmed its initial assessment that the campus already has in place a number of programs and resources related to ethics and integrity; it did not identify any significant gaps in programs, resources, or reporting mechanisms. Instead, the Working Group identified the need to:

� Reaffirm clearly the University’s commitment to ethics and integrity.

� Understand and manage the influences that shape the University’s culture.

� Create a common and comprehensive framework of ethical behavior across the University.


� Produce high-quality programs to reinforce a culture of ethical behavior.

� Communicate the University’s commitment to resources and reporting mechanisms that encourage ethical behavior.

� Bring consistency to existing ethics-related programs.

� Develop a mechanism through which programs and resources can be coordinated to produce a comprehensive approach to ethics and integrity across the University as a whole and among all University constituencies.

After analyzing the research described above, the Working Group engaged in extensive, open, and frank dialogue through which it identified a number of opportunities to strengthen and build on existing programs to address the identified needs. The group arrived at a series of recommendations that are discussed in the following two sections. Section III presents the recommendations from the Working Group in the areas considered by the four subgroups. Section IV presents the joint recommendation from both working groups on an administrative structure through which the University’s ongoing efforts related to ethics and policy may be implemented and carried forward.


III. Recommendations of the Ethics and Integrity Working Group

In this Section, the Ethics and Integrity Working Group (hereinafter the Working Group) presents its recommendations in the context of the four subgroup areas. Taken together, the recommendations present a four-faceted approach that builds on and strengthens existing programs and resources to address the concerns raised in the Chancellor’s charge to the Working Group (see Section I):

1. Set expectations for ethical behavior.

2. Embed those expectations by addressing influences that shape a campus culture of ethical behavior.

3. Educate and train members of the University community on policies, procedures, and appropriate standards of conduct.

4. Expand opportunities for reporting alleged violations of policy and unethical behavior.

These recommendations identify what, in the group’s opinion, should be done. Equally important is how these recommendations are to be implemented. The Working Group proposes that implementation be carried out by a new Chief Integrity and Policy Officer under the direction of the Chancellor (see Sections III.C and IV). Ultimately, many if not all of these recommendations could become ongoing functions of a new Office of Integrity and Policy (see Section IV).

In presenting these recommendations, the Working Group believes it is important to acknowledge that:

� Effecting cultural change is a long-term endeavor.

� In some instances, implementing these recommendations will involve long-term efforts.

� Some recommendations require input from many campus constituencies.

� Some recommendations involve administrative changes that will be affected by the availability of fiscal and personnel resources.

� The work of the Policy and Procedures Working Group, which is undertaking a critical review of the University’s policy ecosystem and high-risk areas, is underway and will offer recommendations that are vital to this overall effort.

The Working Group does not view these factors as barriers to success; rather, it recognizes them as realities that must be taken into account when endeavoring to bring about the kind of change contemplated in the Chancellor’s charge.


III.A. Reaffirm the University’s Commitment: Statement on Ethics and Integrity (Subgroup 1)

A number of universities and colleges across the country have adopted overarching statements on ethics and integrity (see Appendix B for the list of institutions researched). Adopting such a statement at UNC-Chapel Hill will reaffirm and strengthen the University’s commitment to and expectations for ethical behavior by all members of the campus community.

Representatives of campus constituencies should be invited to provide input on the statement, which ultimately should be presented to the UNC-Chapel Hill Board of Trustees for adoption as the campus’s overarching statement on ethics and integrity. Campus constituencies that should be consulted about the statement prior to presentation to the Board of Trustees include (but are not limited to):

� Faculty Council � Employee Forum � Student Government (Student Body President and others designated by the President, Graduate and

Professional Student Federation, and Honor Court) � Chancellor’s Cabinet � Deans’ Council � Chancellor’s Advisory Committee

The statement on ethics and integrity does not replace existing policies or codes of ethics applicable to individual departments, units, or constituencies, such as the student Honor Code. Instead, the statement builds on these existing values to serve as the University’s overarching declaration of ethical principles that should be adhered to by all members of its community. It is not intended, however, to serve as an independent basis for discipline or sanction. Rather, it is the University’s statement of the core values that underlie campus policies and procedures, with a concentrated focus on policies related to ethics and integrity. For example, the statement could serve as the framework for a central online communications portal where University policies related to ethics and integrity and reporting channels are easily accessible.

Once adopted, the statement should be communicated to the University community, alumni, and others in the manner best designed to reaffirm and strengthen its commitment to ethics and integrity.

The Working Group presents the following statement for consideration:

Carolina’s Commitment to Ethics and Integrity

As the community of the University of North Carolina at Chapel Hill, we commit ourselves to the highest degree of integrity in fulfilling the University’s mission to “discover, create, transmit, and apply knowledge to address the needs of individuals and society.” 1

1. N.C. GEN. STAT. § 116-1(b).


We will:

Respect the University’s rich diversity of thought and culture by treating all members of the community in a fair and dignified manner.

Promote a culture that encourages ethical behavior in all that we do.

Represent the University by conducting ourselves in a manner that enhances the University’s reputation.

Accept individual responsibility for all of our actions.

Hold all members of the University community accountable for adherence to the highest ethical principles.

Protect the University by reporting any lapses in honesty and integrity.

Empower members of the campus community to fulfill their ethical and legal responsibilities without fear ofretaliation.

Educate all members of the campus community about these ethical principles and all applicable laws andpolicies.

Require fair and equal enforcement of all laws and policies.

The ethical principles articulated here reaffirm the University’s commitment to upholding the dignity of individuals and advancing the common good of our community. The University of North Carolina at Chapel Hill accepts its solemn obligation faithfully to sustain and transmit these values to future generations.

III.B. Embed the University’s Commitment: Address Influences That Shape the Campus Culture ofEthical Behavior (Subgroup 2)

In identifying influences that shape the culture of ethical behavior on our campus, Subgroup 2 is operating under the following assumptions:

� Although they overlap, compliance, integrity, and ethical behavior are not identical or interchangeable.

� The culture of higher education plays a large part in shaping the University’s view of integrity and ethical behavior.

� It is critically important that the University reflect on, identify, and address those aspects of its culture that may prevent people from making appropriate choices and taking action in the face of possible unethical behavior, lack of integrity, or noncompliance with the University’s standards of ethical behavior.


Consistent Standards for All

The University is a community of high achievers. Its reputation is built on the work of excellent students involved in scholarship, research, community engagement, and other educational experiences; faculty who are leaders in innovative research, teaching, engaged scholarship, and public service; staff who are themselves innovators and contributors to all aspects of campus life while meeting their responsibilities to keep campus operations running; and administrators who are at the forefront of the issues facing higher education and who are responsible for developing policies and procedures that reflect the University’s values and comply with legal requirements. These policies and procedures enable others to study, work, and be active members of the campus community and allow the University to deal with the ever-changing dynamics of higher education.

An important element of a positive campus culture that encourages adherence to high standards of integrity and ethical principles is equal and consistent application of laws, policies, and standards of behavior. If the campus community perceives (rightly or wrongly) that some of its members are above, or are treated as being above, the policies, values, and guiding principles of the institution, individuals will be discouraged from questioning such members or reporting allegations of their misconduct. Whether such perceptions are grounded in reality is, for purposes of this discussion, irrelevant. The perception that some members of the community are too powerful, too well connected, too successful, or too important to be held to the same standards as the rest of the community undermines the entire infrastructure of the campus’s value system.

To prevent such perceptions or, to the extent they exist, to correct them, the campus must insist on fair and equal enforcement of all laws, policies, and standards for all members of the community and at all levels of the institution, and it must clearly and strongly communicate its commitment to do so.

Civility Cannot Result in Inaction

In general, the University exemplifies the culture of civility; this is almost always a strength. Members of the campus community expect interactions between colleagues, peers, students, and teachers to be framed in a context of politeness, courtesy, and respect.

The University assumes that all members of the campus community are acting in good faith and meeting their responsibilities. Indeed, it would be a dramatic change to assume otherwise, and such an assumption would hurt the University. However, when evidence of misconduct is brought to the appropriate entity on campus, it must be examined with an open mind. The University must find ways to encourage everyone to raise concerns and take those concerns seriously.

Members of the campus community may be reluctant to disagree openly with someone even if they think something may be amiss. This reluctance may arise due to fear of jeopardizing a professional relationship, out of concern for others’ well-being, or because raising an issue would be considered a challenge.

There also may be a perception that even when issues are raised formally, no action is taken. This perception may occur if an individual expresses a concern and is given no information on the resolution of the matter. Alternatively, an individual may have discussed or considered addressing an issue formally but failed to take action due to a belief that nothing will change or because he or she was dissuaded by other individuals who wanted to avoid conflict. In other cases, individuals may fail to pursue formal action because they are afraid of possible negative consequences.


Another contributing factor can be the lack of action on the part of persons in authority. When such a person does not exercise his or her authority to investigate or address a problem, the perception of inaction and conflict avoidance is reinforced and, in fact, becomes reality. Sometimes the decision to take no action is reasonable under certain circumstances, but in the face of allegations of misconduct, it can never be viewed as reasonable. In such situations, the decision may result from a lack of knowledge, a misunderstanding of one’s own authority, a practice of avoiding conflict, or a desire not to know of problems.

The practice of avoiding conflicts, difficult conversations, and decisions, coupled with the restrictions on sharing personnel information, can contribute to the perception that action will not be taken and, in some instances, can actually result in inaction where action is needed.

Accountability and the Fear of Retaliation

A significant deterrent to reporting possible misconduct is the fear of retaliation. Many factors contribute to this fear. Among those factors are the lack of clarity about the University’s policy concerning retaliation, the difficulty of proving retaliation, and a perceived lack of consistency in the policy’s application.

Pride in Carolina

Almost every member of the campus community is proud to be at the University and is protective of it. Questions about the University’s commitment to the highest ethical ideals and about any lapse in the upholding of those ideals are taken seriously. This pride and sense of responsibility are assets to the University.

However, this pride and the accompanying protective impulse may inhibit an individual’s willingness to acknowledge problems and to deal with them.

The University needs to help everyone understand that the greatest source of pride should be a commitment to UNC-Chapel Hill’s values and to its long-term interests.

A Commitment to Change

A commitment to ethical behavior, integrity, and compliance in every aspect of campus life may require significant changes in some areas. The fact that the University is engaging in this conversation demonstrates its commitment to making change. But conversation is not enough—some will say, “show me” or “actions speak louder than words.” From the highest University official on down, everyone must continue to reaffirm the campus community’s commitment to high standards of ethics and integrity.

Recommendations and Suggested Sequence of Implementation

First Steps:

1. The Chancellor should make a bold public statement on integrity, ethics, and compliance, announcing unambiguously the University’s recommitment to living its values. Such a statement should be made available to everyone in the University community (including alumni) and beyond.


2. The University should conduct a meaningful review of its policy on retaliation and make changes if necessary.

3. The University must apply the same standards in investigating and responding to all concerns that are brought forward.

4. The University should create opportunities for constructive structured dialogue around the issue of conflict avoidance and conflict management. Emphasis should be placed on understanding that pride in the University must not affect accountability and adherence to ethical standards. These dialogues should be creative, practical, and relevant to the intended participants.

Concurrent with First Steps:

1. The University must regularly reiterate its values and principles and make clear through word and deed that all are held to the same standards for ethical behavior, integrity, and compliance.

2. University leadership should regularly reiterate the University’s protections against retaliation.

3. To the extent allowed by law, the appropriate authorities should consider sharing investigation outcomes with affected parties.

Next Steps:

1. The University should develop a comprehensive training program around roles and authority and a separate program for conflict management. This training should be creative, ongoing, practical, and relevant to the different populations of the University community.

2. The University currently has no systematic means of capturing the issues and concerns of individuals leaving departments, courses, or the University. Development of a comprehensive exit interview/ survey program that is consistent across the University community will assist in identifying potential issues and trends. One consideration in developing an effective program must be a mechanism for reassuring individuals leaving the University that information they disclose in this setting will not be used against them at a later time.

3. Campus leaders should develop ways to invite both self-identified and anonymous input on how the campus community can demonstrate commitment to its values. This would allow everyone to participate in the ongoing discussion and would serve as a reminder that good ideas can come from anyone.


III.C. Educate and Train: Inventory of Ethics Training across Campus, Evaluation of Expectations and Consequences,and Oversight (Subgroup 3)

Inventory of Ethics Training Across Campus

Research of University programs identified at least 30 training programs related to ethics and integrity (see Appendix C). While this figure represents a variety of existing programs with a significant investment of resources, these programs would benefit from a consistent presentation of solid principles related to the University’s culture and values, particularly in terms of ethical behavior and integrity. A common starting point and consistent language could help to instill a sense of mutual responsibility.

For example, several distinct groups in the University community receive orientation training: incoming undergraduate, graduate, and professional students; teaching assistants; staff; faculty; and postdocs. There appears to be inconsistency in both the language that is used to address ethics and integrity and the materials that are presented during orientation. Requirements for participation in the various programs also appear to be inconsistent.

In addition, there appears to be some difficulty in obtaining information regarding existing resources related to ethical behavior and in reporting concerns about possible violations of the University’s principles. The availability of resources needs to be widely communicated to the campus community, and those resources should be easily accessible by students, staff, and faculty. Campus resources such as the Ombuds Office (which does not accept formal complaints or notice for the University); reporting mechanisms through Human Resources, the EOC Office, the Department of Athletics Up and Out Incident Reporting Guidelines, and EthicsPoint; and the training on ethical behavior currently offered through the EOC Office, Human Resources, Student Affairs, and individual departments should be widely communicated and easily accessible.

Evaluation of Expectations and Consequences

The lack of mandatory training for faculty and teaching assistants suggests that there are inconsistent expectations about faculty members’ and teaching assistants’ responsibility for academic integrity. In addition, there is insufficient discussion of the consequences of non-compliance for every responsible party at the University. The statement of expectations also varies greatly depending on who provides the training and what materials are used to deliver the message.

Recommendations

The following recommendations were discussed for near-term implementation:

1. The University should create a full-time position of Chief Integrity and Policy Officer (or roughly equivalent title) at the level of the Chancellor’s Cabinet. This individual would report directly to the Chancellor.

2. The independence and autonomy of the Chief Integrity and Policy Officer would also be enhanced by additional protections for this position, such asspecified terms.


In addition, to maintain independence and effectiveness, the Officer should report periodically to the

Board of Trustees.2 He or she would lead a new Office of Integrity and Policy (discussed fully in Section IV of this report). The proposed role and responsibilities of the Chief Integrity and Policy Officer are discussed in Section IV and would include the following:

� Serve as the primary leader of ethics and integrity initiatives at the University.

� Establish a standing committee composed of representative faculty and staff from throughout the University community who would serve as Ethics Partners for their respective units. Each individual would serve as a resource for his or her unit in handling issues related to ethics and integrity. The creation of a system of partners throughout the University would aid in reporting and would establish consistent communication across all departments. In addition, the inclusion of faculty members on this committee would enhance faculty engagement and governance across campus.

� Convene regular meetings of the Ethics Partners to share information, promote new initiatives, and discuss and disseminate best practices among units. Importantly, this group could also serve as an “early warning indicator” of systemic problems in behaviors or gaps in processes on

campus.

� Report systemic problems or gaps to appropriate lines of authority to facilitate corrective action. The Officer would also maintain autonomy to serve as an independent investigator and compel corrective action when unit responsibilities are not being properly fulfilled.

� Oversee and manage the ethics and integrity portion of all training and orientation sessions at the University level to establish centralized accountability (“ownership”) for the presentation of this information and promote the use of a common set of language, materials, and expectations.

� Serve as a collection point for all reports that are submitted via the University’s Compliance Line (EthicsPoint), which would then be communicated to appropriate units for investigation and resolution. The Officer would oversee tracking of the status and resolution of all reports to ensure that they are investigated in a timely fashion and resolved appropriately. Where appropriate and permitted by law, the Officer would also ensure that resolutions are communicated to the individual who made the report (hereinafter the reporter).

� Emphasize the use of existing resources when possible, identify places where additional resources can be brought to bear, and collaborate with other units on campus for investigative purposes.

2. Launch a new campaign led by Chancellor Folt to reaffirm the University’s values. This new campaign would feature a statement from the Chancellor that communicates the University’s commitment to ethics and integrity and helps to develop a shared sense of responsibility and community at the University.


Ideas for Future Initiatives

Several possibilities were discussed for potential future consideration:

1. Create new standardized orientation sessions for all members of the University community that provide consistent information about ethics and integrity and emphasize its importance in all aspects of the University’s mission.

� The orientation should be high-quality and in-person if possible and should be emphasized as part of the culture at the University.

� The orientation should focus on highlighting existing resources, such as the Ombuds Office (which is a confidential and off-the-record resource), while also establishing a common set of expectations, an understanding of reporting tools, and zero tolerance for retaliation.

� The University needs to develop a deliverable message that will be taken seriously by all parties; it needs to place the right emphasis at the University level to ensure that the message reaches every unit; and it needs to ask for reinforcement of that message at the unit level.

2. Establish refresher courses for every level of the University to communicate updated information/policies/ procedures, reinforce information from initial orientation sessions, and re-emphasize the culture at the University.

3. Create additional opportunities in the curriculum for first-year students to cover ethics, integrity, resources, University policy, student life, and other related topics in order to reduce the volume of information offered during first-year orientation sessions. These opportunities could include a reinforced emphasis on topics covered in existing courses; additional sections of “Navigating the Research University,” where information on ethics and academic honesty is currently presented; or creation of a new “University 101” course. This type of initiative would require an analysis of the University and its resources to ensure that delivery of the curriculum is efficient, effective, and complete.

III.D. Expand Reporting and Establish Oversight: Reporting Mechanisms (Subgroup 4)

In identifying opportunities to expand options for reporting alleged violations of policy and unethical behavior, the subgroup focused on three points of inquiry:

1. Identify areas of expansion of EthicsPoint.

2. Draft charter responsibilities for a representative group that would be responsible for reviewing EthicsPoint reports.

3. Assess the cultural issues of widespread integration and expansion of EthicsPoint.


EthicsPoint at UNC-Chapel Hill

The UNC-Chapel Hill Compliance Line, housed in the Office of University Counsel, is an option for making an anonymous report using either the Internet or a telephone line to help the campus community identify and address compliance concerns about financial; research; HIPAA; or Environment, Health, and Safety (EHS) matters on campus in a positive, constructive environment. This Internet and telephone reporting service is not maintained on the University’s systems, nor is it maintained by University employees. Reports can be filed anonymously, and the reports are held securely and confidentially on an external server. EthicsPoint, Inc., based in Portland, Oregon, is the commercial service provider for the University’s Compliance Line. This commercial service provider was chosen for the quality and security of its service after careful review of several vendors’ proposals.

Since its inception at the University in 2005, there have been 71 reports through the Compliance Line. Fifty-two reports (73.2%) were submitted online, and 19 reports (26.8%) were submitted through the hotline call center. Many reports have been transferred to the University’s Internal Audit Department. Because the UNC-Chapel Hill EthicsPoint system does not have an “Other Reports” category, claims related to Human Resources matters are forwarded to the Office of Human Resources, the Equal Opportunity Compliance Office, and/or the Office of the Provost, as appropriate.

The vast majority of the reports (85.9%) were submitted by persons who wish to remain anonymous. Follow-up can be difficult when there is limited information because users may not check back into the system to respond to follow-up questions (see Appendix F for more information on EthicsPoint at UNC-Chapel Hill).

Areas for Expansion of EthicsPoint

At this time, additional information is needed to determine specific areas for expansion of EthicsPoint at UNC beyond the current reporting categories (financial, research, HIPAA, and EHS). Based on a survey of higher education institutions with a reporting hotline, eight or nine categories are typically listed. As noted from research provided by the Chancellor’s Fellows (see Appendix E), categories included the following:

Academic Affairs Harassment Research

Athletics/NCAA Hazing Risk/Safety

Code of Conduct HIPAA Smoking

Conflict of Interest Human Resources Student Life

Criminal/Fraud Information Technology Title IX

FERPA Intellectual Property Workplace Conduct

Finance/Accounting Personnel Misconduct

Responsibility for further exploring the appropriate categories to add to EthicsPoint could be assigned to the new Chief Integrity and Policy Officer recommended in Section IV. The new Officer should consult with the offices within the University that are currently responsible for reporting and compliance functions.


Advantages and Disadvantages of Expanding EthicsPoint

The advantages of expanding EthicsPoint include providing an opportunity to address previously unknown or underreported issues and enabling potentially broader access by the campus community to an anonymous reporting mechanism. Disadvantages include capturing incomplete information, a sometimes limited ability to fully investigate a complaint due to the anonymous nature of the reporting, and the inability to report back to the interested party (again, due to the anonymous nature of the reporting mechanism).

Managing Expectations

Because the reporting mechanism is anonymous, the quality of the investigation depends on the amount of information provided by the reporter, the reporter’s willingness to respond to additional inquiries, and the amount and quality of the documentation administrators can locate relevant to the allegation. Many allegations of financial impropriety are fairly straightforward to investigate because of the University’s ability to audit financial records. Other categories may not be as straightforward in terms of availability of existing documentation, thus making both investigation and follow-up with the reporter challenging.

Developing Reporting Tools

In developing reporting tools, the University should:

� Communicate to the campus community the availability of other reporting lines in addition to EthicsPoint.

� Continue to encourage direct and timely reporting of concerns or threats that involve special compliance issues, public safety and security, or the need for immediate action.

� Develop a system for EthicsPoint reporting that is straightforward, accountable, and allows for follow-up of investigations.

� Identify the reporting tool with a broader title—individuals may not associate the phrase “compliance line” with broader issues of ethics and integrity.

� Expand EthicsPoint advertising and make information and instructions more accessible to the campus community.

� Consider the reporter when developing categories and classifications for selection; individuals may not identify or label their concerns in the same way that categories are labeled in the EthicsPoint system.

� Develop a coordinated communication system across units.

� Recognize that a reporting tool may not address the ability to resolve perceptions of “why report—nothing will be done,” because the mechanism is anonymous and thus limits the ability to provide follow-up to the reporter. Consider communicating more clearly the anonymous follow-up feature provided by EthicsPoint where a reporter can create a username and password so that the reporter can check on the status of his or her report and respond to follow-up questions from investigators while maintaining anonymity.


� Address the concerns of anonymity and confidentiality by determining how to protect the identity of the reporter in an open records environment.

� Provide additional access levels with an expanded reporting tool that monitors for potential emergency and time-sensitive reports.

Responsibilities for a Representative Group That Would Be Responsible for Reviewing EthicsPoint Reports

Reviewing EthicsPoint reports could be one of the functions of the new Office of Integrity and Policy recommended in Section IV of this report. Forming a representative group of University constituencies to periodically review EthicsPoint reports and data could provide an opportunity to identify trends and monitor follow-up by campus offices charged with investigation. Having such a group in place could serve the goals of balance, transparency, responsiveness, and timeliness.

It is important that the application of North Carolina’s public records act (G.S. Chapter 132) be fully researched and understood before proceeding with a system for reviewing EthicsPoint reports. If North Carolina law requires these reports to be open to public inspection, the anonymous nature of this reporting mechanism could be compromised, thus defeating one of its primary benefits.

Cultural Issues of Widespread Integration and Expansion of EthicsPoint

The key to the success of any reporting mechanism is having a well-informed community. The communications efforts discussed throughout this report should include a clear statement on the availability of EthicsPoint and the categories of alleged violations that may be reported anonymously through it. These communications efforts should also inform the community of the availability of all reporting mechanisms.


IV. Joint Recommendation of the Ethics and Integrity Working Group and the Policy and Procedures Working Group: Creation of an Office of Integrity and Policy

The Ethics and Integrity Working Group (hereinafter the Working Group) and the Policy and Procedures Working Group respectfully submit the following recommendation to the Chancellor for her review and consideration.

Introduction

While the Ethics and Integiry Working Group and the Policy and Procedures Working Group approached the University’s needs from different angles, the two groups formed mutually reinforcing observations and submit a shared recommendation. This recommendation is presented within the larger report from the Ethics and Integrity Working Group and will be further informed by the forthcoming report from Policy and Procedures. Although the latter report will not be finalized for a few months, the core recommendation below has been reviewed and approved by the Policy and Procedures Working Group and was informed by stakeholders from across campus. That said, the detail provided in the reports from both working groups will be critical for the successful establishment of the proposed office.

Recommendation

The Working Group recommends the creation of a new office at UNC-Chapel Hill to strengthen a culture of ethical behavior and integrity and provide a robust structure for policy management practices that support such behavior. The title of the office should reflect an emphasis on both the promotion of a culture of ethics and integrity and the effective policy management required to support such behavior. The suggested title for this new office is the Office of Integrity and Policy.

This central office would support the institution by strengthening cultural and procedural best practices related to ethics and policy. It is critically important that the office operates and be accepted as reinforcing the culture of ethics and integrity across the institution through a service orientation balanced with investigative authority. Units across the University are responsible for implementing and enforcing effective policies, and this office would provide the support to enable them to do so effectively and efficiently.

The key risk to creating a central office is that it adds layers of bureaucracy without benefit. Even worse, a central office could become focused on being a policy authority, creating additional approval processes and an undue burden on units across campus. Encouraging a culture of ethics and integrity cannot be done effectively through mandate. This office must use its investigatory authority in the service of improving units rather than policing them, which is why this report intentionally encourages a focus on policy and separates the office from traditional risk management and compliance functions. Additionally, the success of the office should not be measured by numbers of policies or policy-related incidents. While an impact on one or both of these data sets may be an outcome of the services provided, focusing on such data


sets as measures of success would cause the office to become a policy authority to better control the measures to which it is being held accountable, emphasizing policies at the expense of practices. Instead, success should be measured by documenting work completed, surveying campus leaders and constituencies, and assessing the amount and quality of service provided to units across the institution. An effective office will be service-oriented and focused on reinforcing culture through communication, guidance, and support built on a foundation of consistent, accessible policies.

Integrity and Policy Officer

The office would be led by a Cabinet-level position, the Chief Integrity and Policy Officer (or roughly equivalent title). The position would report functionally to the University’s Board of Trustees and administratively (that is, in its day-to-day operations) to the Chancellor.3 The roles and responsibilities of the Chief Integrity and Policy Officer include three principal areas of responsibility: awareness and promotion; monitoring and reporting; and policy management (see Section III.C. for further discussion of specific roles and responsibilities of the Chief Integrity and Policy Officer). The Officer will focus on helping the University keep integrity in procedures and policy at the forefront of its actions.

Office Structure

Led by the Chief Integrity and Policy Officer, the Office of Integrity and Policy would have three functional units, as illustrated in Figure 1.

Figure 1: Office of Integrity and Policy

Chancellor

Chief Integrityand Policy Officer

Monitoring andReporting

PolicyManagement

Awareness and Promotion

Board of Trustees

3. As noted in Section III.C, the independence and autonomy of the Chief Integrity and Policy Officer would be enhanced by additional protectionsfor this position, such as specified terms.


Awareness and Promotion

The office would foster an awareness of the Statement of Ethics, encourage a culture of ethics and integrity, and help the University community be aware of the resources available for everyone to take an active part in upholding University expectations and values. To advance these functions, the office would:

� Initiate opportunities to educate, train, and reinforce a culture of ethics and integrity.

� Work with Ethics Partners identified from each unit to share information, promote new initiatives, and serve as points of contact for investigating issues.

� Recommend updates for orientation training for incoming undergraduate, graduate, and professional students; teaching assistants; staff; faculty; and postdocs to improve consistency and quality.

� Develop materials that promote the values and principles in the Statement of Ethics.

� Develop a comprehensive exit interview/survey program to help identify opportunities to strengthen a campus culture of ethics and integrity.

� Provide periodic review of training materials and the exit interview instrument.

� Develop a plan to communicate to the entire University community the various channels through which individuals may report concerns and potential policy violations.

� Report periodically on office activities and initiatives.

Monitoring and Reporting

The office would serve as a resource for University units, identifying policies and procedures that need review or updating, finding gaps or conflicts in policies and procedures, and sharing recommendations to help units resolve identified issues. In addition, it would act as a clearinghouse for reporting concerns and violations, pointing people to the best resources, and ensuring appropriate resolution and communication of issues reported through EthicsPoint. To advance these functions, the office would:

� Ensure that policies are reviewed and updated with a frequency that correlates to the level of risk they incur or are associated with for the University.

� Identify proactively or through coordination of efforts with other campus units, such as the Internal Audit Department and the Office of Internal Controls, areas that could benefit from policy and procedures reviews; perform associated reviews; and make recommendations to the appropriate lines of authority for improving policies, monitoring/enforcement, and compliance.

� Provide guidance to units seeking support or help with policy implementation and reporting.

� Report systemic problems or gaps to appropriate lines of authority to facilitate corrective action.


� Facilitate and encourage the use of all channels for reporting concerns and violations:

- EthicsPoint (anonymous reporting)

- Campus unit channels (for example, Human Resources, FERPA, Title IX, Honor Code, the Department of Athletics Up and Out Incident Reporting Guidelines, etc.)

- Ombuds Office (not an avenue of notice to the University, but individuals in this office can provide guidance on conflict resolution and reporting mechanisms)

� Manage reports submitted via EthicsPoint as follows:

- Collect reports and communicate with appropriate units.

- Track status and resolution of reports and communication of resolution where appropriate and permitted by law.

Policy Management

The office would develop and maintain the documentation for all policies across the University, making consistent and clear policies available to the entire campus through a central web repository. To advance these functions, the office would:

� Develop a central policy website that serves as a repository for all policies across the University.

� Ensure that policies follow a standard template designed to facilitate communication and implementation.

� Enter all policies and policy changes in the web repository.

� Organize policies with hierarchies and categories that make it easier to search or browse for relevant policies.

� Provide guidance to units developing or revising policies.

� Develop feedback mechanisms that allow people to share the effectiveness of policies and offer suggestions for policy improvement.

� Work with the Monitoring and Reporting unit of the office to identify gaps and conflicts in policies.

Implementation of this Recommendation

The Working Group and the Policy and Procedures Working Group recognize that the administrative and regulatory process imposed on the University through which the new Office of Integrity and Policy (or any new office) would be established prevents rapid implementation of this recommendation. Both groups further recognize that many details


relating to the organization of the office, such as staffing levels, personnel job descriptions, and internal organization, will be informed by the ongoing work of the Policy and Procedures Working Group and affected by the availability of resources, fiscal constraints, and the need to utilize existing resources and personnel and avoid duplication of functions within the University. Both groups also believe that the Chief Integrity and Policy Officer should be actively involved in establishing the office. Therefore, this report suggests a phased approach to implementing this recommendation by first naming the Chief Integrity and Policy Officer, who would then be charged with the responsibility to develop the administrative plan for establishing the office, taking into consideration the factors identified above. Once the office is fully established, consideration could be given to integrating into its organizational structure other campus functions and positions related to integrity and policy.

Both groups recommend that an announcement regarding the creation of this office be accompanied by a campaign led by Chancellor Folt to reinforce the University’s values. This campaign would feature a statement from the Chancellor that communicates the University’s commitment to ethics and integrity and helps to develop a shared sense of responsibility and community at UNC-Chapel Hill (see Section III.C. for additional discussion of the communications campaign).


Appendices Appendix A: Subgroup Membership

Subgroup 1: Reaffirm the University’s Commitment: Statement on Ethics and Integrity

Julie Byerley

Michael Gerhardt

Ferrel Guillory

Norma Houston

Russ Shafer-Landau

Subgroup 2: Embed the University’s Commitment: Address Influences That Shape the Campus Culture of Ethical Behavior

Wayne Blair

Julie Byerley

Paul Pogge

Terry Rhodes

Houston Summers

Subgroup 3: Educate and Train: Inventory of Ethics Training Across Campus, Evaluation of Expectations and Consequences, and Oversight

Jennifer Conrad

Haywood Cochrane

Gena Carter

Olivia Farley

Katrina Hauprich

Subgroup 4: Expand Reporting and Establish Oversight: Reporting Mechanisms

Pat Crawford

Kerri McNeill

Joy Renner


App

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thic

al a

nd R

espo

nsib

le C

ondu

ct:

Ethi

cal a

nd R

espo

nsib

le C

ondu

ct; R

espo

nsib

le R

epor

ting

of S

uspe

cted

Vio

latio

ns; R

espe

ct fo

r Oth

ers;

Avo

idin

g C

onfli

cts

of In

tere

sts;

Res

pons

ible

Use

of U

nive

rsity

Res

ourc

es; R

espo

nsib

le C

ondu

ct in

Res

earc

h; C

omm

itmen

t to

Envi

ronm

enta

lH

ealth

and

Saf

ety;

Res

pons

ible

Use

and

Pro

tect

ion

of C

onfid

entia

l Inf

orm

atio

n

Uni

vers

ity o

f Tex

as –

Aus

tin

Mis

sion

& V

alue

s: C

ore

Purp

ose,

Stu

dent

Hon

or C

ode

and

the

Uni

vers

ity C

ode

of C

ondu

ct

Uni

vers

ity o

f Virg

inia

Uni

vers

ity C

ode

of E

thic

s: (1

0 po

int l

ist o

f act

ion)

Et

hics

Web

site

with

brie

f sta

tem

ent:

One

of t

he e

ndur

ing

char

acte

ristic

s of

the

Uni

vers

ity o

f Virg

inia

is it

s co

mm

itmen

t to

inte

grity

and

hig

h et

hica

l sta

ndar

ds.

Long

kno

wn fo

r the

Hon

or S

yste

m, w

hich

has

gov

erne

d st

uden

t con

duct

for m

ore

than

a c

entu

ry a

nd a

hal

f, th

e U

nive

rsity

has

esta

blis

hed

com

plem

enta

ry p

rogr

ams

that

und

ersc

ore

its h

isto

rical

em

phas

is o

n re

spon

sibl

e an

d et

hica

l beh

avio

r. Th

ese

prog

ram

s ar

e wo

rkin

g to

geth

er to

inte

grat

e et

hics

, hon

or, a

nd in

tegr

ity in

to a

ll as

pect

s of

Uni

vers

ity lif

e.

Uni

vers

ity o

f Was

hing

ton-

Seat

tle

Visi

on S

tate

men

t: In

tegr

ity, D

iver

sity

, Exc

elle

nce,

Col

labo

ratio

n, In

nova

tion

and

Res

pect

Uni

vers

ity o

f Wis

cons

in-

Mad

ison

M

issi

on S

tate

men

t: (d

oes

not i

nclu

de m

entio

n of

eth

ics,

cou

ld n

ot fi

nd s

epar

ate

ethi

cs s

tate

men

t)


App

endi

x C

: Inv

ento

ry o

f Eth

ics

Trai

ning

s an

d Ed

ucat

ion

Prog

ram

s at

UN

C-C

hape

l Hill

pp

y ng

og

Cha

p

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Acad

emic

Inte

grity

and

Ethi

cs

The

Gra

duat

e Sc

hool

A

serie

s of

fund

amen

tal s

tate

men

ts a

nd g

uide

lines

that

ser

ve a

s re

sour

ces

for g

radu

ate

stud

ents

to m

aint

ain

acad

emic

inte

grity

. So

urce

: http

://gr

adsc

hool

.unc

.edu

/aca

dem

ics/

reso

urce

s/et

hics

.htm

l N

o

Acad

emic

Le

ader

ship

Pro

gram

* In

stitu

te fo

r the

Arts

and

Hum

aniti

es

Fello

ws

are

sele

cted

to e

ngag

e in

a s

erie

s of

act

iviti

es to

hel

p th

em d

evel

op le

ader

ship

sk

ills, c

larif

y th

eir c

aree

r com

mitm

ents

, bui

ld a

lead

ersh

ip n

etw

ork

with

in th

e ca

mpu

s an

dex

tend

thei

r con

tact

s to

oth

er le

ader

s be

yond

the

Uni

vers

ity. T

he A

LP fe

llow

ship

yea

r in

clud

es:

A

wee

k of

lead

ersh

ip tr

aini

ng w

ith th

e C

ente

r for

Cre

ativ

e Le

ader

ship

in G

reen

sbor

o,

one

of th

e na

tion’

s m

ost r

espe

cted

lead

ersh

ip d

evel

opm

ent o

rgan

izat

ions

. Fel

low

spa

rtici

pate

in C

CL

prog

ram

s w

ith s

enio

r exe

cutiv

es fr

om th

e m

ilitar

y, g

over

nmen

t, bu

sine

ss a

nd th

e no

t-for

-pro

fit s

ecto

r.

Sem

este

r-lon

g w

eekl

y se

min

ars

in th

e sp

ring

in w

hich

facu

lty d

iscu

ss c

ritic

al is

sues

faci

ng th

e U

nive

rsity

and

form

ulat

e po

ssib

le re

spon

ses

O

ppor

tuni

ties

to m

eet w

ith s

enio

r lea

ders

insi

de a

nd o

utsi

de th

e U

nive

rsity

O

ne o

vern

ight

and

one

full

day

retre

at fo

cuse

d on

car

eer d

evel

opm

ent,

lead

ersh

ip s

kill

asse

ssm

ent a

nd th

e cr

eatio

n of

a p

erso

nal v

isio

n So

urce

: http

://ia

h.un

c.ed

u/pr

ogra

ms/

ruel

-w-ty

son-

jr-ac

adem

ic-le

ader

ship

-pr

ogra

ms/

acad

emic

-lead

ersh

ip-p

rogr

am/

No,

ther

e is

an

appl

icat

ion

proc

ess

with

8 F

ello

ws

sele

cted

ann

ually

.

Amer

ican

s w

ithD

isab

ilitie

s Ac

t(A

DA)

Tra

inin

g Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

This

ses

sion

is d

esig

ned

to p

rovi

de e

mpl

oyee

s, s

uper

viso

rs a

nd H

R p

rofe

ssio

nals

with

an

over

view

of t

he A

DA

and

ADAA

A. It

will

also

hel

p re

mov

e ne

gativ

e st

ereo

type

s re

gard

ing

empl

oyee

s w

ith d

isab

ilitie

s an

d se

para

te A

DA

myt

hs fr

om fa

cts.

It h

ighl

ight

s th

e ne

ed fo

r us

to a

ppre

ciat

e th

e Ab

ility

in d

isab

ility.

It w

ill al

so in

crea

se a

war

enes

s of

the

Uni

vers

ity’s

Rea

sona

ble

Acco

mm

odat

ions

in E

mpl

oym

ent P

olic

y an

d fa

milia

rize

empl

oyee

s an

d su

perv

isor

s w

ith th

eir r

espo

nsib

ilitie

s an

d av

aila

ble

reso

urce

s.So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-em

ploy

ees/

No

Asso

ciat

e Pr

ofes

sor

Prog

ram

*

Col

lege

of A

rts &

Scie

nces

inco

llabo

ratio

n w

ith th

e In

stitu

te fo

r the

Arts

and

Hum

aniti

es

The

2015

–201

6 pr

ogra

m w

ill co

nsis

t of s

ix di

nner

s an

d fo

ur lu

ncht

ime

even

ts.

Din

ners

, ho

sted

by

alte

rnat

ing

pairs

of s

enio

r fac

ulty

lead

ers,

will

prov

ide

time

and

spac

e fo

r pa

rtici

pant

s to

forg

e co

nnec

tions

bey

ond

thei

r dep

artm

ents

and

to d

iscu

ss p

rofe

ssio

nal

and

acad

emic

issu

es o

f com

mon

inte

rest

. Lu

nch

even

ts w

ill fo

cus

on to

pics

suc

h as

: su

stai

ning

wor

k-lif

e ba

lanc

e at

mid

-car

eer,

man

agin

g in

crea

sed

expe

ctat

ions

and

oppo

rtuni

ties

for u

nive

rsity

ser

vice

, dev

elop

ing

lead

ersh

ip a

nd n

egot

iatin

g sk

ills, p

repa

ring

for p

rom

otio

n to

full

prof

esso

r, an

d po

sitio

ning

one

self

in th

e ac

adem

y as

an

esta

blis

hed

scho

lar.

Sour

ce: h

ttp://

iah.

unc.

edu/

prog

ram

s/fa

culty

-life

-cyc

le-p

rogr

ams/

asso

ciat

e-pr

ofes

sor-

prog

ram

/

No.

All

Col

lege

facu

ltyar

e in

vite

d to

pa

rtici

pate

in th

epr

ogra

m in

the

first

ye

ar fo

llow

ing

thei

rpr

omot

ion

to a

ssoc

iate

pr

ofes

sor.

Cam

pus

Secu

rity

Auth

ority

Cle

ry A

ct

Trai

ning

D

epar

tmen

t of P

ublic

Safe

ty

Onl

ine

train

ing

to h

elp

desi

gnat

ed C

ampu

s Se

curit

y Au

thor

ity (C

SA) u

nder

stan

dre

spon

sibi

litie

s an

d w

hich

crim

es fa

ll un

der t

he C

lery

Act

.So

urce

: http

://cl

ery.

unc.

edu/

train

ing/

Ye

s

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Cha

irs L

eade

rshi

pPr

ogra

m*

Col

lege

of A

rts &

Scie

nces

inco

llabo

ratio

n w

ith th

e In

stitu

te fo

r the

Arts

and

Hum

aniti

es

The

Cha

irs L

eade

rshi

p Pr

ogra

m o

ffers

firs

t-tim

e an

d re

appo

inte

d ch

airs

a y

ear o

f mon

thly

co

nfid

entia

l con

vers

atio

ns in

whi

ch th

ey c

an s

hare

idea

s, id

entif

y be

st p

ract

ices

and

ex

plor

e im

porta

nt is

sues

rela

ted

to th

e im

porta

nt ro

les

they

pla

y w

ithin

the

univ

ersi

ty.

Topi

cs fo

r dis

cuss

ion

may

incl

ude

the

chai

r’s ro

le in

men

torin

g an

d ev

alua

ting

new

facu

lty,

deve

lopi

ng in

cent

ives

and

rew

ards

for f

acul

ty p

rodu

ctiv

ity, s

trate

gic

lead

ersh

ip a

nd

depa

rtmen

tal g

oal s

ettin

g, d

ealin

g w

ith d

iffic

ult i

nter

actio

ns, d

evel

opin

g ne

w d

epar

tmen

tal

reso

urce

s an

d en

cour

agin

g a

colle

gial

clim

ate.

The

CLP

inco

rpor

ates

a m

ento

ring

com

pone

nt b

y in

clud

ing

in e

ach

clas

s a

mix

of r

etur

ning

and

new

ly a

ppoi

nted

cha

irs.

Sour

ce: h

ttp://

iah.

unc.

edu/

prog

ram

s/ru

el-w

-tyso

n-jr-

acad

emic

-lead

ersh

ip-p

rogr

ams/

chai

rs-

lead

ersh

ip-p

rogr

am/

No,

the

Col

lege

re

com

men

ds b

ut d

oes

not r

equi

re

parti

cipa

tion

by n

ewly

appo

inte

d an

dre

appo

inte

d ch

airs

.

Cor

e Sk

ills

Prog

ram

fo

r Fac

ulty

Lead

ersh

ip*

Cen

ter f

or F

acul

tyEx

celle

nce

The

Cor

e Sk

ills P

rogr

am fo

r Fac

ulty

Lea

ders

hip

help

s fa

culty

mem

bers

iden

tify

and

deve

lop

the

skills

they

nee

d to

lead

effe

ctiv

ely

in a

var

iety

of a

cade

mic

lead

ersh

ip ro

les.

The

prog

ram

hel

ps fa

culty

mem

bers

bec

ome

mor

e kn

owle

dgea

ble

abou

t how

to p

erfo

rmke

y le

ader

ship

task

s su

ch a

s:

Le

adin

g gr

oups

and

mee

tings

Setti

ng g

oals

with

indi

vidu

als,

gro

ups,

and

org

aniz

atio

ns

Supe

rvis

ing

one-

on-o

ne

Man

agin

g ch

alle

ngin

g in

tera

ctio

ns

Neg

otia

ting

Le

adin

g ch

ange

R

esol

ving

con

flict

s

Prov

idin

g re

silie

nt le

ader

ship

und

er s

tress

The

prog

ram

als

o he

lps

facu

lty le

ader

s st

reng

then

thei

r net

wor

k of

sup

port

and

build

va

luab

le in

terd

isci

plin

ary

cont

acts

acr

oss

UN

C.

Sour

ce: h

ttp://

cfe.

unc.

edu/

lead

ersh

ip/p

rogr

amm

ing-

and-

even

ts/

No.

Wor

ksho

ps a

repr

esen

ted

indi

vidu

ally

. Fa

culty

can

ele

ct to

re

gist

er fo

r jus

t one

or

for a

ny n

umbe

r of t

he

wor

ksho

ps in

the

serie

s.

EDU

C 1

30:

Nav

igat

ing

the

Res

earc

h U

nive

rsity

*

Offi

ce o

fU

nder

grad

uate

Ed

ucat

ion

This

cou

rse

will

prov

ide

stud

ents

with

kno

wle

dge

requ

isite

for s

ucce

ss a

t a re

sear

ch

univ

ersi

ty. S

tude

nts

will

expl

ore

the

valu

e of

a li

bera

l arts

edu

catio

n as

wel

l as

surv

ey

educ

atio

nal t

heor

ies

of a

cade

mic

mot

ivat

ion,

resi

lienc

y, a

nd s

elf-a

dvoc

acy.

Thr

ough

crit

ical

th

inki

ng, t

houg

htfu

l ana

lysi

s, a

nd w

ritin

g, s

tude

nts

will

exam

ine

the

role

s of

rese

arch

, di

vers

ity, a

nd e

ngag

emen

t in

a co

mm

unity

of s

chol

ars.

The

cou

rse

mat

eria

l will

be

pres

ente

d w

ithin

a fr

amew

ork

of s

tude

nts’

cur

rent

wor

k to

war

d ac

adem

ic s

ucce

ss a

nd th

eir

path

to d

egre

e at

tain

men

t.So

urce

: http

://st

uden

tsuc

cess

.unc

.edu

/reso

urce

s-ca

rolin

a/ac

adem

ic/e

duc-

130/

No.

Thi

s co

urse

isop

en to

all

unde

rgra

duat

e st

uden

ts a

nd is

reco

mm

ende

d fo

r any

stud

ent a

ttend

ing

sum

mer

ses

sion

with

an

aca

dem

ic e

ligib

ility

stat

us o

f IP

or P

R.

EPA

Rec

ruitm

ent

Trai

ning

Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

Cla

ssro

om tr

aini

ng fo

r em

ploy

ees

who

are

resp

onsi

ble

for r

ecru

iting

pos

ition

s de

sign

ated

as

Exe

mpt

from

the

Stat

e Pe

rson

nel A

ct (E

PA) a

nd e

mpl

oyee

s se

ekin

g a

bette

r un

ders

tand

ing

of p

roce

sses

and

pro

cedu

res

that

pro

mot

e di

vers

ity a

nd n

on-d

iscr

imin

atio

n in

the

recr

uitm

ent p

roce

ss. T

rain

ing

expl

ains

how

to c

ondu

ct s

ucce

ssfu

l rec

ruitm

ent

sear

ches

for E

PA p

ositi

ons.

Cou

rse

mat

eria

l inc

lude

s an

ove

rvie

w o

f rec

ruitm

ent a

nd

sear

ch p

roce

dure

s to

ens

ure

the

Uni

vers

ity’s

com

mitm

ent t

o di

vers

ity a

nd n

on-

disc

rimin

atio

n, g

ener

al in

form

atio

n ab

out E

PA R

ecru

itmen

tWeb

, and

sea

rch

com

mitt

ee

resp

onsi

bilit

ies.

The

cou

rse

will

also

pro

vide

info

rmat

ion

on h

ow to

dev

elop

recr

uitm

ent

plan

s, in

itiat

e se

arch

es, a

dver

tise

for c

andi

date

s, (c

ontin

ued

on n

ext p

age)

*

This

trai

ning

/pro

gram

was

incl

uded

bec

ause

it p

rese

nts

a po

tent

ial p

latfo

rm fo

r cov

erin

g to

pics

spe

cific

to e

thic

s an

d in

tegr

ity.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

EPA

Rec

ruitm

ent

Trai

ning

(con

tinue

d)

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce

revi

ew a

nd e

valu

ate

appl

icat

ions

, int

ervi

ew c

andi

date

s an

d co

mpl

ete

hire

s.So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-em

ploy

ee-re

crui

ters

/

Ethi

cs C

PEW

orks

hop

Fina

nce

Div

isio

n

CPE

(Con

tinui

ng P

rofe

ssio

nal E

duca

tion)

wor

ksho

p en

title

d Et

hics

101

, whi

ch m

eets

the

NC

Sta

te B

oard

Req

uire

men

ts fo

r Nor

th C

arol

ina

CPA

s to

rece

ive

two

(2) C

PE c

redi

ts.

Incl

udes

a d

iscu

ssio

n of

Eth

ics

appl

icab

le to

CPA

s in

NC

, but

is n

ot s

pecif

ic to

Hig

her

Educ

atio

n. P

rovi

des

an o

ppor

tuni

ty to

mee

t som

e pr

ofes

siona

l cer

tific

atio

n re

quire

men

tsan

d is

less

exp

ensi

ve/m

ore

conv

enie

nt th

an o

ther

opt

ions

. So

urce

: Inf

orm

atio

n ab

out t

his

train

ing

was

sub

mitt

ed b

y a

Wor

king

Gro

up m

embe

r.

No

Ethi

cs in

the

Wor

kpla

ce

The

Parr

Cen

ter f

or

Ethi

cs

Ethi

cs in

the

Wor

kpla

ce is

a s

emi-a

nnua

l thr

ee h

our w

orks

hop

cour

se o

ffere

d to

UN

C-

Cha

pel H

ill em

ploy

ees

thro

ugh

Hum

an R

esou

rces

. Thi

s co

urse

is d

esig

ned

to in

clud

e an

ov

ervi

ew o

f eth

ical

theo

ries

and

has

a st

rong

em

phas

is o

n et

hica

l dec

isio

n m

akin

g pr

oced

ures

. Par

ticip

ants

dis

cuss

and

eva

luat

e ca

ses

rela

ting

to e

thic

al d

ilem

mas

in th

e w

orkp

lace

(fro

m d

ealin

g w

ith in

appr

opria

te b

ehav

ior f

rom

a fe

llow

em

ploy

ee to

eva

luat

ing

one’

s et

hica

l val

ues

in re

latio

n to

inst

itutio

nal v

alue

s in

the

wor

kpla

ce).

Ulti

mat

ely,

the

goal

of th

e w

orks

hop

is to

pro

vide

an

oppo

rtuni

ty fo

r UN

C-C

hape

l Hill

empl

oyee

s to

con

side

r et

hica

l iss

ues

aris

ing

in th

e w

orkp

lace

and

, fur

ther

, to

prov

ide

thes

e em

ploy

ees

with

tool

s fo

r eva

luat

ing

and

succ

essf

ully

reso

lvin

g th

ese

issu

es.

Sour

ce: h

ttp://

parrc

ente

r.unc

.edu

/pro

gram

s/et

hics

-in-th

e-w

orkp

lace

/

No

Equa

l Em

ploy

men

tO

ppor

tuni

ty In

stitu

te

Trai

ning

Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

This

cou

rse

help

s m

anag

ers

and

supe

rvis

ors

requ

ired

to ta

ke th

is c

ours

e by

law

un

ders

tand

fede

ral a

nd s

tate

equ

al e

mpl

oym

ent o

ppor

tuni

ty/a

ffirm

ativ

e ac

tion

law

s in

the

cont

ext o

f dai

ly w

ork

situ

atio

ns to

ens

ure

a w

elco

min

g an

d in

clus

ive

envi

ronm

ent a

t the

U

nive

rsity

.So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-em

ploy

ees/

Yes,

mus

t be

com

plet

ed b

y al

lm

anag

ers

&su

perv

isor

s w

ithin

one

ca

lend

ar y

ear.

Facu

ltyAd

min

istra

tor

Dev

elop

men

tPr

ogra

m (F

ADP)

*

Cen

ter f

or F

acul

tyEx

celle

nce

The

goal

of t

he F

ADP

is to

pro

vide

facu

lty le

ader

s ea

rly in

thei

r ten

ure

with

the

tool

s to

su

ccee

d in

thei

r new

pos

ition

. The

FAD

P st

reng

then

s th

eir n

etw

ork

of s

uppo

rt an

d co

ntac

ts

acro

ss U

NC

, orie

nts

them

to c

ampu

s ad

min

istra

tive

syst

ems,

and

hel

ps th

em d

evel

op a

sle

ader

s.Th

e pr

ogra

m in

trodu

ces

parti

cipa

nts

to th

ese

impo

rtant

cam

pus

syst

ems:

Div

ersi

ty a

nd M

ultic

ultu

ral A

ffairs

H

uman

Res

ourc

es

Lega

l Affa

irs

Info

rmat

ion

Tech

nolo

gy

Fina

nce

and

Adm

inis

tratio

n

Om

buds

Offi

ce

Out

reac

h (a

lum

ni, c

omm

unic

atio

ns, d

evel

opm

ent,

gove

rnm

enta

l affa

irs)

Thes

e se

ssio

ns in

trodu

ce p

artic

ipan

ts to

thes

e of

fices

, ide

ntify

the

key

resp

onsi

bilit

ies

parti

cipa

nts

have

in e

ach

area

, hel

p pa

rtici

pant

s un

ders

tand

how

bes

t to

disc

harg

e th

ose

resp

onsi

bilit

ies,

and

let p

artic

ipan

ts k

now

who

to c

all f

or h

elp

whe

n ne

eded

. So

urce

: http

://cf

e.un

c.ed

u/le

ader

ship

/pro

gram

min

g-an

d-ev

ents

/

No

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Facu

lty L

earn

ing

Com

mun

ity (F

LC) o

n St

rate

gy a

ndLe

ader

ship

*

Cen

ter f

or F

acul

tyEx

celle

nce

The

FLC

on

Stra

tegy

and

Lea

ders

hip

enga

ges

a se

lect

gro

up o

f Car

olin

a fa

culty

lead

ers

in

a co

llabo

rativ

e pr

oces

s of

exp

lorin

g th

ese

ques

tions

and

dis

cove

ring

the

answ

ers

for t

heir

units

. Pa

rtici

pant

s m

eet m

onth

ly d

urin

g th

e ac

adem

ic y

ear f

or d

iscu

ssio

ns o

f rea

ding

s an

d vi

deos

, pee

r men

torin

g, a

nd p

rese

ntat

ions

by

seni

or c

ampu

s le

ader

s.So

urce

: http

://cf

e.un

c.ed

u/le

ader

ship

/pro

gram

min

g-an

d-ev

ents

/

No

FER

PA T

rain

ing

Offi

ce o

f the

Uni

vers

ityR

egis

trar

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he F

amily

Edu

catio

nal R

ight

s an

d Pr

ivac

y Ac

t (F

ERPA

) and

mus

t be

take

n on

ce. A

n an

nual

ack

now

ledg

emen

t of a

Ter

ms

of U

se

agre

emen

t, w

hich

incl

udes

a s

ectio

n on

FER

PA, c

onfid

entia

lity

of s

tude

nt d

ata

and

an

emph

asis

that

use

rs s

houl

d no

t mis

use

thei

r sys

tem

to lo

ok a

t rec

ords

for w

hich

they

do

not h

ave

legi

timat

e ed

ucat

iona

l int

eres

t to

view

, is

requ

ired

for a

ll us

ers.

So

urce

: http

://re

gist

rar.u

nc.e

du/a

cade

mic

-ser

vice

s/un

cfer

pa/fe

rpa-

inst

ruct

ions

/

Yes,

any

em

ploy

eew

ho w

ill in

tera

ct w

ith

stud

ent d

ata.

GR

AD 7

21: R

esea

rch

Ethi

cs

The

Gra

duat

e Sc

hool

This

cou

rse

focu

ses

in o

n so

me

of th

e m

ain

topi

cs fo

r the

mod

ern

rese

arch

er: s

tew

ards

hip

of d

ata,

rese

arch

mis

cond

uct,

prof

essi

onal

trai

ning

, fun

ding

, pub

licat

ion

prac

tices

, and

rese

arch

for b

oth

hum

an a

nd a

nim

al s

ubje

cts.

Thi

s is

a d

iscu

ssio

n-ba

sed

cour

se th

at

exam

ines

pot

entia

l eth

ical

dile

mm

as in

rese

arch

and

pos

sibl

e so

lutio

ns.

Sour

ce: h

ttp://

grad

prof

dev.

web

.unc

.edu

/cou

rses

/

No

HIP

AA T

rain

ing

for

Bus

ines

s As

soci

ates

R

esea

rch

Com

plia

nce

Prog

ram

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he H

ealth

Insu

ranc

e Po

rtabi

lity

and

Acco

unta

bilit

y Ac

t (H

IPAA

). An

nual

trai

ning

is re

quire

d.

Sour

ce: h

ttp://

rese

arch

.unc

.edu

/offi

ces/

rese

arch

-com

plia

nce-

prog

ram

/priv

acy/

hipa

a/tra

inin

g/

Yes,

eve

ry B

usin

ess

Asso

ciat

e.

HIP

AA T

rain

ing

for

Cam

pus

Pers

onne

l R

esea

rch

Com

plia

nce

Prog

ram

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he H

ealth

Insu

ranc

e Po

rtabi

lity

and

Acco

unta

bilit

y Ac

t (H

IPAA

). An

nual

trai

ning

is re

quire

d.

Sour

ce: h

ttp://

rese

arch

.unc

.edu

/offi

ces/

rese

arch

-com

plia

nce-

prog

ram

/priv

acy/

hipa

a/tra

inin

g/

Yes

HIP

AA T

rain

ing

for

the

Scho

ol o

fD

entis

try

Offi

ce o

f Com

putin

g an

d In

form

atio

n Sy

stem

s (S

OD

)

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he H

ealth

Insu

ranc

e Po

rtabi

lity

and

Acco

unta

bilit

y Ac

t (H

IPAA

). An

nual

trai

ning

is re

quire

d.

Sour

ce: h

ttps:

//ww

w.d

entis

try.u

nc.e

du/e

xper

ienc

e/po

licie

s/hi

paa/

Yes,

all

facu

lty, s

taff

and

stud

ents

.

HIP

AA T

rain

ing

for

the

Hea

lth C

are

Syst

em

UN

C H

ealth

Car

e IT

C

ompl

ianc

e,

Info

rmat

ion

Secu

rity,

an

d Pr

ivac

y

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he H

ealth

Insu

ranc

e Po

rtabi

lity

and

Acco

unta

bilit

y Ac

t (H

IPAA

). An

nual

trai

ning

is re

quire

d.

Sour

ce: h

ttp://

intra

net.u

nche

alth

care

.org

/hos

pita

ldep

artm

ents

/hip

aa/tr

aini

ng

Yes,

all

empl

oyee

s.

HIP

AA T

rain

ing

for

the

Scho

ol o

fM

edic

ine,

the

Scho

ol

of N

ursi

ng, a

nd th

eSc

hool

of P

harm

acy

Offi

ce o

f Inf

orm

atio

n Sy

stem

s (S

OM

)

This

onl

ine

cour

se p

rovi

des

an o

verv

iew

of t

he H

ealth

Insu

ranc

e Po

rtabi

lity

and

Acco

unta

bilit

y Ac

t (H

IPAA

). An

nual

trai

ning

is re

quire

d.

Sour

ce: h

ttp://

ww

w.m

ed.u

nc.e

du/s

ecur

ity/h

ipaa

/hip

aa-tr

ain

Yes,

all

stud

ents

and

empl

oyee

s.

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Hum

an S

ubje

cts

Prot

ectio

n Tr

aini

ng(C

ITI O

nlin

e C

ours

e)

IRB

and

Offi

ce o

fH

uman

Res

earc

h Et

hics

CIT

I is

a w

eb-b

ased

trai

ning

pac

kage

on

issu

es re

latin

g to

hum

an s

ubje

cts

rese

arch

. The

C

ITI w

eb s

ite is

mai

ntai

ned

by th

e U

nive

rsity

of M

iam

i, w

ith c

onte

nt d

evel

oped

by

a na

tiona

l con

sorti

um. C

ITI c

onta

ins

mod

ules

on

topi

cs li

ke in

form

ed c

onse

nt, v

ulne

rabl

e po

pula

tions

, eth

ical

prin

cipl

es a

nd IR

B re

gula

tions

. Eac

h m

odul

e ha

s a

shor

t qui

z at

the

end

to a

sses

s un

ders

tand

ing.

Ove

r 130

0 in

stitu

tions

are

usi

ng C

ITI f

or th

eir m

anda

tory

train

ing.

The

mod

ules

are

gro

uped

by

cate

gorie

s of

rese

arch

. Onl

y on

e gr

oup

need

s to

be

com

plet

ed, t

o be

sel

ecte

d ba

sed

on th

e ty

pe o

f res

earc

h an

indi

vidu

al n

orm

ally

con

duct

s.

1. B

iom

edic

al R

esea

rch

2. S

ocia

l and

Beh

avio

ral R

esea

rch

3. D

ata

and

Spec

imen

s O

nly

Sour

ce: h

ttp://

rese

arch

.unc

.edu

/offi

ces/

hum

an-re

sear

ch-e

thic

s/ge

tting

-sta

rted/

train

ing/

Yes,

requ

ired

of a

llst

udy

pers

onne

l who

ar

e en

gage

d in

the

plan

ning

, con

duct

or

anal

ysis

of r

esea

rch

at

UN

C-C

hape

l Hill

that

invo

lves

hum

an

subj

ects

.

New

Em

ploy

ee

Orie

ntat

ion

–“P

rogr

ams,

Pol

icie

s &

Ser

vice

s” P

ortio

n H

uman

Res

ourc

es

This

trai

ning

cov

ers

Prog

ram

s, P

olic

ies

& Se

rvic

es fo

r new

em

ploy

ees.

Info

rmat

ion

spec

ific

to e

thic

s an

d in

tegr

ity in

clud

es:

EO

C O

ffice

Res

ourc

es a

nd T

rain

ings

D

iscr

imin

atio

n &

Har

assm

ent

D

ispu

te R

esol

utio

n Pr

ogra

ms:

HR

, Med

iatio

n, O

mbu

ds O

ffice

, EO

C, E

mpl

oyee

As

sist

ance

Pro

gram

, pol

icy-

defin

ed g

rieva

nce

and

appe

als

prog

ram

So

urce

: http

://ac

adem

icpe

rson

nel.u

nc.e

du/fa

culty

-pol

icie

s-pr

oced

ures

-gui

delin

es/fa

culty

-ap

poin

tmen

ts/g

ener

al-in

form

atio

n/be

nefit

s-or

ient

atio

n-en

rollm

ent/

No.

The

Ben

efits

Porti

on is

man

dato

ry,

but t

he P

rogr

ams,

Po

licie

s &

Serv

ices

Porti

on is

not

.

New

Fac

ulty

/Cha

irs

Orie

ntat

ion

Col

lege

of A

rts &

Sc

ienc

es

30-m

inut

e di

scus

sion

with

a re

pres

enta

tive

from

Offi

ce o

f Uni

vers

ity C

ouns

el to

talk

abo

ut

appl

icab

le p

olic

ies,

mos

tly F

ERPA

.So

urce

: Inf

orm

atio

n ab

out t

his

train

ing

was

sub

mitt

ed b

y a

Wor

king

Gro

up m

embe

r. N

o

New

Fac

ulty

Prog

ram

* In

stitu

te fo

r the

Arts

and

Hum

aniti

es

The

IAH

New

Fac

ulty

Pro

gram

is d

esig

ned

to in

trodu

ce n

ewly

arri

ved

arts

and

hum

aniti

esfa

culty

in th

e C

olle

ge o

f Arts

and

Sci

ence

s to

inte

rdis

cipl

inar

y co

nver

satio

ns a

nd m

ento

ring

netw

orks

at U

NC

-Cha

pel H

ill. T

he p

rogr

am e

ngag

es a

coh

ort o

f fac

ulty

thro

ugh

acad

emic

and

soci

al e

vent

s th

roug

hout

the

acad

emic

yea

r. Ev

ents

incl

ude

oppo

rtuni

ties

to:

M

eet f

acul

ty fr

om a

cros

s di

scip

lines

Expl

ore

the

loca

l com

mun

ity a

nd e

cono

my

M

ake

conn

ectio

ns w

ith fa

culty

mem

bers

out

side

you

r dis

cipl

ine

doin

g si

mila

r sch

olar

lyw

ork

Ex

chan

ge id

eas,

impr

essi

ons,

and

exp

erie

nces

with

oth

er n

ew fa

culty

mem

bers

So

urce

: http

://ia

h.un

c.ed

u/pr

ogra

ms/

facu

lty-li

fe-c

ycle

-pro

gram

s/ne

w-fa

culty

-pro

gram

/

No,

it is

ope

n to

te

nure

-trac

k an

dte

nure

d fa

culty

at a

llra

nks

who

are

with

in

thei

r firs

t thr

ee y

ears

of

appo

intm

ent a

t UN

C-

Cha

pel H

ill.

New

Gra

duat

e TA

Onl

ine

Orie

ntat

ion*

C

ente

r for

Fac

ulty

Exce

llenc

e

Prov

ides

opp

ortu

nitie

s to

mee

t and

talk

with

new

and

exp

erie

nced

TAs

from

acr

oss

the

disc

iplin

es a

nd to

lear

n to

man

age

the

dual

role

as

grad

uate

stu

dent

and

inst

ruct

or.

Incl

udes

Fiv

e M

odul

es:

1. C

onne

ctin

g w

ith L

earn

ers

2. F

ocus

on

Big

Que

stio

ns3.

Gui

ded

Lear

ning

4. E

xplo

ring

TA R

oles

5. E

ssen

tial Q

uest

ions

Sour

ce: h

ttp://

cfe.

unc.

edu/

teac

hing

-and

-lear

ning

/reso

urce

s-fo

r-gra

duat

e-st

uden

ts/

No

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

New

Pos

tdoc

O

rient

atio

n*

Offi

ce o

f Pos

tdoc

tora

lAf

fairs

An o

ppor

tuni

ty fo

r new

pos

tdoc

s to

be

intro

duce

d to

the

staf

f of t

he O

ffice

of P

ostd

octo

ral

Affa

irs (O

PA) a

nd g

athe

r inf

orm

atio

n ab

out p

olic

ies,

hea

lth in

sura

nce,

ben

efits

, and

oth

er

cam

pus

serv

ices

that

are

ava

ilabl

e to

them

dur

ing

thei

r app

oint

men

t at U

NC

-Cha

pel H

ill.So

urce

: http

://re

sear

ch.u

nc.e

du/o

ffice

s/po

stdo

ctor

al-a

ffairs

/pos

tdoc

s/ne

w/

Yes

New

Stu

dent

Orie

ntat

ion

New

Stu

dent

&C

arol

ina

Pare

nt

Prog

ram

s

Vario

us p

rese

ntat

ions

ove

r the

two-

day

new

stu

dent

orie

ntat

ion

sess

ion.

Info

rmat

ion

spec

ific

to e

thic

s an

d in

tegr

ity in

clud

es:

Ac

adem

ic In

tegr

ity

FE

RPA

Res

ourc

es to

Car

e fo

r You

rsel

f: D

ean

of S

tude

nts,

Wel

lnes

s, C

ouns

elin

g, H

ealth

Se

rvic

es, H

ousi

ng, L

GTB

Q C

ente

r, W

omen

’s C

ente

r

Res

ourc

es to

Sup

port

Peer

s: O

ne A

ct, H

AVEN

, Saf

e Zo

ne

Acco

unta

bilit

y fo

r mai

ntai

ning

inte

grity

: Hon

or C

ode,

IT P

olic

y, A

lcoh

ol P

olic

y

Res

pect

ful r

elat

ions

hips

So

urce

: http

s://n

scpp

.unc

.edu

/firs

t-yea

r-stu

dent

s/or

ient

atio

n/or

ient

atio

n-sc

hedu

le-a

nd-

outc

omes

Yes

Orie

ntat

ion

for

Facu

lty N

ew to

Car

olin

a*

Cen

ter f

or F

acul

tyEx

celle

nce

Orie

ntat

ion

Sche

dule

Incl

udes

:

Wel

com

e to

Car

olin

a

“You

r Que

stio

ns A

nsw

ered

”

Trac

ks fo

r Pro

mot

ion

C

ampu

s R

esou

rces

M

agel

lan

Gam

esSo

urce

: http

://cf

e.un

c.ed

u/ne

w-fa

culty

/

No

The

Parr

Cen

ter f

orEt

hics

Pro

gram

min

g Th

e Pa

rr C

ente

r for

Et

hics

The

Parr

Cen

ter f

or E

thic

s of

fers

a b

road

rang

e of

pro

gram

s fo

r the

Uni

vers

ity o

f Nor

th

Car

olin

a at

Cha

pel H

ill co

mm

unity

—fro

m h

igh

scho

ol s

tude

nts

to m

edic

al s

choo

l stu

dent

s;

from

atto

rney

s to

retir

ees;

as

wel

l as

facu

lty a

nd s

taff

from

num

erou

s de

partm

ents

. So

urce

: http

://pa

rrcen

ter.u

nc.e

du/p

rogr

ams/

No

Prev

entin

gEm

ploy

men

tD

iscr

imin

atio

n Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

Onl

ine

train

ing

to h

elp

empl

oyee

s id

entif

y, a

void

and

repo

rt be

havi

ors

that

app

ear t

o vi

olat

e em

ploy

men

t dis

crim

inat

ion

law

s.So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-em

ploy

ees/

N

o

Prev

entin

g U

nlaw

ful

Har

assm

ent i

n th

e W

orkp

lace

Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

Cla

ssro

om tr

aini

ng to

hel

p em

ploy

ees

wor

k to

war

d cr

eatin

g a

wor

kpla

ce th

at is

free

from

se

xual

har

assm

ent.

Sour

ce: h

ttp://

eoc.

unc.

edu/

train

ing/

for-e

mpl

oyee

s/

No

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

PHR

S 80

1 (S

ectio

n00

1): E

thic

al

Dile

mm

as in

Tr

ansl

atio

nal

Res

earc

h Sc

hool

of P

harm

acy

Ther

e ar

e no

pre

requ

isite

s fo

r PH

RS

801.

The

cou

rse

is o

ffere

d in

the

Fall

sem

este

r and

ut

ilizes

a s

emin

ar fo

rmat

, com

bini

ng le

ctur

es w

ith o

ppor

tuni

ties

for i

nter

activ

e di

scus

sion

an

d gr

oup

activ

ities

. For

the

first

8 w

eeks

, the

cou

rse

will

cove

r 9 c

hapt

ers

from

"R

espo

nsib

le C

ondu

ct o

f Res

earc

h (a

utho

rs S

ham

poo

and

Res

nik)

. G

ener

al e

thic

al to

pics

incl

ude

rese

arch

mis

cond

uct,

conf

licts

of i

nter

est,

data

man

agem

ent,

men

torin

g,

auth

orsh

ip, p

eer r

evie

w, p

ublic

atio

n, p

lagi

aris

m, a

nd e

thic

al d

ecis

ion-

mak

ing.

To

give

pr

oper

per

spec

tive

for s

tude

nts

in P

harm

aceu

tical

Sci

ence

s, th

e co

ncep

tual

fram

ewor

k of

this

cou

rse

is c

ente

red

on e

thic

al is

sues

invo

lved

in th

e de

liver

y of

saf

e an

d ef

fect

ive

med

icat

ions

to p

atie

nts.

Bot

h re

al a

nd h

ypot

hetic

al p

robl

ems

are

pres

ente

d fo

r dis

cuss

ion

and

anal

ysis

. Top

ics

spec

ific

to o

ur re

sear

ch a

nd d

isco

very

env

ironm

ent i

nclu

de: f

raud

and

mis

repr

esen

tatio

n of

dat

a, s

cien

tific

hon

esty

, aca

dem

ic re

cogn

ition

and

fina

ncia

l suc

cess

, in

telle

ctua

l pro

perty

and

pat

entin

g, e

thic

al is

sues

in h

uman

sub

ject

s re

sear

ch, e

thic

alis

sues

in a

nim

al re

sear

ch, c

linic

al d

ata

safe

ty a

nd m

onito

ring,

and

eth

ical

issu

es re

leva

nt

to p

harm

acog

enom

ics

rese

arch

. Gue

st le

ctur

ers

from

eac

h of

the

Phar

mac

eutic

alSc

ienc

es d

ivis

ions

, as

wel

l as

UN

C e

xper

ts o

utsi

de o

f the

Sch

ool,

will

prov

ide

expe

rienc

e-dr

iven

lear

ning

opp

ortu

nitie

s. S

tude

nts

will

read

ass

igne

d pa

ges

from

eac

h ch

apte

r prio

r to

cla

ss a

nd th

e in

vite

d sp

eake

rs w

ill le

ctur

e/en

gage

the

clas

s in

dis

cuss

ion

on to

pics

rela

ted

to th

e as

sign

ed re

adin

g.

Sour

ce: I

nfor

mat

ion

abou

t thi

s tra

inin

g w

as s

ubm

itted

by

a W

orki

ng G

roup

mem

ber.

Yes,

PH

RS

801

is a

re

quire

d 1

cred

it ho

urco

urse

for a

ll firs

t yea

r st

uden

ts in

the

Phar

mac

eutic

alSc

ienc

es g

radu

ate

prog

ram

. M

ost

impo

rtant

ly, P

HR

S 80

1 sa

tisfie

s N

IH a

nd N

SFre

quire

men

ts fo

r re

spon

sibl

e co

nduc

t of

rese

arch

trai

ning

re

quire

d fo

r all

rese

arch

per

sonn

elsu

ppor

ted

on g

rant

s.

Res

earc

h Et

hics

W

orks

hops

The

Parr

Cen

ter f

or

Ethi

cs

Prog

ram

is o

ffere

d th

roug

h th

e Bi

olog

ical

and

Biom

edic

alSc

ienc

es P

rogr

am

(BBS

P)

With

a fo

cus

on e

thic

al a

war

enes

s an

d et

hica

l dec

isio

n m

akin

g, th

ese

wor

ksho

ps s

erve

as

a vi

tal c

ompo

nent

of t

he e

thic

s tra

inin

g re

quire

d fo

r BBS

P st

uden

ts. B

BSP

ethi

cs tr

aini

ng

wor

ksho

ps e

mph

asiz

e st

uden

t dis

cuss

ion

and

anal

ysis

of e

thic

al is

sues

per

tain

ing

to w

ork

in th

e sc

ienc

es, i

nclu

ding

con

tem

pora

ry c

ases

of p

lagi

aris

m a

nd fa

lsifi

catio

n of

dat

a in

rese

arch

. In

addi

tion,

BBS

P st

uden

ts g

ain

a ba

sic

unde

rsta

ndin

g of

impo

rtant

eth

ical

theo

ries

(util

itaria

nism

, deo

ntol

ogy,

car

e et

hics

, virt

ue e

thic

s) a

nd h

ow th

ey c

an a

pply

th

ese

theo

ries

whe

n co

nfro

ntin

g et

hica

l dile

mm

as.

Sour

ce: h

ttp://

parrc

ente

r.unc

.edu

/pro

gram

s/re

sear

ch-e

thic

s/

No.

Ope

n to

gra

duat

e st

uden

ts in

the

BBSP

.

Res

pons

ible

C

ondu

ct o

f Res

earc

h (E

thic

s Tr

aini

ng)

Biol

ogic

al a

ndBi

omed

ical

Sci

ence

sPr

ogra

m (B

BSP)

in th

eSc

hool

of M

edic

ine

BBSP

gra

duat

e st

uden

t Res

pons

ible

Con

duct

of R

esea

rch

(RC

R) t

rain

ing

prog

ram

incl

udes

: 1) m

anda

tory

RC

R tr

aini

ng, 2

) a d

efin

ed p

roce

ss fo

r gra

duat

e st

uden

ts to

ad

dres

s R

CR

issu

es, 3

) con

tinuo

us e

valu

atio

n an

d im

prov

emen

t of o

ur R

CR

trai

ning

pr

ogra

m, a

nd 4

) con

fere

nces

, sem

inar

s an

d w

orks

hops

on

RC

R to

pro

vide

con

tinuo

ustra

inin

g op

portu

nitie

s du

ring

a gr

adua

te s

tude

nt’s

car

eer.

The

man

dato

ry R

CR

trai

ning

take

s pl

ace

in s

even

90

min

ute

sess

ions

that

are

par

t of t

he

BBSP

firs

t yea

r gro

up (F

YG) c

urric

ulum

; thu

s, th

ere

are

10.5

hou

rs o

f sm

all g

roup

con

tact

tim

e in

volv

ing

stud

ents

, fac

ulty

and

bio

med

ical

pos

tdoc

tora

l sch

olar

s. D

iscu

ssio

n gr

oups

cons

ist o

f no

mor

e th

an 1

6 st

uden

ts.

One

bio

med

ical

pos

tdoc

tora

l sch

olar

and

one

facu

ltym

embe

r are

ass

igne

d to

eac

h FY

G to

faci

litat

e ca

se s

tudy

dis

cuss

ions

of k

ey to

pics

in

RC

R. T

opic

s co

vere

d in

the

inte

ract

ive

disc

ussi

on s

essi

ons

incl

ude:

1.

U

NC

spe

cific

RC

R re

sour

ces,

con

tact

s, a

nd p

rogr

ams

2.

Men

tors

hip

and

soci

al re

spon

sibi

lity

3.

Res

earc

h m

isco

nduc

t and

dig

ital i

mag

e m

anip

ulat

ion

(con

tinue

d on

nex

t pag

e)

Yes,

requ

ired

for a

llBB

SP fi

rst y

ear

stud

ents

.

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Res

pons

ible

C

ondu

ct o

f Res

earc

h (E

thic

s Tr

aini

ng)

(con

tinue

d)

Biol

ogic

al a

ndBi

omed

ical

Sci

ence

sPr

ogra

m (B

BSP)

in th

eSc

hool

of M

edic

ine

4.

Anim

al a

nd h

uman

sub

ject

use

5.

Auth

orsh

ip a

nd p

eer r

evie

w6.

Pl

agia

rism

7.

Inte

llect

ual p

rope

rty a

nd c

onfli

ct o

f int

eres

t.

Sour

ce: h

ttp://

bbsp

.unc

.edu

/cur

rent

-stu

dent

s/#R

CR

Yes,

requ

ired

for a

llBB

SP fi

rst y

ear

stud

ents

.

Res

pons

ible

C

ondu

ct o

f Res

earc

h (R

CR

) Tra

inin

gs

Offi

ce o

f Pos

tdoc

tora

lAf

fairs

,N

C T

raC

S In

stitu

te,

Gra

duat

e Sc

hool

Seve

ral R

CR

trai

ning

opp

ortu

nitie

s ar

e pr

ovid

ed a

t UN

C-C

hape

l Hill

that

mee

t NIH

and

N

SF re

quire

men

ts. W

hile

ther

e ar

e no

spe

cific

cur

ricul

ar re

quire

men

ts fo

r RC

R in

stru

ctio

n,

the

follo

win

g to

pics

hav

e be

en in

corp

orat

ed in

to v

ario

us R

CR

trai

ning

s of

fere

d: 1

. con

flict

of

inte

rest

– p

erso

nal,

prof

essi

onal

, and

fina

ncia

l; 2.

pol

icie

s re

gard

ing

hum

an s

ubje

cts,

liv

e ve

rtebr

ate

anim

al s

ubje

cts

in re

sear

ch, a

nd s

afe

labo

rato

ry p

ract

ices

; 3.

men

tor/m

ente

e re

spon

sibi

litie

s an

d re

latio

nshi

ps; 4

. col

labo

rativ

e re

sear

ch in

clud

ing

colla

bora

tions

with

indu

stry

; 5. p

eer r

evie

w; 6

. dat

a ac

quis

ition

and

labo

rato

ry to

ols;

m

anag

emen

t, sh

arin

g an

d ow

ners

hip

7. re

sear

ch m

isco

nduc

t and

pol

icie

s fo

r han

dlin

g m

isco

nduc

t, re

spon

sibl

e au

thor

ship

and

pub

licat

ion

Sour

ce: I

nfor

mat

ion

abou

t thi

s tra

inin

g w

as s

ubm

itted

by

a W

orki

ng G

roup

mem

ber.

Yes,

all

train

ees,

fe

llow

s, p

artic

ipan

ts,

and

scho

lars

rece

ivin

g su

ppor

t thr

ough

any

NIH

trai

ning

gra

nt,

care

er d

evel

opm

ent

awar

d (in

divi

dual

or

inst

itutio

nal),

rese

arch

ed

ucat

ion

gran

t, or

diss

erta

tion

rese

arch

gr

ant m

ust r

ecei

ve

inst

ruct

ion

in R

CR

; an

d al

l stu

dent

s an

dpo

stdo

ctor

alre

sear

cher

s su

ppor

ted

by N

SF s

pons

ored

pr

ojec

ts m

ust r

ecei

ve

inst

ruct

ion

in R

CR

.

Res

pons

ible

Em

ploy

ee T

rain

ing

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce

This

trai

ning

info

rms

empl

oyee

s de

sign

ated

as

“Res

pons

ible

Em

ploy

ees”

of t

heir

repo

rting

re

quire

men

ts.

Sour

ce: h

ttp://

eoc.

unc.

edu/

train

ing/

Ye

s

Sear

ch C

omm

ittee

Tr

aini

ng M

odul

e Eq

ual O

ppor

tuni

ty a

ndC

ompl

ianc

e O

ffice

Onl

ine

(or c

lass

room

) tra

inin

g fo

r hiri

ng s

uper

viso

rs a

nd s

earc

h co

mm

ittee

mem

bers

to

prov

ide

guid

ance

for f

acul

ty a

nd s

taff

hirin

g co

mm

ittee

s se

ekin

g to

recr

uit,

hire

, and

reta

in

an e

xcel

lent

and

div

erse

wor

kfor

ce.

Sour

ce: h

ttp://

eoc.

unc.

edu/

train

ing/

for-e

mpl

oyee

-recr

uite

rs/

Yes

Sem

inar

Ser

ies

for

Early

Car

eer F

acul

tyD

evel

opm

ent*

C

ente

r for

Fac

ulty

Exce

llenc

e

The

Sem

inar

Ser

ies

for E

arly

-Car

eer F

acul

ty P

rofe

ssio

nal D

evel

opm

ent i

s an

opp

ortu

nity

for e

arly

-car

eer f

acul

ty m

embe

rs to

bec

ome

mor

e kn

owle

dgea

ble

abou

t key

pro

fess

iona

lsk

ills, i

nclu

ding

:

Und

erst

andi

ng a

nd le

vera

ging

the

stre

ngth

s of

one

’s p

erso

nalit

y

Man

agin

g tim

e

Build

ing

rela

tions

hips

and

cop

ing

with

con

flict

U

nder

stan

ding

dep

artm

enta

l cul

ture

Plan

ning

for a

cade

mic

suc

cess

Th

e pr

ogra

m a

lso

help

s ea

rly-c

aree

r fac

ulty

mem

bers

stre

ngth

en th

eir n

etw

ork

of s

uppo

rt an

d bu

ild v

alua

ble

inte

rdis

cipl

inar

y co

ntac

ts a

cros

s U

NC

. So

urce

: http

://cf

e.un

c.ed

u/le

ader

ship

/pro

gram

min

g-an

d-ev

ents

/

No.

Wor

ksho

ps a

repr

esen

ted

indi

vidu

ally

. Fa

culty

can

ele

ct to

re

gist

er fo

r jus

t one

or

for a

ny n

umbe

r of t

he

wor

ksho

ps in

the

serie

s.

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


Appe

ndix

C: I

nven

tory

of E

thic

s Tr

aini

ngs

and

Educ

atio

n Pr

ogra

ms

at U

NC

-Cha

pel H

ill

Trai

ning

C

oord

inat

ing

Offi

ce

Topi

cs C

over

ed

Man

dato

ry?

Stat

e Et

hics

Act

Trai

ning

O

ffice

of t

he

Cha

ncel

lor

Req

uire

men

ts a

nd p

rohi

bitio

ns u

nder

G.S

. Cha

pter

§13

8A a

pplic

able

to a

ll co

vere

d pe

rson

s on

cam

pus.

So

urce

: Inf

orm

atio

n ab

out t

his

train

ing

was

sub

mitt

ed b

y a

Wor

king

Gro

up m

embe

r.

Yes

(for c

over

ed

pers

ons:

Boa

rd o

fTr

uste

es, C

hanc

ello

r an

d Vi

ce C

hanc

ello

rs.)

Title

IX A

war

enes

s an

d Vi

olen

ce

Prev

entio

nFa

culty

/Sta

ff O

nlin

e C

ours

e

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce

This

man

dato

ry o

nlin

e tra

inin

g co

urse

dis

cuss

es th

e la

ws

gove

rnin

g di

scrim

inat

ion

and

viol

ence

, hel

ps y

ou id

entif

y th

ese

issu

es o

n ca

mpu

s, a

nd p

rovi

des

the

reso

urce

s av

aila

ble

to y

ou if

you

or s

omeo

ne y

ou k

now

exp

erie

nces

dis

crim

inat

ion

or v

iole

nce.

So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-em

ploy

ees/

Yes,

incl

udin

g pa

rt-tim

e, te

mpo

rary

, and

stud

ent e

mpl

oyee

s.

Title

IX A

war

enes

s an

d Vi

olen

ce

Prev

entio

n St

uden

tO

nlin

e C

ours

e

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce

This

man

dato

ry o

nlin

e tra

inin

g co

urse

dis

cuss

es th

e la

ws

gove

rnin

g di

scrim

inat

ion

and

viol

ence

, hel

ps y

ou id

entif

y th

ese

issu

es o

n ca

mpu

s, a

nd p

rovi

des

the

reso

urce

s av

aila

ble

to y

ou if

you

or s

omeo

ne y

ou k

now

exp

erie

nces

dis

crim

inat

ion

or v

iole

nce.

So

urce

: http

://eo

c.un

c.ed

u/tra

inin

g/fo

r-stu

dent

s/

Yes,

incl

udin

g pa

rt-tim

e an

d di

stan

ce

lear

ning

stu

dent

s.

This

rese

arch

was

inte

nded

to re

flect

the

expe

rienc

e of

any

UN

C-C

hape

l Hill

cons

titue

nt w

ho s

ough

t onl

ine

info

rmat

ion

abou

t tra

inin

g. B

ecau

se th

e re

sear

ch w

as fo

cuse

d on

iden

tifyi

ng re

ason

ably

acc

essi

ble

prog

ram

s, s

ome

unit-

spec

ific

train

ing

prog

ram

s, w

hich

are

not

wid

ely

adve

rtise

d, m

ay h

ave

been

om

itted

from

this

inve

ntor

y.

* Th

is tr

aini

ng/p

rogr

am w

as in

clud

ed b

ecau

se it

pre

sent

s a

pote

ntia

l pla

tform

for c

over

ing

topi

cs s

peci

fic to

eth

ics

and

inte

grity

.


App

endi

x D

: Inv

ento

ry o

f Cam

pus

Rep

ortin

g M

echa

nism

s

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Athl

etic

s C

ompl

ianc

e D

epar

tmen

t of

Athl

etic

s

The

Uni

vers

ity o

f Nor

th C

arol

ina

and

itsD

epar

tmen

t of A

thle

tics

are

com

mitt

ed to

abi

ding

by

the

rule

s of

the

NC

AA a

nd th

e At

lant

ic C

oast

C

onfe

renc

e. I

t is

impo

rtant

that

Stu

dent

Ath

lete

s,

Pare

nts,

Coa

ches

& S

taff,

Fac

ulty

, Rec

ruits

, Ag

ents

, and

Alu

mni

& B

oost

ers

are

awar

e of

the

rule

s an

d re

gula

tions

that

mus

t be

follo

wed

.

The

vario

us ru

les

and

polic

ies

assi

st o

ur U

nive

rsity

inco

ntin

uing

to o

pera

te w

ith h

onor

and

dig

nity

. If y

ou e

ver

have

a q

uest

ion

abou

t NC

AA ru

les,

con

tact

UN

C

Com

plia

nce.

Que

stio

ns o

r ano

nym

ous

tips

may

be

subm

itted

thro

ugh

the

UN

C C

ompl

ianc

e w

ebsi

te.

Sour

ce: h

ttp://

com

plia

nce.

unc.

edu/

Opt

iona

l –An

onym

ous

tips

can

be

subm

itted

th

roug

h U

NC

Com

plia

nce

web

site

.

Ath

letic

s “U

pan

d O

ut”

Inci

dent

Rep

ortin

gG

uide

lines

Dep

artm

ent o

fAt

hlet

ics

Any

info

rmat

ion

whi

ch c

ould

indi

cate

a th

reat

to

secu

rity

or s

afet

y on

cam

pus

or in

volv

ing

anyo

ne

affil

iate

d w

ith U

NC

-Cha

pel H

ill. T

his

incl

udes

: so

met

hing

you

sus

pect

to b

e a

crim

e; s

uspi

ciou

sbe

havi

or o

r circ

umst

ance

s; s

omet

hing

whi

ch m

ayth

reat

en th

e sa

fety

or s

ecur

ity o

f an

indi

vidu

al(in

clud

ing

disc

rimin

atio

n an

d ha

rass

men

t);

som

ethi

ng w

hich

may

thre

aten

the

safe

ty o

r se

curit

y of

the

Uni

vers

ity.

UN

C-C

hape

l Hill

Stud

ent A

thle

tes

shou

ld fo

llow

the

outli

ned

repo

rting

gui

delin

es, b

ased

on

the

natu

re a

nd im

med

iacy

of

the

thre

at. D

epar

tmen

t sta

ff ar

e ex

pect

ed to

pro

mpt

ly re

port

up a

nd o

ut a

ny in

form

atio

n of

this

nat

ure.

So

urce

:ht

tp://

stud

enta

thle

tes.

web

.unc

.edu

/file

s/20

12/0

7/Si

tuat

iona

l-R

esou

rce-

for-S

tude

nt-A

thle

tes.

pdf

The

Com

plia

nce

Line

(Eth

icsP

oint

)

Offi

ce o

fU

nive

rsity

Cou

nsel

Fina

ncia

l; R

esea

rch;

Env

ironm

ent,

Hea

lth a

nd

Safe

ty; H

IPAA

; or a

foun

datio

n af

filia

ted

with

U

NC

.

All r

epor

ts s

ubm

itted

thro

ugh

Ethi

csPo

int's

"Uni

vers

ity o

fN

orth

Car

olin

a at

Cha

pel H

ill C

ompl

ianc

e Li

ne" s

ecur

e w

eb

page

or t

elep

hone

line

will

be g

iven

car

eful

atte

ntio

n by

appr

opria

te U

nive

rsity

of N

orth

Car

olin

a at

Cha

pel H

illad

min

istra

tors

. We

ask

that

you

reta

in y

our r

epor

t key

and

pass

wor

d an

d re

turn

to th

e w

ebsi

te w

ithin

10

wor

king

day

sof

filin

g a

repo

rt to

che

ck fo

r com

men

ts o

r fol

low

-up

ques

tions

. Uni

vers

ity p

olic

y pr

ohib

its re

talia

tion

or re

pris

al

for m

akin

g a

repo

rt or

inqu

iry in

goo

d fa

ith o

r for

see

king

gu

idan

ce o

n de

alin

g w

ith p

oten

tial o

r sus

pect

ed

nonc

ompl

ianc

e. T

he U

nive

rsity

exp

ects

that

repo

rts m

ade

thro

ugh

the

Com

plia

nce

Line

will

be m

ade

in a

goo

d fa

ith

effo

rt to

add

ress

legi

timat

e is

sues

nee

ding

cor

rect

ion

orgu

idan

ce.

Sour

ce:

http

s://s

ecur

e.et

hics

poin

t.com

/dom

ain/

en/re

port_

cust

om.a

sp?c

lient

id=1

3027

Rep

ortin

g is

conf

iden

tial

and

may

be

subm

itted

an

onym

ousl

y.

Con

flict

of

Inte

rest

R

epor

ting

Con

flict

of

Inte

rest

Pr

ogra

m

CO

I Pai

d Au

thor

ship

Dis

clos

ure;

CO

I Tra

vel

Dis

clos

ure;

Sel

f-Ini

tiate

d C

onfli

ct o

f Int

eres

t D

iscl

osur

e; N

otic

e of

Inte

nt to

Eng

age

in E

xter

nal

Prof

essi

onal

Act

iviti

es fo

r Pay

(EPA

P)

The

Activ

ities

, Int

eres

ts a

nd R

elat

ions

hips

Man

agem

ent

Syst

em (A

IR) i

s fo

r use

by

UN

C-C

hape

l Hill

Inve

stig

ator

s,In

vent

ors

and

Adm

inis

trato

rs in

iden

tifyi

ng c

ircum

stan

ces

that

may

giv

e ris

e to

pot

entia

l con

flict

s of

inte

rest

rela

ted

to

rese

arch

, tec

hnol

ogy

trans

fer o

r adm

inis

trativ

e re

spon

sibi

litie

s. F

or e

ach

Uni

vers

ity re

sear

ch p

roje

ct

(spo

nsor

ed o

r uns

pons

ored

), th

e Pr

ojec

t-Spe

cific

Con

flict

of

Inte

rest

Dis

clos

ure

form

mus

t be

timel

y fil

ed fo

r eac

h U

nive

rsity

em

ploy

ee, s

tude

nt o

r tra

inee

invo

lved

in th

ede

sign

, con

duct

or r

epor

ting

of th

e re

sear

ch p

roje

ct fo

r w

hom

one

or m

ore

of th

e an

swer

s (c

ontin

ued

on n

ext p

age)


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Con

flict

of

Inte

rest

R

epor

ting

(con

tinue

d)

Con

flict

of

Inte

rest

Pr

ogra

m

CO

I Pai

d Au

thor

ship

Dis

clos

ure;

CO

I Tra

vel

Dis

clos

ure;

Sel

f-Ini

tiate

d C

onfli

ct o

f Int

eres

t D

iscl

osur

e; N

otic

e of

Inte

nt to

Eng

age

in E

xter

nal

Prof

essi

onal

Act

iviti

es fo

r Pay

(EPA

P)

pose

d in

the

disc

losu

re fo

rm is

"yes

". Th

e U

nive

rsity

PI i

sob

ligat

ed to

ens

ure

that

any

pot

entia

l con

flict

of i

nter

est t

hat

exis

ts in

rela

tion

to th

e re

sear

ch p

roje

ct is

repo

rted

asre

quire

d by

this

Uni

vers

ity p

olic

y. F

acul

ty a

nd s

taff

in c

erta

in

adm

inis

trativ

e po

sitio

ns re

spon

sibl

e fo

r res

ourc

e al

loca

tion,

pe

rson

nel d

ecis

ions

, bus

ines

s co

ntra

cts,

pur

chas

ing,

te

chno

logy

tran

sfer

, and

oth

er s

ensi

tive

activ

ities

are

re

quire

d to

com

plet

e an

ann

ual q

uest

ionn

aire

rega

rdin

g ex

tern

al re

latio

nshi

ps th

at m

ight

cre

ate

or b

e pe

rcei

ved

tocr

eate

con

flict

s of

inte

rest

with

thei

r Uni

vers

ity

resp

onsi

bilit

ies.

Sour

ce: h

ttp://

air.u

nc.e

du

Dis

crim

inat

ion,

Har

assm

ent

and

Ret

alia

tion

Rep

ortin

g

Equa

lO

ppor

tuni

tyan

dC

ompl

ianc

e O

ffice

The

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce

hand

les

stud

ent,

empl

oyee

, and

vis

itor r

epor

ts o

fdi

scrim

inat

ion

and

hara

ssm

ent b

ased

on

age,

co

lor,

disa

bilit

y, g

enet

ic in

form

atio

n, n

atio

nal

orig

in, r

ace,

relig

ion,

sex

(inc

ludi

ng g

ende

r, ge

nder

exp

ress

ion,

or g

ende

r ide

ntity

), se

xual

orie

ntat

ion,

and

vet

eran

sta

tus.

Thi

s in

clud

es

repo

rts o

f sex

ual m

isco

nduc

t, in

clud

ing

sexu

alha

rass

men

t and

sex

ual v

iole

nce.

Thi

s of

fice

also

ha

ndle

s re

ports

of r

elat

ions

hip

viol

ence

and

st

alki

ng.

Stud

ents

, em

ploy

ees,

app

lican

ts a

nd v

isito

rs w

ho b

elie

veth

ey h

ave

expe

rienc

ed d

iscr

imin

atio

n, h

aras

smen

t (in

clud

ing

sexu

al m

isco

nduc

t), a

nd/o

r ret

alia

tion

shou

ld s

ubm

it a

repo

rt or

con

tact

the

Equa

l Opp

ortu

nity

and

Com

plia

nce

Offi

ce. A

m

embe

r of t

he E

qual

Opp

ortu

nity

and

Com

plia

nce

Offi

ce

staf

f will

be in

con

tact

with

you

sho

rtly

to s

ched

ule

anap

poin

tmen

t to

disc

uss

your

repo

rt.

Sour

ce: h

ttp://

eoc.

unc.

edu/

disc

rimin

atio

n-an

dor-

hara

ssm

ent-c

ompl

aint

-form

/

EPA

Non

-Fa

culty

Grie

vanc

e C

ompl

aina

nt

Offi

ce o

fH

uman

R

esou

rces

Con

test

ed d

isch

arge

for c

ause

; alle

ged

viol

atio

ns

of th

e C

ompl

aina

nt’s

righ

ts g

uara

ntee

d by

the

Firs

t Am

endm

ent t

o th

e U

nite

d St

ates

Con

stitu

tion

or A

rticl

e I o

f the

Nor

th C

arol

ina

Con

stitu

tion;

H

aras

smen

t or D

iscr

imin

atio

n ba

sed

on: a

ge,

disa

bilit

y, ra

ce/c

olor

, eth

nici

ty, s

ex, s

exua

lor

ient

atio

n, re

ligio

n, p

oliti

cal a

ffilia

tion,

nat

iona

lor

igin

, cre

ed, g

ende

r ide

ntity

, gen

der e

xpre

ssio

n;

Dis

cont

inua

tion

with

out a

ppro

pria

te n

otic

e, o

r w

ithou

t tem

pora

ry e

xten

sion

of a

ppoi

ntm

ent i

n th

eab

senc

e of

suc

h no

tice,

as

prov

ided

for i

n th

eEP

A N

on-F

acul

ty E

mpl

oym

ent P

olic

ies;

Alle

ged

viol

atio

n of

a s

pecif

ic U

nive

rsity

rule

, reg

ulat

ion,

or

polic

y, s

tate

law

or p

olic

y, o

r fed

eral

law

per

tain

ing

to th

e em

ploy

men

t rel

atio

nshi

p be

twee

n th

e C

ompl

aina

nt a

nd th

e U

nive

rsity

that

adv

erse

lyan

d m

ater

ially

affe

cted

the

Com

plai

nant

’s te

rms

and

cond

ition

s of

em

ploy

men

t; R

etal

iatio

n fo

r fil

ing

a G

rieva

nce

in g

ood

faith

or f

or c

oope

ratin

g or

oth

erw

ise

parti

cipa

ting

in g

ood

faith

in a

nin

vest

igat

ion

of a

Grie

vanc

e.

You

mus

t sub

mit

this

Grie

vanc

e Fi

ling

Form

with

in 3

0 ca

lend

ar d

ays

of th

e ev

ent (

or k

now

ledg

e of

the

even

t) th

at

you

are

requ

estin

g to

be

revi

ewed

; or,

with

in th

e ex

tend

ed

dead

lines

list

ed in

Par

t 3 o

f the

form

; oth

erw

ise,

you

r G

rieva

nce

cann

ot b

e ac

cept

ed. T

he fo

rm m

ay b

e su

bmitt

ed

by m

ail,

fax

or p

erso

nal d

elive

ry.

Sour

ce: h

ttp://

hr.u

nc.e

du/p

olic

ies-

proc

edur

es-s

yste

ms/

epa-

non-

facu

lty-e

mpl

oyee

-pol

icie

s/di

sput

e-re

solu

tion-

and-

grie

vanc

e/ep

a-no

n-fa

culty

-grie

vanc

e-po

licy-

of-th

e-un

iver

sity

-of

-nor

th-c

arol

ina-

at-c

hape

l-hill/


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

orC

onfid

entia

l?

Faci

litat

edC

onve

rsat

ion

Req

uest

Offi

ce o

fH

uman

R

esou

rces

The

Faci

litat

ed C

onve

rsat

ions

Pro

gram

isav

aila

ble

to a

ll un

iver

sity

em

ploy

ees

for

addr

essi

ng w

orkp

lace

issu

es. I

f an

empl

oyee

re

ques

ts a

faci

litat

ed c

onve

rsat

ion,

then

all

parti

esin

volv

ed m

ust a

gree

to p

artic

ipat

e in

ord

er fo

r the

fa

cilit

ated

con

vers

atio

n to

occ

ur. I

f a s

uper

viso

r re

ques

ts a

faci

litat

ed c

onve

rsat

ion

for o

ne o

r mor

e em

ploy

ees

(with

or w

ithou

t the

pre

senc

e of

man

agem

ent),

the

empl

oyee

s ar

e re

quire

d to

parti

cipa

te.

The

requ

estin

g pa

rty m

ust s

ubm

it a

com

plet

ed F

acilit

ated

C

onve

rsat

ion

Req

uest

For

m to

Em

ploy

ee &

Man

agem

ent

Rel

atio

ns (E

&MR

) in

the

Offi

ce o

f Hum

an R

esou

rces

indi

catin

g th

e na

ture

of t

he is

sue

and

the

parti

es in

volv

ed.

E&M

R w

ill co

ntac

t the

par

ties.

If th

e re

ques

t is

acce

pted

(if

appl

icab

le),

then

E&M

R w

ill as

sign

faci

litat

or(s

) and

sche

dule

a ti

me

and

loca

tion

for t

he m

eetin

g, g

ener

ally

with

in tw

o w

eeks

of t

he re

ques

t. So

me

faci

litat

ion

may

requ

ire m

ore

than

one

mee

ting.

If a

n ag

reem

ent i

s re

ache

d,

each

par

ty in

volv

ed w

ill si

gn a

writ

ten

agre

emen

t sta

tem

ent

and

will

rece

ive

a co

py o

f the

com

plet

ed s

tate

men

t. E&

MR

w

ill re

view

all

agre

emen

ts to

ens

ure

com

plia

nce

with

Sta

te

polic

y. If

no

agre

emen

t is

reac

hed,

then

E&M

R w

ill pr

ovid

e a

sum

mar

y of

the

faci

litat

ion

to th

e pa

rties

invo

lved

. So

urce

: http

://hr

.unc

.edu

/pol

icie

s-pr

oced

ures

-sys

tem

s/sp

a -em

ploy

ee-p

olic

ies/

empl

oyee

-rela

tions

/med

iatio

n-po

licy/

Facu

ltyG

rieva

nce

Com

plai

nt

Facu

ltyG

rieva

nce

Com

mitt

ee a

nd

Facu

ltyH

earin

gsC

omm

ittee

w

ithin

the

Offi

ce o

fFa

culty

Gov

erna

nce

Grie

vanc

es w

ithin

the

Facu

lty G

rieva

nce

Com

mitt

ee’s

juris

dict

ion

incl

ude

mat

ters

dire

ctly

rela

ted

to a

facu

lty m

embe

r’s e

mpl

oym

ent s

tatu

san

d in

stitu

tiona

l rel

atio

nshi

ps w

ithin

the

Uni

vers

ity.

The

Facu

lty H

earin

gs C

omm

ittee

has

juris

dict

ion

over

cas

es in

volv

ing

susp

ensi

on, d

imin

ishm

ent i

n ra

nk o

r dis

char

ge o

f any

facu

lty m

embe

rs, a

nd o

fca

ses

invo

lvin

g no

n-re

appo

intm

ent o

f fac

ulty

mem

bers

on

prob

atio

nary

term

app

oint

men

ts,

incl

udin

g w

hen

the

facu

lty m

embe

r alle

ges

that

one

of th

e im

perm

issi

ble

grou

nds

for n

on-

reap

poin

tmen

t is

pres

ent i

n hi

s or

her

cas

e.

Mem

bers

of t

he F

acul

ty m

ay c

onta

ct th

e Fa

culty

Grie

vanc

e C

omm

ittee

with

resp

ect t

o a

pote

ntia

l for

mal

grie

vanc

e. T

he

com

mitt

ee m

ust f

ollo

w th

e “P

roce

dure

s fo

r the

Fac

ulty

Grie

vanc

e C

omm

ittee

” as

outli

ned

in th

e Fa

culty

Cod

e an

d Po

licie

s.So

urce

: http

://fa

ccou

n.un

c.ed

u/fa

culty

-cod

e-an

d-po

licie

s/pr

oced

ures

-for-t

he-fa

culty

-grie

vanc

e-co

mm

ittee

/

Proc

eedi

ngs

are

conf

iden

tial.

Haz

ing

Hot

line

Offi

ce o

fFr

ater

nity

&So

rorit

y Li

fe

and

Com

mun

ityIn

volv

emen

t

Inci

dent

s th

at a

re p

hysi

cally

, em

otio

nally

, or

psyc

holo

gica

lly d

etrim

enta

l to

the

stud

ent a

nd

dam

age

the

inte

grity

of t

he fr

ater

nity

and

sor

ority

ne

w m

embe

r edu

catio

n/in

take

pro

cess

.

UN

C-C

hape

l Hill

stud

ents

, par

ents

, fac

ulty

, sta

ff an

dco

mm

unity

mem

bers

can

sub

mit

repo

rts. T

his

form

is s

ent

dire

ctly

to th

e D

irect

or o

f Fra

tern

ity a

nd S

oror

ity L

ife a

nd

Com

mun

ity In

volv

emen

t. Th

e U

nive

rsity

's ab

ility

to

inve

stig

ate

repo

rted

inci

dent

s, e

nfor

ce th

e un

iver

sity

’sex

pect

atio

ns, a

nd p

rote

ct fu

ture

stu

dent

s de

pend

s on

the

accu

racy

and

spe

cific

ity o

f the

info

rmat

ion

prov

ided

. You

are

en

cour

aged

to p

rovi

de a

s m

uch

spec

ific

deta

il as

pos

sibl

e so

that

app

ropr

iate

act

ion

can

be ta

ken

to a

ddre

ss th

e re

porte

d be

havi

or.

Sour

ce: h

ttps:

//ofs

lci.u

nc.e

du/fr

ater

nity

-sor

ority

/repo

rt -co

ncer

n-ha

zing

-hot

line

Rep

orts

may

be s

ubm

itted

an

onym

ousl

y.


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Hon

or S

yste

m

Acad

emic

M

isco

nduc

t

Offi

ce o

fSt

uden

t C

ondu

ct

Acad

emic

Dis

hone

sty

viol

atio

ns a

re li

sted

in fu

llde

tail

in S

ectio

n II.

B. o

f the

Inst

rum

ent o

f Stu

dent

Ju

dici

al G

over

nanc

e, a

nd in

clud

e: P

lagi

aris

m;

Fals

ifica

tion,

fabr

icat

ion,

or m

isre

pres

enta

tion

ofda

ta, o

ther

info

rmat

ion,

or c

itatio

ns in

con

nect

ion

with

an

acad

emic

ass

ignm

ent,

whe

ther

gra

ded

or

othe

rwis

e;U

naut

horiz

ed a

ssis

tanc

e or

una

utho

rized

co

llabo

ratio

n; C

heat

ing

on e

xam

inat

ions

or o

ther

ac

adem

ic a

ssig

nmen

ts; V

iola

ting

proc

edur

espe

rtain

ing

to th

e ac

adem

ic p

roce

ss; D

elib

erat

ely

furn

ishi

ng fa

lse

info

rmat

ion;

For

ging

, fal

sifyi

ng, o

rm

isus

ing

Uni

vers

ity d

ocum

ents

, rec

ords

, etc

.; Vi

olat

ing

othe

r Uni

vers

ity p

olic

ies

that

are

de

sign

ed to

ens

ure

acad

emic

inte

grity

, etc

.; an

d As

sist

ing

or a

idin

g an

othe

r to

enga

ge in

act

s of

ac

adem

ic d

isho

nest

y.Fo

r mor

e in

form

atio

n ab

out w

heth

er a

beh

avio

r co

nstit

utes

a p

oten

tial H

onor

Cod

e vi

olat

ion,

pl

ease

con

tact

the

Offi

ce o

f Stu

dent

Con

duct

at

919-

962-

0805

or

jpa@

unc.

edu.

Any

pers

on m

ay re

port

susp

ecte

d m

isco

nduc

t by

a U

NC

-C

hape

l Hill

stud

ent t

o th

e H

onor

Sys

tem

. A re

port

may

be

filed

usi

ng th

e on

line

repo

rting

sys

tem

. The

Offi

ce o

f Stu

dent

C

ondu

ct w

ill re

view

the

repo

rt an

d re

fer i

t to

the

appr

opria

te

Stud

ent A

ttorn

ey G

ener

al fo

r rev

iew

. Ins

truct

ors

who

repo

rt su

spec

ted

acad

emic

dis

hone

sty

shou

ld is

sue

the

accu

sed

stud

ent a

gra

de o

f "IN

", or

"Inc

ompl

ete"

for t

he c

ours

e in

qu

estio

n. T

he O

ffice

of S

tude

nt C

ondu

ct w

ill co

ntac

t the

Reg

istra

r's O

ffice

and

hav

e th

e in

com

plet

e gr

ade

chan

ged

to"N

G" u

ntil

the

case

has

bee

n re

solv

ed. I

nstru

ctor

s m

ust

repo

rt th

e su

spec

ted

viol

atio

n to

the

Hon

or S

yste

m, a

ndsh

ould

not

add

ress

the

susp

ecte

d vi

olat

ion

inde

pend

ently

. Th

ose

who

exp

erie

nce

troub

le u

sing

the

onlin

e fo

rm m

aysu

bmit

writ

ten

repo

rts c

once

rnin

g po

tent

ial H

onor

Cod

e vi

olat

ions

, alo

ng w

ith re

leva

nt s

uppo

rting

mat

eria

ls, t

o th

e O

ffice

of S

tude

nt C

ondu

ct, C

ampu

s Bo

x 51

00, C

hape

l Hill,

N

C 2

7599

.So

urce

s: h

ttps:

//stu

dent

cond

uct.u

nc.e

du/re

port-

viol

atio

n -ho

nor-s

yste

mht

tps:

//pub

licdo

cs.m

axie

nt.c

om/re

porti

ngfo

rm.p

hp?U

NC

Cha

pelH

ill&la

yout

_id=

5

Hon

or S

yste

m

Non

-Aca

dem

ic

Mis

cond

uct

Offi

ce o

fSt

uden

t C

ondu

ct

Non

-Aca

dem

ic M

isco

nduc

t inc

lude

s be

havi

ors

adve

rsel

y af

fect

ing

mem

bers

of t

he U

nive

rsity

Com

mun

ity. E

xam

ples

of b

ehav

iors

con

stitu

ting

aN

on-A

cade

mic

Mis

cond

uct i

nclu

de, b

ut a

re n

ot

limite

d to

: fig

htin

g, h

azin

g, d

rug

use,

lyin

g, a

nd

diso

rder

ly c

ondu

ct.

For m

ore

info

rmat

ion

abou

t whe

ther

a b

ehav

ior

cons

titut

es a

pot

entia

l Hon

or C

ode

viol

atio

n,

plea

se c

onta

ct th

e O

ffice

of S

tude

nt C

ondu

ct a

t 91

9-96

2-08

05 o

r jp

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c.ed

u.

Any

pers

on m

ay re

port

susp

ecte

d m

isco

nduc

t by

a U

NC

-C

hape

l Hill

stud

ent t

o th

e H

onor

Sys

tem

. A re

port

may

be

filed

usi

ng th

e on

line

repo

rting

sys

tem

. The

Offi

ce o

f Stu

dent

C

ondu

ct w

ill re

view

the

repo

rt an

d re

fer i

t to

the

appr

opria

te

Stud

ent A

ttorn

ey G

ener

al fo

r rev

iew

. Tho

se w

ho e

xper

ienc

e tro

uble

usi

ng th

e on

line

form

may

sub

mit

writ

ten

repo

rtsco

ncer

ning

pot

entia

l Hon

or C

ode

viol

atio

ns, a

long

with

re

leva

nt s

uppo

rting

mat

eria

ls, t

o th

e O

ffice

of S

tude

nt

Con

duct

, Cam

pus

Box

5100

, Cha

pel H

ill, N

C 2

7599

.So

urce

s: h

ttps:

//stu

dent

cond

uct.u

nc.e

du/re

port-

viol

atio

n -ho

nor-s

yste

mht

tps:

//pub

licdo

cs.m

axie

nt.c

om/re

porti

ngfo

rm.p

hp?U

NC

Cha

pelH

ill&la

yout

_id=

2

ITS

Polic

y an

dSe

curit

yC

once

rns

Info

rmat

ion

Tech

nolo

gySe

rvic

es

Acce

ptab

le U

se P

robl

ems;

Issu

es In

volv

ing

Cop

yrig

hts;

Issu

es In

volv

ing

Syst

em S

ecur

ity;

Oth

er Is

sues

or P

olic

y C

once

rns.

To re

port

acce

ptab

le u

se p

robl

ems

at U

NC

-Cha

pel H

ill,

call

919-

962-

HEL

P or

sen

d em

ail t

o: p

ostm

aste

r@un

c.ed

u.

For i

ssue

s in

volv

ing

copy

right

s or

oth

er p

olic

y co

ncer

ns,

call

919-

445-

9393

or s

end

emai

l to:

cop

yrig

ht@

unc.

edu.

Fo

r iss

ues

invo

lvin

g sy

stem

sec

urity

, cal

l 919

-962

-HEL

P or

se

nd e

mai

l to:

sec

urity

@un

c.ed

u.

For a

ny o

ther

issu

es, p

leas

e se

nd e

mai

l to

abus

e@un

c.ed

u.


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Mis

sing

Pers

ons

Offi

ce o

f the

D

ean

ofSt

uden

ts

Mis

sing

Per

sons

Con

tact

911

or t

he U

NC

-Cha

pel H

ill D

epar

tmen

t of P

ublic

Safe

ty a

t (91

9) 9

62-8

100

to re

port

a m

issi

ng p

erso

n. T

he

Offi

ce o

f the

Dea

n of

Stu

dent

s ca

n al

so re

ceiv

e in

form

atio

n re

gard

ing

mis

sing

per

sons

and

pro

vide

sup

port

to th

ose

conc

erne

d fo

r our

stu

dent

s.

Sour

ce: h

ttps:

//dea

nofs

tude

nts.

unc.

edu/

safe

ty-a

nd-

secu

rity/

mis

sing

-per

sons

Proh

ibite

d C

ondu

ct

Equa

lO

ppor

tuni

tyan

dC

ompl

ianc

e O

ffice

The

polic

y pr

ohib

its th

e fo

llow

ing

form

s of

cond

uct:

Dis

crim

inat

ion,

Har

assm

ent,

Sexu

alAs

saul

t or S

exua

l Vio

lenc

e, S

exua

l Exp

loita

tion,

In

terp

erso

nal V

iole

nce,

Sta

lkin

g, C

ompl

icity

, R

etal

iatio

n.

The

Uni

vers

ity s

trong

ly e

ncou

rage

s an

yone

to re

port

Proh

ibite

d C

ondu

ct to

the

Uni

vers

ity –

thro

ugh

anan

onym

ous

repo

rt or

a fo

rmal

repo

rt. If

crim

inal

act

ivity

has

occu

rred,

the

Uni

vers

ity a

lso

stro

ngly

enc

oura

ges

you

tore

port

such

inci

dent

s to

law

enf

orce

men

t, w

hich

is a

se

para

te re

porti

ng o

ptio

n. W

hile

repo

rting

is e

ncou

rage

d as

so

on a

s po

ssib

le fo

llow

ing

an in

cide

nt, t

hese

repo

rting

op

tions

are

ava

ilabl

e to

you

at a

ny ti

me.

The

Uni

vers

ityth

roug

h th

e St

uden

t Com

plai

nt/T

itle

IX C

oord

inat

or o

r Equ

al

Opp

ortu

nity

and

Com

plia

nce

Offi

ce c

an a

ssis

t you

with

m

akin

g a

polic

e re

port

or, i

f req

uest

ed, w

ith c

onne

ctin

g yo

u to

the

cour

t sys

tem

to s

eek

a ci

vil n

o-co

ntac

t ord

er.

Sour

ce:

http

://se

xual

assa

ulta

nddi

scrim

inat

ionp

olic

y.un

c.ed

u/m

ake-

a -re

port/

Opt

iona

l –An

onym

ous

repo

rts c

an b

e su

bmitt

ed

thro

ugh

the

Offi

ce o

f the

D

ean

ofSt

uden

tsor

the

Dep

artm

ent o

fPu

blic

Safe

ty’s

“S

ilent

W

itnes

s” .

Rep

ortin

g of

C

rimin

al

Con

vict

ions

for

Cur

rent

lyEm

ploy

ed

Facu

lty a

ndSt

aff

Offi

ce o

fH

uman

R

esou

rces

“Crim

inal

con

vict

ion”

mea

ns a

ll cr

imin

al

conv

ictio

ns a

nd p

leas

that

are

ack

now

ledg

men

tsof

crim

inal

resp

onsi

bilit

y, in

cludi

ng b

ut n

ot li

mite

d to

pra

yers

for j

udgm

ent t

hat o

ccur

on

or a

fter t

he

effe

ctiv

e da

te o

f thi

s po

licy,

regi

stra

tion

as a

co

nvic

ted

sex

offe

nder

with

any

gov

ernm

enta

lau

thor

ity a

s a

resu

lt of

any

prio

r con

vict

ion

for a

se

x of

fens

e, a

nd/o

r any

con

vict

ions

or p

leas

that

ar

e ac

know

ledg

men

ts o

f crim

inal

resp

onsi

bilit

ysu

bjec

t to

the

juris

dict

ion

of a

milit

ary

cour

t. C

onvi

ctio

ns fo

r rou

tine

traffi

c-re

late

d in

fract

ions

(e.g

., sp

eedi

ng, u

nsaf

e m

ovem

ent,

impr

oper

equi

pmen

t) ar

e no

t req

uire

d to

be

repo

rted

unde

r th

is p

olic

y un

less

driv

ing

is a

requ

ired

part

of th

e em

ploy

ee’s

regu

larly

ass

igne

d jo

b du

ties.

Empl

oyee

s ar

e re

quire

d to

repo

rt cr

imin

al c

onvi

ctio

ns w

ithin

fiv

e bu

sine

ss d

ays

of th

e co

nvic

tion

or o

ther

cov

ered

cr

imin

al d

ispo

sitio

n or

at t

he fi

rst p

ossi

ble

oppo

rtuni

ty if

the

empl

oyee

is in

carc

erat

ed. T

he e

mpl

oyee

is re

quire

d to

repo

rt th

is in

form

atio

n to

the

Empl

oyee

and

Man

agem

ent

Rel

atio

ns D

epar

tmen

t of t

he O

ffice

of H

uman

Res

ourc

es o

r, at

the

empl

oyee

’s o

ptio

n, to

his

/her

Sup

ervi

sor o

r D

epar

tmen

t Hea

d. T

he e

mpl

oyee

mus

t pro

vide

to th

e U

nive

rsity

writ

ten

docu

men

tatio

n (fo

r exa

mpl

e, a

writ

ten

cour

t rec

ord

of th

e co

nvic

tion

or p

lea)

that

des

crib

es th

e cr

imin

al c

onvi

ctio

n(s)

in q

uest

ion.

Sup

ervi

sors

and

/or

Dep

artm

ent H

eads

who

hav

e ha

d su

ch m

atte

rs re

porte

d di

rect

ly to

them

, eith

er fr

om th

e em

ploy

ee o

r thr

ough

any

othe

r sou

rce,

mus

t im

med

iate

ly c

onve

y th

is in

form

atio

n to

Empl

oyee

and

Man

agem

ent R

elat

ions

. The

Em

ploy

ee a

nd

Man

agem

ent R

elat

ions

Dep

artm

ent w

ill fo

rwar

d th

e re

leva

nt

info

rmat

ion

and

docu

men

tatio

n to

the

appr

opria

te U

nive

rsity

offic

e fo

r rev

iew

and

ass

essm

ent.

Sour

ce: h

ttp://

hr.u

nc.e

du/p

olic

ies-

proc

edur

es-s

yste

ms/

spa-

empl

oyee

-pol

icie

s/em

ploy

men

t/rep

ortin

g-of

-crim

inal

-co

nvic

tions

-for-c

urre

ntly

-em

ploy

ed-fa

culty

-and

-sta

ff/


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Scho

ol o

fM

edic

ine

ITSe

curit

y or

Abus

e In

cide

nts

Rep

ortin

g

Info

rmat

ion

Secu

rity

&Pr

ivac

y O

ffice

of th

e Sc

hool

of M

edic

ine

The

Info

rmat

ion

Secu

rity

& Pr

ivac

y O

ffice

re

spon

ds to

and

inve

stig

ates

inci

dent

s re

late

d to

m

isus

e or

abu

se o

f UN

C S

choo

l of M

edic

ine

info

rmat

ion

tech

nolo

gy re

sour

ces.

Thi

s in

clud

es

com

pute

r and

net

wor

k se

curit

y br

each

es a

ndun

auth

oriz

ed d

iscl

osur

e or

mod

ifica

tion

ofin

stitu

tiona

l or p

erso

nal i

nfor

mat

ion.

Inci

dent

repo

rts a

re s

ubm

itted

to th

e U

NC

Hea

lthca

re

Syst

em S

ecur

ity In

cide

nt R

espo

nse

Team

(SIR

T)w

hich

add

ress

es s

ecur

ity a

nd p

rivac

y in

cide

nts.

SI

RT

is a

join

t effo

rt th

at in

clud

es U

NC

Hos

pita

ls,

UN

C P

hysi

cian

s &

Asso

ciat

es, a

nd U

NC

Sch

ool

of M

edic

ine.

For e

mer

genc

y IT

inci

dent

s in

volv

ing

thre

ats

to p

erso

nal

safe

ty/p

hysi

cal p

rope

rty o

r ille

gal a

ctiv

ities

, im

med

iate

ly

cont

act t

he c

ampu

s po

lice

depa

rtmen

t at (

919)

962

-810

0.Fo

r non

-em

erge

ncy

repo

rts o

f IT

secu

rity

or a

buse

inci

dent

s,

send

em

ail t

o: s

omin

fose

c@lis

tser

v.m

ed.u

nc.e

duSo

urce

: http

s://w

ww

.med

.unc

.edu

/sec

urity

/repo

rt-an

-in

cide

nt

SPA

Grie

vanc

e C

ompl

aint

O

ffice

of

Hum

an

Res

ourc

es

Dis

cipl

inar

y Ac

tion;

Invo

lunt

ary

Sepa

ratio

n D

ue to

U

nava

ilabi

lity;

Hiri

ng A

ctio

n; V

eter

an’s

Pref

eren

ce; A

nnua

l Per

form

ance

App

rais

al;

Pers

onne

l File

; Har

assm

ent o

r Dis

crim

inat

ion

base

d on

: age

, dis

abilit

y, ra

ce/c

olor

, sex

, sex

ual

orie

ntat

ion,

relig

ion,

pol

itica

l affi

liatio

n, n

atio

nal

orig

in, g

ende

r ide

ntity

, gen

der e

xpre

ssio

n, v

eter

an

stat

us, g

enet

ic in

form

atio

n; R

etal

iatio

n

Your

com

plet

ed “S

PA G

rieva

nce

Initi

al F

iling

Form

” mus

t be

rece

ived

by

the

Grie

vanc

e O

ffice

in th

e O

ffice

of H

uman

R

esou

rces

with

in 1

5 ca

lend

ar d

ays

of th

e ev

ent(s

) or y

our

know

ledg

e of

the

even

t(s) b

eing

grie

ved.

The

form

may

be

subm

itted

by

mai

l, fa

x or

per

sona

l del

iver

y.So

urce

: http

://hr

.unc

.edu

/em

ploy

ee-m

anag

emen

t-re

latio

ns/s

pa-g

rieva

nce-

polic

y-re

sour

ces/

Uni

vers

ityO

mbu

ds O

ffice

U

nive

rsity

Om

buds

Offi

ce

The

Uni

vers

ity O

mbu

ds O

ffice

is a

saf

e pl

ace

whe

re a

ll C

arol

ina

staf

f, fa

culty

, stu

dent

s an

dad

min

istra

tors

are

wel

com

e to

com

e an

d ta

lk in

co

nfid

ence

abo

ut a

ny c

ampu

s is

sue,

pro

blem

or

disp

ute.

The

offi

ce s

uppl

emen

ts, b

ut d

oes

not

repl

ace,

the

Uni

vers

ity’s

form

al c

hann

els,

suc

h as

the

grie

vanc

e po

licy.

The

y ar

e a

conf

iden

tial,

impa

rtial

, inf

orm

al a

nd in

depe

nden

t res

ourc

e.

The

ombu

ds h

ave

the

auth

ority

to c

onta

ct s

enio

r offi

cers

of

the

Uni

vers

ity, t

o ga

ther

info

rmat

ion

if a

visi

tor r

eque

sts

that

a

situ

atio

n be

inve

stig

ated

, to

med

iate

or n

egot

iate

se

ttlem

ents

to d

ispu

tes,

to b

ring

issu

es to

the

atte

ntio

n of

thos

e w

ith a

utho

rity

to a

ddre

ss c

once

rns,

to e

xped

ite

adm

inis

trativ

e pr

oces

ses,

and

to m

ake

reco

mm

enda

tions

for

chan

ge in

pol

icy

or p

ract

ice

whe

n ap

prop

riate

. The

y ar

e no

t de

cisi

on m

aker

s an

d do

not

hav

e th

e po

wer

to e

stab

lish,

ch

ange

, or s

et a

side

any

Uni

vers

ity ru

le o

r pol

icy.

So

urce

: http

://w

ww

.om

buds

.unc

.edu

/con

tact

.htm

l

This

is a

conf

iden

tial

reso

urce

.

Wor

kpla

ce

Viol

ence

R

epor

ting

Offi

ce o

fH

uman

R

esou

rces

Intim

idat

ion,

Bul

lyin

g, S

talk

ing,

Thr

eats

, Phy

sica

lAt

tack

, Dom

estic

and

Fam

ily V

iole

nce,

Pro

perty

Dam

age,

Wea

pons

Viol

ence

cur

rent

ly in

pro

gres

s or

imm

edia

te th

reat

s of

viol

ence

sho

uld

be re

porte

d to

UN

C P

ublic

Saf

ety

(dia

l 911

) fo

r em

erge

ncy

resp

onse

coo

rdin

atio

n. T

he re

porti

ng p

arty

shou

ld th

en re

port

the

thre

at to

Em

ploy

ee &

Man

agem

ent

Rel

atio

ns in

the

Offi

ce o

f Hum

an R

esou

rces

. Em

ploy

ee a

nd

Man

agem

ent R

elat

ions

sho

uld

rece

ive

the

repo

rting

form

as

soon

as

prac

ticab

le, g

ener

ally

with

in tw

o bu

sine

ss d

ays

of

the

inci

dent

. Sho

uld

a vi

olen

ce in

cide

nt g

o un

repo

rted

and

isla

ter d

isco

vere

d to

hav

e oc

curre

d, m

anag

emen

t rem

ains

oblig

ed to

repo

rt th

e in

cide

nt to

E&M

R in

the

Offi

ce o

fH

uman

Res

ourc

es. E

&MR

will

coor

dina

te w

ith o

ther

U

nive

rsity

adm

inis

trativ

e un

its to

inve

stig

ate

the

repo

rt.

(con

tinue

d on

nex

t pag

e)


Appe

ndix

D: I

nven

tory

of C

ampu

s R

epor

ting

Mec

hani

sms

Rep

ortin

gM

echa

nism

D

epar

tmen

t(s)

Topi

cs C

over

ed

Proc

edur

e An

onym

ous

and/

or

Con

fiden

tial?

Wor

kpla

ce

Viol

ence

R

epor

ting

(con

tinue

d)

Offi

ce o

fH

uman

R

esou

rces

Intim

idat

ion,

Bul

lyin

g, S

talk

ing,

Thr

eats

, Phy

sica

lAt

tack

, Dom

estic

and

Fam

ily V

iole

nce,

Pro

perty

Dam

age,

Wea

pons

Dep

endi

ng o

n th

e na

ture

of t

he in

cide

nt, t

he U

nive

rsity

may

re

quire

man

agem

ent i

n th

e de

partm

ent(s

) in

whi

ch th

ein

cide

nt o

ccur

red

to p

erfo

rm a

mor

e de

taile

d in

vest

igat

ion.

Sour

ce: h

ttp://

hr.u

nc.e

du/p

olic

ies-

proc

edur

es-s

yste

ms/

spa-

empl

oyee

-pol

icie

s/em

ploy

ee-re

latio

ns/v

iole

nce-

in-th

e-w

orkp

lace

-pol

icy/

This

rese

arch

was

inte

nded

to re

flect

the

expe

rienc

e of

any

UN

C-C

hape

l Hill

cons

titue

nt w

ho s

ough

t onl

ine

info

rmat

ion

abou

t rep

ortin

g vi

olat

ions

. The

sub

grou

p ac

know

ledg

es th

at s

ome

unit-

spec

ific

repo

rting

mec

hani

sms,

whi

ch a

re n

ot w

idel

y ad

verti

sed,

may

hav

e be

en o

mitt

ed fr

om th

is in

vent

ory.


App

endi

x E:

Ben

chm

arki

ng In

terv

iew

s—R

epor

ting

mec

hani

sms

and

adm

inis

trat

ive

stru

ctur

eAp

p ng

po

ng

Uni

vers

ity C

lass

ifica

tion:

B

ench

mar

k 1

Ben

chm

ark

2 B

ench

mar

k 3

Publ

ic/P

rivat

e Pr

ivat

e Pr

ivat

e Pu

blic

Size

(Num

ber o

fU

nder

grad

uate

Stu

dent

s)

Med

ium

(5,0

00 -

15,0

00)

Med

ium

(5,0

00 -

15,0

00)

Larg

e (g

reat

er th

an 1

5,00

0)

Stru

ctur

e of

Eth

ics

and

Com

plia

nce

Prog

ram

:

Is th

ere

a ce

ntra

l offi

ce?

Yes,

Cen

tral C

ompl

ianc

e O

ffice

. The

y ar

e in

tra

nsiti

on m

ode–

com

plia

nce

was

hou

sed

in

the

Offi

ce fo

r Aud

it an

d Ad

visor

y Se

rvic

es,

but t

hey

are

in th

e pr

oces

s of

est

ablis

hing

this

cent

ral o

ffice

now

.

Yes,

Inst

itutio

nal C

ompl

ianc

e is

hou

sed

with

in

the

Offi

ce o

f Aud

it, C

ompl

ianc

e an

d Pr

ivac

y.

Yes,

Offi

ce o

f Eth

ics,

Com

plia

nce

and

Audi

t Se

rvic

es.

Wha

t are

as a

re in

clud

ed?

Uni

vers

ity C

ompl

ianc

e an

d Po

licy

“Aud

it, C

ompl

ianc

e an

d Pr

ivac

y”

Rol

e of

the

Com

plia

nce

Offi

ce S

peci

fical

ly:

Pr

ovid

e co

mpl

ianc

e re

sour

ces

to th

e ar

eas

acro

ss th

e un

iver

sity

/hea

lth s

yste

m w

ith

com

plia

nce

resp

onsi

bilit

ies.

M

anag

e th

e Pr

inci

ples

of R

espo

nsib

le

Con

duct

and

pro

vide

gen

eral

trai

ning

on

com

plia

nce

polic

ies,

repo

rting

pol

icie

s,

repo

rting

reso

urce

s, e

tc.

St

anda

rds

of c

ondu

ct a

nd p

olic

ies

and

proc

edur

es

Ove

rsig

ht a

nd g

over

nanc

e

Educ

atio

n an

d tra

inin

g

Com

mun

icat

ion

and

repo

rting

En

forc

emen

t and

scr

eeni

ng

Audi

ting

and

mon

itorin

g

Res

pons

e an

d pr

even

tion

Wha

t is

the

size

of t

he

offic

e? (H

ow m

any

empl

oyee

s?)

Thre

e em

ploy

ees,

may

be fo

ur b

ased

on

oper

atio

nal n

eeds

(stil

l in

deve

lopm

ent

beca

use

offic

e is

ver

y ne

w).

Two

empl

oyee

s: In

stitu

tiona

l Com

plia

nce

Offi

cer a

nd A

dmin

istra

tive

Assi

stan

t. Th

eyha

ve b

een

cons

ider

ing

hirin

g an

Ass

ista

nt

Com

plia

nce

Offi

cer.

Syst

em w

ide

offic

e: 2

2 st

aff m

embe

rs, C

hief

Com

plia

nce

Offi

cer a

nd D

eput

y C

ompl

ianc

e O

ffice

r.

Wha

t is

the

over

sigh

t st

ruct

ure?

C

entra

l Com

plia

nce

Offi

cer r

epor

ts jo

intly

to

the

Exec

utiv

e Vi

ce P

resi

dent

and

the

Prov

ost.

The

Offi

ce re

ports

to th

e As

soci

ate

VP o

fAu

dit,

Com

plia

nce

and

Priv

acy,

who

repo

rts to

th

e Ex

ecut

ive

Vice

Pre

side

nt.

The

Offi

ce re

ports

dire

ctly

to th

e Bo

ard

of

Reg

ents

. Ind

ivid

ual E

thic

s an

d C

ompl

ianc

e O

ffice

rs a

t eac

h U

nive

rsity

repo

rt to

the

Cha

ncel

lor a

nd th

e C

hief

Com

plia

nce

Offi

cer.

How

is in

form

atio

nco

ordi

nate

d th

roug

hout

the

vario

us a

reas

? Th

roug

h th

e U

nive

rsity

Com

plia

nce

Com

mitt

ee

Com

plia

nce

Lead

mee

tings

M

onth

ly c

alls

, int

egra

ted

com

mun

icat

ion

aspa

rt of

mai

n re

spon

sibi

litie

s

Do

you

have

sup

porte

rs

acro

ss c

ampu

s or

de

part

men

t con

tact

s? Is

th

e pr

oces

s co

mm

ittee

dr

iven

?

The

Uni

vers

ity C

ompl

ianc

e co

mm

ittee

is

mad

e up

of a

bout

35

mem

bers

–inc

ludi

ng a

llof

the

"com

plia

nce

man

ager

s" a

cros

s ca

mpu

s an

d on

e re

pres

enta

tive

from

eac

h sc

hool

. Th

e co

mm

ittee

is c

haire

d by

the

Com

plia

nce

Offi

cer (

form

erly

cha

ired

by th

e As

soci

ate

VPfo

r Aud

it an

d Ad

viso

ry S

ervi

ces)

and

mee

ts

on a

mon

thly

bas

is. I

t was

form

ed to

ser

ve a

sa

cros

s se

ctio

n of

all

key

unive

rsity

oper

atio

ns. A

t mee

tings

they

dis

cuss

cur

rent

ne

ws

and

issu

es re

late

d to

thei

r cam

pus

and

othe

r uni

vers

ities

and

hav

e di

scus

sion

s ab

out

key

com

plia

nce

(con

tinue

d on

nex

t pag

e)

Ther

e ar

e C

ompl

ianc

e Le

ads

from

acr

oss

the

univ

ersi

ty w

ho h

ave

com

plia

nce

resp

onsi

bilit

ies.

The

se le

ads

have

qua

rterly

mee

tings

hos

ted

by In

stitu

tiona

l Com

plia

nce

to

disc

uss

diffe

rent

com

plia

nce

topi

cs a

ndpr

ovid

e up

date

s on

requ

irem

ents

/cha

nges

taki

ng p

lace

acr

oss

cam

pus.

No,

this

is a

sys

tem

leve

l offi

ce. E

ach

Uni

vers

ity h

as a

n Et

hics

Offi

cer t

hat r

epor

ts to

th

e C

hief

Com

plia

nce

Offi

cer.

All u

nive

rsity

com

mun

ity m

embe

rs re

port

to th

eir u

nive

rsity

le

vel c

onta

ct.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

area

s. B

ecau

se c

ompl

ianc

e re

quire

men

ts a

re

spec

ific

to e

ach

area

, the

y ha

ve a

"c

ompl

ianc

e fra

mew

ork"

(sim

ilar t

o th

e C

OSO

fram

ewor

k) th

at th

ey c

reat

ed to

gui

de th

e m

anag

emen

t of c

ompl

ianc

e, re

gard

less

of t

he

uniq

ue fu

nctio

ns o

f eac

h of

fice.

The

co

mm

ittee

als

o sp

ends

tim

e di

scus

sing

cro

ss-

sect

iona

l com

plia

nce

issu

es, s

uch

as F

ERPA

and

data

sec

urity

. In

gene

ral,

thei

r pur

pose

isto

rais

e aw

aren

ess

and

shar

e in

form

atio

n an

d so

met

imes

eve

n id

entif

y ga

ps in

com

plia

nce

and

brid

ge d

iffer

ent g

roup

s.R

epor

ting

Mec

hani

sms:

Tool

–Wha

t rep

ortin

g to

ol

do y

ou u

se?

i.e.

Ethi

csPo

int,

The

Net

wor

k,

etc.

Et

hics

Poin

t

Ethi

csPo

int w

eb to

olTh

ey m

anag

e th

eir o

wn

hotli

ne, b

ut th

ey in

put

the

info

rmat

ion

from

thos

e ca

lls in

to th

e Et

hics

Poin

t sys

tem

in o

rder

to k

eep

all t

he

data

in o

ne p

lace

.

Ethi

csPo

int

Cat

egor

ies–

Why

wer

e th

ese

cate

gorie

s in

clud

ed; w

hy w

ere

othe

rca

tego

ries

not i

nclu

ded?

(i.e.

, aca

dem

ics)

Acad

emic

, Ath

letic

s, C

onfli

ct o

f Int

eres

t, C

rimin

al/F

raud

, Har

assm

ent,

Inte

llect

ual

Prop

erty

, Inf

orm

atio

n Te

chno

logy

, Res

earc

h,

Safe

ty, W

orkp

lace

Con

duct

Fina

ncia

l, H

uman

Res

ourc

es, P

atie

nt Is

sues

, St

uden

t Iss

ues,

Ris

k an

d Sa

fety

, Res

earc

h,

Priv

acy,

Sec

urity

and

Info

rmat

ion

Tech

nolo

gy,

Con

flict

s of

Inte

rest

, Ath

letic

s, O

ther

Chi

ld/E

lder

Abu

se, C

onfli

ct o

fIn

tere

st/C

omm

itmen

t, D

iscr

imin

atio

n/H

aras

smen

t, Ec

onom

icW

aste

/Mis

use

of R

esou

rces

, Fra

ud, T

heft

or

Embe

zzle

men

t, H

ealth

Sci

ence

Com

plia

nce,

Pr

ivac

y Vi

olat

ions

/Com

pute

r Sec

urity

, Pu

blic

/Env

ironm

enta

l Hea

lth &

Saf

ety,

R

esea

rch/

Acad

emic

Mis

cond

uct,

Ret

alia

tion

Agai

nst W

hist

lebl

ower

s, W

orkp

lace

M

isco

nduc

t, In

quiry

, Que

stio

n, S

ugge

stio

n,

Con

cern

Coo

rdin

atio

n–W

ho

man

ages

this

func

tion?

C

entra

l Com

plia

nce

Offi

cer

Inst

itutio

nal C

ompl

ianc

e C

hief

Inve

stig

atio

n O

ffice

r and

Ed

ucat

ion/

Ethi

csPo

int C

oord

inat

or m

anag

e al

l thi

ngs

Ethi

csPo

int.

Ove

rsig

ht–W

ho h

asac

cess

? O

vers

ight

? Al

l rep

orts

go

to th

e C

entra

l Com

plia

nce

Offi

cer.

Thei

r rol

e is

to e

nsur

e tim

ely

and

effe

ctiv

e re

solu

tions

of e

ach

repo

rt.

All r

epor

ts g

o to

the

Inst

itutio

nal C

ompl

ianc

e O

ffice

r. Th

e Sy

stem

Offi

cers

and

the

Uni

vers

ity le

vel

Ethi

cs O

ffice

r hav

e ac

cess

to d

ata.

Rou

ting–

How

are

cas

es

assi

gned

to th

e ap

prop

riate

dep

artm

ent

for i

nves

tigat

ion?

Cer

tain

cat

egor

ies

of re

ports

are

sen

t im

med

iate

ly to

the

coor

dina

tor f

or th

at a

rea

(i.e.

, res

earc

h re

ports

are

aut

omat

ical

ly s

ent

to th

e pe

rson

who

han

dles

rese

arch

in

vest

igat

ion)

. Oth

er re

ports

that

do

not h

ave

a cl

ear c

oord

inat

or a

re tr

iage

d by

the

offic

e an

d th

en fo

rwar

ded

to th

e ap

prop

riate

per

son

(con

tinue

d on

nex

t pag

e)

The

Inst

itutio

nal C

ompl

ianc

e O

ffice

r will

assi

gn

case

s to

var

ious

inve

stig

ator

s/de

partm

ents

base

d on

the

type

of r

epor

t.

Each

Uni

vers

ity h

as a

n Et

hics

Offi

cer t

hat

redi

rect

s re

ports

to th

e ap

prop

riate

uni

t and

repo

rts to

the

Chi

ef C

ompl

ianc

e O

ffice

r. Al

lun

iver

sity

com

mun

ity m

embe

rs re

port

to th

eir

univ

ersi

ty le

vel c

onta

ct.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

(i.e.

, aca

dem

ic d

isho

nest

y–of

fice

iden

tifie

sw

hich

sch

ool/p

rogr

am is

impl

icat

ed a

ndde

cide

s w

here

to s

end

the

repo

rt). A

ll re

port

inve

stig

ator

s ha

ve b

een

train

ed a

bout

how

to

use

Ethi

csPo

int a

nd w

hat i

s ex

pect

ed to

be

in

the

repo

rt w

hen

the

case

is c

lose

d.

Volu

me–

How

long

hav

e yo

u ha

d th

e ho

tline

in

plac

e? V

olum

e of

repo

rts?

In p

lace

for 5

-6

year

s, re

ceiv

e ab

out 7

0 re

ports

per

yea

r.

Hav

e ha

d a

hotli

ne s

ince

199

8, a

dded

the

web

fu

nctio

n w

ith E

thic

sPoi

nt in

200

9. S

ince

then

, th

ey g

et 4

5 -7

0 is

sues

per

yea

r rep

orte

d sp

ecifi

cally

thro

ugh

the

hotli

ne (t

here

are

m

any

othe

r way

s th

at re

ports

are

rece

ived

).

Hot

line

sinc

e 20

08. E

thic

sPoi

nt s

ince

201

0.

Adve

rtis

ing–

Do

you

adve

rtis

e th

e ho

tline

?D

oes

adve

rtis

emen

tin

clud

e to

stu

dent

s? H

owdo

you

adv

ertis

e?

Yes,

they

con

tinue

to m

arke

t it a

s m

uch

as

poss

ible

. Eve

ry s

taff

and

facu

lty m

embe

r re

ceiv

es p

ublic

atio

ns a

bout

it a

nd o

ther

adve

rtise

men

ts (k

eych

ains

, coa

ster

s, e

tc.).

Th

ey a

lso

hang

pos

ters

in c

onfe

renc

e ro

oms

and

key

HR

are

as. I

n or

der t

o m

arke

t to

stud

ents

, the

y ha

ve s

igna

ge a

bout

Et

hics

Poin

t and

how

to re

port

in th

eir

univ

ersi

ty s

huttl

e bu

ses.

They

adv

ertis

e in

var

ious

pla

ces–

onlin

e, o

n pr

int m

ater

ials

, on

the

back

of t

heir

"Prin

cipl

esof

Res

pons

ible

Con

duct

" bro

chur

e. S

tude

nts

don'

t ten

d to

be

a la

rge

user

of t

he s

yste

m, b

utth

ey a

re a

llow

ed to

repo

rt an

d so

me

do.

Info

on

Offi

ce o

f the

Pre

side

nt’s

web

site

and

al

l ind

ivid

ual c

ampu

s w

ebsi

tes.

Sta

te re

quire

s th

e sy

stem

to p

ost p

oste

rs o

n ca

mpu

ses

and

to s

end

new

em

ail/p

oste

r ann

ually

.

Anon

ymity

?–If

you

are

a pu

blic

inst

itutio

n, d

o yo

uas

sure

ano

nym

ity?

If so

, ho

w?

Priv

ate

They

enc

oura

ge p

eopl

e to

repo

rt th

roug

h th

e ho

tline

if th

ey d

esire

ano

nym

ity. I

n m

ost c

ases

they

can

be

effe

ctiv

e in

thei

r inv

estig

atio

n if

the

repo

rt is

ano

nym

ous,

but

dep

ends

on

the

situ

atio

n. T

hey

mak

e ev

ery

effo

rt to

ens

ure

conf

iden

tialit

y if

the

repo

rter d

oes

self-

iden

tify.

Ethi

csPo

int a

llow

s re

porte

rs to

rem

ain

anon

ymou

s an

d ch

eck

back

in to

ans

wer

fo

llow

-up

ques

tions

.

Rep

orts

–Do

you

repo

rt o

n ca

ses

rece

ived

thro

ugh

the

hotli

ne?

If so

, for

who

m a

nd w

hat i

s in

clud

ed in

the

repo

rt?

They

pro

vide

a b

rief r

epor

t to

the

Audi

t, R

isk

and

Com

plia

nce

Com

mitt

ee e

very

tim

e a

repo

rt ha

s cl

osed

with

info

rmat

ion

abou

t the

re

solu

tion

(foun

d to

be

true/

fals

e), w

heth

er

ther

e w

as p

rior k

now

ledg

e ab

out t

his

issu

e,

and

disp

ositi

on (w

hat a

ctio

n w

as ta

ken)

.

Prov

ides

qua

rterly

repo

rts fo

r the

Exe

cutiv

e Vi

ce P

resi

dent

. Als

o, re

ports

to th

e Bo

ard

ofTr

uste

es w

ith in

form

atio

n ab

out t

he ty

pes

ofca

tego

ries

and

the

volu

me

of re

ports

in e

ach,

th

e ca

ll in

take

met

hod

used

(web

, hot

line,

non

-ho

tline

), an

d a

sum

mar

y of

eac

h ca

se w

ith

info

rmat

ion

on w

heth

er it

was

sub

stan

tiate

d,

not s

ubst

antia

ted,

or n

ot e

noug

h in

form

atio

n to

mov

e fo

rwar

d w

ith a

n in

vest

igat

ion.

Syst

em le

vel o

ffice

repo

rts to

the

Pres

iden

t.

Less

ons

Lear

ned/

Area

s fo

r Im

prov

emen

t–An

y re

com

men

datio

ns o

rle

sson

s le

arne

d fr

om th

e pr

oces

s of

set

ting

up

your

eth

ics

and

com

plia

nce

prog

ram

an

d/or

hot

line

man

agem

ent

1. T

he k

ey fr

om th

e be

ginn

ing

is to

tailo

r the

pr

ogra

m to

the

cam

pus

envi

ronm

ent.

2. N

eed

to b

ring

toge

ther

a c

onst

ituen

t gro

up

to d

iscu

ss th

e m

erits

of t

he h

otlin

e,

dete

rmin

e w

hat a

reas

of r

epor

ting

shou

ld

be in

clud

ed, a

nd fe

el e

mpo

wer

ed a

ndin

clud

ed in

the

proc

ess.

(con

tinue

d on

nex

t pag

e)3.

Nee

d to

hav

e su

ppor

t fro

m s

enio

r le

ader

ship

–Cha

ncel

lor,

Prov

ost,

and

Uni

vers

ity C

ouns

el–a

nd s

omeo

ne w

ho w

ill

It is

crit

ical

that

an

Offi

cer p

ositi

on h

as to

be

at th

e hi

ghes

t lev

el o

f aut

horit

y, re

porti

ng to

th

e C

hanc

ello

r. D

o no

t bur

y th

is p

ositi

on in

ge

nera

l cou

ncil.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

cham

pion

the

effo

rt an

d re

cogn

ize

that

in

real

ity, t

his

is th

eir t

ool a

nd th

e of

fice

isju

st m

anag

ing

it.4.

At t

he b

egin

ning

, the

re w

ere

som

e co

ncer

ns a

bout

fals

e re

ports

, but

real

ity

has

coun

tera

cted

thos

e co

ncer

ns a

nd th

ey

have

not

rece

ived

mis

chie

vous

repo

rts

(nor

do

they

inve

stig

ate

unle

ss th

ere

is

enou

gh in

form

atio

n).

5. Im

porta

nt to

eng

age

repo

rters

and

alw

ays

mak

e su

re th

at th

ey a

re p

ayin

g at

tent

ion

to p

atte

rns

in o

rder

to a

ddre

ss b

igge

r is

sues

.6.

Wor

k cl

osel

y w

ith O

ffice

of U

nive

rsity

Cou

nsel

to d

eter

min

e w

hat t

hey

can

tell

a re

porte

r and

wha

t the

y ca

nnot

.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

Uni

vers

ity C

lass

ifica

tion:

B

ench

mar

k 4

Ben

chm

ark

5 B

ench

mar

k 6

Publ

ic/P

rivat

e Pu

blic

Pu

blic

Pu

blic

Si

ze (N

umbe

r of

Und

ergr

adua

te S

tude

nts)

La

rge

(gre

ater

than

15,

000)

La

rge

(gre

ater

than

15,

000)

La

rge

(gre

ater

than

15,

000)

Stru

ctur

e of

Eth

ics

and

Com

plia

nce

Prog

ram

:

Is th

ere

a ce

ntra

l offi

ce?

Yes,

Offi

ce o

f Ins

titut

iona

l Com

plia

nce.

C

entra

lized

ove

rsig

ht, d

ecen

traliz

ed

com

plia

nce

func

tions

.

No

com

plia

nce

offic

e on

cam

pus.

All

com

plia

nce

is fi

ltere

d th

roug

h H

ealth

Sys

tem

sC

ompl

ianc

e O

ffice

. Ye

s, U

nive

rsity

Com

plia

nce

Serv

ices

.

Wha

t are

as a

re in

clud

ed?

Inst

itutio

nal C

ompl

ianc

e an

d Po

licy

Hea

lth C

are

Syst

em C

ompl

ianc

e an

d R

epor

ting

(HIP

AA),

Con

trolle

d Su

bsta

nces

and

Priv

acy.

All

repo

rts a

re fi

ltere

d th

roug

h C

hief

Com

plia

nce

Offi

cer a

nd tr

iage

d to

re

spon

sibl

e pa

rties

.

Ris

k As

sess

men

t, Po

licy

Man

agem

ent,

Trai

ning

and

Inve

stig

atio

n

Wha

t is

the

size

of t

he

offic

e? (H

ow m

any

empl

oyee

s?)

Five

em

ploy

ees:

Ass

ocia

te D

irect

or o

fIn

stitu

tiona

l Com

plia

nce,

Ass

ocia

te V

ice

Prov

ost,

Polic

y D

irect

or a

nd tw

o ad

min

istra

tive

asso

ciat

es.

Two

empl

oyee

s: C

hief

Offi

cer a

nd

Adm

inis

trativ

e As

sist

ant.

Ther

e is

a C

ompl

ianc

e O

ffice

r in

the

Offi

ce o

fth

e Vi

ce C

hanc

ello

r for

Res

earc

h th

at a

lso

repo

rts to

the

Hea

lth S

yste

ms

Com

plia

nce

Offi

ce.

Eigh

t em

ploy

ees,

(sev

en c

urre

ntly

bec

ause

As

soci

ate

VP p

ositi

on is

vac

ant).

Wha

t is

the

over

sigh

t st

ruct

ure?

As

soci

ate

Vice

Pro

vost

repo

rts to

the

Exec

utiv

e C

omm

ittee

(equ

ival

ent t

o C

hanc

ello

r's C

abin

et).

The

Chi

ef C

ompl

ianc

e O

ffice

r rep

orts

dire

ctly

to th

e Ex

ecut

ive

Offi

cers

, Pre

side

nt.

The

Dire

ctor

of t

he o

ffice

/Chi

ef C

ompl

ianc

e O

ffice

r rep

orts

dire

ctly

to th

e Pr

esid

ent o

f the

U

nive

rsity

.

How

is in

form

atio

nco

ordi

nate

d th

roug

hout

the

vario

us a

reas

?

Ther

e is

a P

artn

er N

etw

ork

of 2

5 un

it co

ntac

ts. W

hen

the

Offi

ce w

as c

reat

ed tw

o ye

ars

ago,

the

Asso

ciat

e Vi

ce P

rovo

st

cond

ucte

d a

risk

asse

ssm

ent a

nd d

eter

min

ed

the

units

that

nee

ded

a co

mpl

ianc

e lia

ison

. H

e sp

ent t

he fi

rst 1

00 d

ays

of h

is a

ppoi

ntm

ent

cond

uctin

g in

terv

iew

s an

d ge

tting

buy

-in fr

omal

l lev

els

of th

e co

mm

unity

. Peo

ple

bega

n as

king

to jo

in th

e ne

twor

k. G

reat

dire

ctio

n an

d re

sults

. Eac

h pa

rtner

repo

rts u

p th

eir c

hain

of

com

man

d an

d re

ports

tren

ds/m

ajor

con

cern

sto

the

offic

e.

Com

mun

icat

ion

is m

ostly

mai

ntai

ned

thro

ugh

colle

ague

to c

olle

ague

dire

ct c

omm

unic

atio

n.

Ther

e w

as a

Com

plia

nce

Com

mitt

ee 5

-7

year

s ag

o th

at p

rove

d in

effe

ctiv

e be

caus

e th

ere

wer

e to

o m

any

topi

cs a

nd in

divi

dual

sdi

d no

t fee

l lik

e th

ey w

ere

addr

essi

ng th

eir

conc

erns

. The

y ne

eded

mor

e m

embe

rs a

ndov

erla

p of

topi

cs, s

o th

e co

mm

ittee

spl

it in

to

smal

ler,

cont

ent-b

ased

gro

ups

that

wor

ked

alo

t bet

ter a

nd b

ecam

e re

latio

nshi

p-ba

sed.

Th

ese

smal

ler n

etw

orks

hel

ped

to c

reat

eco

mm

unic

atio

n ch

anne

ls th

at re

port

back

to

the

Chi

ef C

ompl

ianc

e O

ffice

r.

Qua

rterly

Exe

cutiv

e C

ompl

ianc

e C

omm

ittee

M

eetin

gs w

ith th

e Pr

esid

ent a

nd h

is d

irect

re

ports

(Pro

vost

, Chi

ef L

egal

Offi

cer,

CFO

, Pr

ovos

t, Au

dit,

etc.

) to

disc

uss

risk

area

s on

ca

mpu

s an

d pr

ovid

e up

date

s on

sta

ndin

g is

sues

(Titl

e IX

, cyb

erse

curit

y, e

tc.)

This

is a

ch

arte

red

grou

p.

Do

you

have

sup

porte

rs

acro

ss c

ampu

s or

de

part

men

t con

tact

s? Is

th

e pr

oces

s co

mm

ittee

dr

iven

?

Partn

ers

Net

wor

k (s

ee a

bove

) D

epar

tmen

t Con

tact

s w

ith s

peci

ficco

mpl

ianc

e-ba

sed

resp

onsi

bilit

ies,

mos

tlyre

sear

ch.

Com

plia

nce

Offi

cers

Gro

up m

ade

up o

f 50

-70

folk

s fro

m a

roun

d ca

mpu

s m

eet 2

-4

times

pe

r yea

r to

disc

uss

com

plia

nce

effo

rts in

thei

rsp

ecifi

c de

partm

ents

. The

Ris

k As

sess

men

t Pr

ogra

m M

anag

er fr

om U

CS

mai

ntai

nson

goin

g co

mm

unic

atio

n w

ith th

e pe

ople

on

the

grou

nd w

ho d

eal w

ith c

ompl

ianc

e in

thei

rsp

ecifi

c de

partm

ents

.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

Rep

ortin

g M

echa

nism

s:To

ol–W

hat r

epor

ting

tool

do

you

use

? i.e

. Et

hics

Poin

t, Th

e N

etw

ork,

et

c.

Ethi

csPo

int

Net

wor

k W

eb R

epor

ting

Syst

em

The

Net

wor

k

Cat

egor

ies–

Why

wer

e th

ese

cate

gorie

s in

clud

ed; w

hy w

ere

othe

rca

tego

ries

not i

nclu

ded?

(i.e.

, aca

dem

ics)

Acad

emic

Affa

irs, A

ccou

ntin

g an

d Fi

nanc

ial,

Athl

etic

s, H

uman

Res

ourc

es, I

nfor

mat

ion

Tech

nolo

gy, M

edic

al, R

esea

rch,

Ris

k an

dSa

fety

Mat

ters

, Oth

er

Empl

oyee

Con

cern

s: D

iscr

imin

atio

n,

Dis

rupt

ive

Beha

vior

, Em

ploy

ee R

elat

ions

, Fa

lsifi

catio

n of

Rec

ords

, Sex

ual H

aras

smen

t, Su

bsta

nce

Abus

e, T

heft

of G

oods

/Ser

vice

s,

Con

flict

of I

nter

est,

Ret

alia

tion

ofW

hist

lebl

ower

s, W

orkp

lace

Vio

lenc

e/Th

reat

s,

Thef

t of C

ash,

The

ft of

Tim

e, W

age/

Hou

r Is

sues

Anyt

hing

can

be

repo

rted

thro

ugh

the

hotli

ne.

Coo

rdin

atio

n–W

ho

man

ages

this

func

tion?

Th

e O

ffice

man

ages

this

tool

. Ass

ocia

te V

ice

Prov

ost h

as m

ain

cont

act a

nd s

o do

es th

e di

rect

or o

f Int

erna

l Aud

it.

Chi

ef C

ompl

ianc

e O

ffice

r U

nive

rsity

Com

plia

nce

Serv

ices

Ove

rsig

ht–W

ho h

asac

cess

? O

vers

ight

? Al

l rep

orts

com

e to

the

Asso

ciat

e Vi

ce

Prov

ost.

Any

repo

rts m

ade

that

don

’t in

volv

e th

eH

ealth

Car

e Sy

stem

dire

ctly

are

sen

t to

Inte

rnal

Aud

it.

All r

epor

ts c

ome

dire

ctly

to th

e C

hief

Com

plia

nce

Offi

cer,

as w

ell a

s hi

s Ex

ecut

ive

Assi

stan

t and

the

Inve

stig

atio

ns P

rogr

am

Man

ager

.

Rou

ting–

How

are

cas

es

assi

gned

to th

e ap

prop

riate

dep

artm

ent

for i

nves

tigat

ion?

They

tria

ge in

fo to

resp

onsi

ble

depa

rtmen

ts a

t th

e ap

prop

riate

leve

l of r

espo

nsib

ility.

The

yw

ill go

stra

ight

to s

enio

r adm

inis

tratio

n if

nece

ssar

y. T

he O

ffice

will

mak

e su

gges

tions

to th

e re

spon

sibl

e de

partm

ent,

whi

ch is

alw

ays

met

with

app

reci

atio

n.

Chi

ef C

ompl

ianc

e O

ffice

r dec

ides

whe

re to

se

nd it

to b

e tri

aged

.

The

Chi

ef C

ompl

ianc

e O

ffice

r sha

res

the

repo

rt w

ith th

e tri

age

grou

p–m

ade

up o

f the

D

irect

ors

of L

egal

, HR

and

Aud

it–an

d th

eyde

term

ine

whi

ch o

ffice

sho

uld

hand

le th

ein

vest

igat

ion.

Volu

me–

How

long

hav

e yo

u ha

d th

e ho

tline

in

plac

e? V

olum

e of

repo

rts?

Onl

y ha

d lin

e fo

r tw

o ye

ars.

Not

a la

rge

amou

nt o

f cal

ls/re

ports

, few

er th

an 5

0.

235

hotli

ne c

alls

in 2

014.

2,3

75 c

onta

cts

to

repo

rt co

ncer

n. M

ajor

ity o

f cal

ls w

ere

empl

oyee

con

cern

s (H

R).

10 -

15 re

ports

per

mon

th.

Adve

rtis

ing–

Do

you

adve

rtis

e th

e ho

tline

?D

oes

adve

rtis

emen

tin

clud

e to

stu

dent

s? H

owdo

you

adv

ertis

e?

They

hav

e pu

t tog

ethe

r a n

ew w

orki

ng g

roup

to

add

ress

how

to d

ispl

ay th

e ho

tline

/repo

rting

tool

s. In

form

atio

n is

dist

ribut

ed in

new

mem

ber p

acka

ges

and

stic

kers

. The

25

Partn

ers

also

hav

e re

spon

sibi

lity

to a

dver

tise

in th

eir u

nits

. In

form

atio

n is

als

o in

the

Cod

e of

Con

duct

.

They

pre

sent

at a

nnua

l fac

ulty

/sta

ff tra

inin

g an

d at

new

facu

lty/s

taff

orie

ntat

ion.

Hot

line

info

is in

the

Cod

e of

Con

duct

. The

y se

nd o

ut

an e

mai

l abo

ut th

e ho

tline

to a

ll de

partm

ent

head

s, w

ho fo

rwar

d th

e m

essa

ge to

thei

ren

tire

units

. The

y se

nd th

em th

is w

aybe

caus

e pe

ople

are

mor

e lik

ely

to re

ad a

nem

ail f

rom

thei

r bos

s th

an fr

om a

mas

sive

lis

tser

v. T

hey

also

hav

e an

ann

ual i

ce c

ream

soci

al w

hich

is w

ell a

ttend

ed a

nd th

eydi

strib

ute

mar

ketin

g gi

fts. (

ex: m

agne

ts).

Yes,

they

mak

e a

cons

ider

able

effo

rt to

en

sure

peo

ple

know

that

hig

h pr

iorit

y st

uden

t ar

eas–

i.e.,

Athl

etic

s–ca

n be

repo

rted

anon

ymou

sly.

The

Pre

side

nt a

lway

s re

min

dspe

ople

abo

ut th

e to

ol w

hen

he a

ddre

sses

grou

ps o

n ca

mpu

s an

d th

ey te

ll st

uden

ts

abou

t it.

Ther

e ar

e a

lot o

f oth

er re

porti

ng

mec

hani

sms

on c

ampu

s, e

spec

ially

rela

ted

to

stud

ent m

isco

nduc

t, bu

t the

y try

to a

dver

tise

as m

uch

as p

ossi

ble

and

prom

ote

the

fact

th

at re

porti

ng is

ano

nym

ous.

An

onym

ity?–

If yo

u ar

e a

publ

ic in

stitu

tion,

do

you

assu

re a

nony

mity

? If

so,

how

? Th

ey a

llow

repo

rts to

be

mad

e an

onym

ousl

y.

They

allo

w a

nony

mity

for a

ll re

ports

. Maj

ority

of p

eopl

e ch

oose

to id

entif

y th

emse

lves

. An

onym

ity m

akes

thin

gs m

ore

diffi

cult,

(c

ontin

ued

on n

ext p

age)

They

dis

tingu

ish

betw

een

anon

ymity

and

conf

iden

tialit

y an

d pr

omis

e co

nfid

entia

lity

to

the

max

imum

ext

ent a

llow

ed.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

how

ever

they

feel

it is

impo

rtant

, esp

ecia

llyfo

r hea

lth c

are

conc

erns

.

Rep

orts

–Do

you

repo

rt o

n ca

ses

rece

ived

thro

ugh

the

hotli

ne?

If so

, for

who

m a

nd w

hat i

s in

clud

ed in

the

repo

rt?

The

Offi

ce re

ports

to th

e Ex

ecut

ive

Com

mitt

ee q

uarte

rly.

The

Chi

ef C

ompl

ianc

e O

ffice

r dire

cts

all

repo

rts fr

om th

e ho

tline

to th

e ap

prop

riate

pa

rty.

They

hav

e a

quar

terly

repo

rting

requ

irem

ent

to th

e Bo

ard

of R

egen

ts, s

o th

ey fo

llow

the

lega

l req

uire

men

ts b

y su

bmitt

ing

thos

ere

ports

. The

y al

so re

port

to th

e Ex

ecut

ive

Com

plia

nce

Com

mitt

ee (m

entio

ned

abov

e)

abou

t are

as o

f hig

h ris

k ba

sed

on re

ports

rece

ived

and

oth

er fa

ctor

s.

Less

ons

Lear

ned/

Area

s fo

r Im

prov

emen

t–An

y re

com

men

datio

ns o

r le

sson

s le

arne

d fro

m th

e pr

oces

s of

set

ting

up

your

eth

ics

and

com

plia

nce

prog

ram

an

d/or

hot

line

man

agem

ent

1. M

ake

sure

this

pro

cess

is d

one

in s

tage

s.2.

Eng

age

the

com

mun

ity; y

ou n

eed

thei

r bu

y-in

, sup

port

and

reso

urce

s.

Rec

omm

enda

tions

:1.

Thi

s ef

fort

will

only

be

succ

essf

ul if

it is

met

with

top

exec

utiv

e le

vel s

uppo

rt (C

hanc

ello

r, BO

T et

c.) T

he m

essa

ge

abou

t the

new

offi

ce/p

ositi

on m

ust c

ome

from

them

.2.

Sur

vey

the

cam

pus

abou

t kno

wle

dge

ofco

mpl

ianc

e. T

his

will

help

mea

sure

the

beha

vior

cha

nge

befo

re a

nd a

fter y

ou

reva

mp

com

plia

nce

adve

rtisi

ng a

nd

train

ing.

3. M

ake

sure

eve

ryon

e on

cam

pus

hear

s ab

out t

he c

ompl

ianc

e re

sour

ces

mor

e th

an ju

st o

nce

a ye

ar.

They

are

con

fiden

t in

thei

r sys

tem

for

man

agin

g re

ports

. One

big

issu

e th

ey a

re

addr

essi

ng n

ow is

wha

t to

do w

ith re

ports

that

invo

lve

Title

IX, V

AWA,

Cle

ry, e

tc. T

hey

are

wor

king

with

The

Net

wor

k to

cre

ate

a w

ay fo

r pe

ople

to id

entif

y w

heth

er w

hat t

hey

are

repo

rting

has

impl

icat

ions

for t

hese

lega

l act

s,

so th

at th

ey c

an u

se th

e re

porti

ng to

ol to

co

llect

the

stat

istic

s th

ey n

eed.

Thi

s w

ould

al

low

resp

onsi

ble

empl

oyee

s an

d ot

hers

to

repo

rt th

ese

issu

es a

nony

mou

sly

in o

rder

to

ensu

re th

at th

e st

atis

tics

are

accu

rate

.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

Uni

vers

ity C

lass

ifica

tion:

B

ench

mar

k 7

Ben

chm

ark

8 B

ench

mar

k 9

Publ

ic/P

rivat

e Pu

blic

Pu

blic

Pu

blic

Size

(Num

ber o

fU

nder

grad

uate

Stu

dent

s)

Larg

e (g

reat

er th

an 1

5,00

0)

Med

ium

(5,0

00 -

15,0

00)

Larg

e (g

reat

er th

an 1

5,00

0)

Stru

ctur

e of

Eth

ics

and

Com

plia

nce

Prog

ram

:

Is th

ere

a ce

ntra

l offi

ce?

Yes,

but

it is

inte

ntio

nally

dec

entra

lized

.Th

is o

ffice

repr

esen

ts th

e sy

stem

. N

o. C

hief

Eth

ics

Offi

cer o

nly

Yes.

Offi

ce o

f Uni

vers

ity C

ompl

ianc

e an

d In

tegr

ity

Wha

t are

as a

re in

clud

ed?

Ethi

cs a

nd C

ompl

ianc

e, s

ome

polic

y In

tern

al A

udit

Com

plia

nce,

Inte

grity

, Pol

icy,

Pub

lic R

ecor

ds

Wha

t is

the

size

of t

he

offic

e? (H

ow m

any

empl

oyee

s?)

One

em

ploy

ee. W

ould

not

reco

mm

end.

In

tern

al A

udit

(2) a

nd m

embe

r of S

yste

m(R

egen

ts) h

as a

cces

s to

Eth

icsP

oint

. 13

peo

ple

in th

is o

ffice

.

Wha

t is

the

over

sigh

t st

ruct

ure?

Each

inst

itutio

n in

the

syst

em is

diff

eren

t.

Dire

ctor

ove

rsee

s al

l rep

orts

mad

e an

d di

rect

s th

em to

the

indi

vidu

al in

stitu

tion.

Ther

e is

not

a c

ompl

ianc

e of

ficer

at e

ach

inst

itutio

n.

Audi

t has

ove

rsig

ht o

ver a

ll of

Eth

icsP

oint

. Va

rious

cen

tral o

ffice

rs a

lso

have

acc

ess

limite

d to

thei

r are

a w

ith a

n ap

prop

riate

nu

mbe

r of u

sers

(1 w

ith b

acku

p; 4

in H

R

beca

use

of v

olum

e).

Pr

ior t

o 20

06, i

nter

nal a

udit

ran

all t

heir

repo

rting

of i

ssue

s.

2006

, sta

rted

usin

g Et

hics

Poin

t.

2013

, BO

T st

arte

d to

rese

arch

how

to ru

n an

eth

ics

and

inte

grity

pro

cess

look

ing

tow

ard

the

corp

orat

e m

odel

of c

entra

l co

ntro

l.

Nin

e m

onth

con

sulta

nt re

view

to c

entra

lize

and

coor

dina

te th

e fu

nctio

ns in

to a

cen

tral

offic

e.

20

13, t

he D

irect

or o

f the

Com

plia

nce

and

Inve

stig

atio

ns p

lays

the

coor

dina

ting

role

an

d de

dica

ted

to e

thic

s an

d co

mpl

ianc

e.

Title

IX o

ffice

repo

rts to

him

. He

has

acce

ss to

the

Stud

ent C

ondu

ct d

atab

ase

and

can

mon

itor o

r ass

ist w

hen

need

ed.

How

is in

form

atio

nco

ordi

nate

d th

roug

hout

the

vario

us a

reas

?

Info

rmat

ion

is s

hare

d th

roug

h va

rious

wor

king

gro

ups,

for e

xam

ple:

hum

an

reso

urce

s, fa

culty

and

oth

er e

mpl

oyee

s.

Som

etim

es o

verla

p m

eetin

gs a

re h

eld

to

disc

uss

over

arch

ing

topi

cs. T

his

pers

on d

oes

not s

ee a

nee

d fo

r a c

ompl

ianc

e w

orki

ng

grou

p.

Oth

er im

bedd

ed e

thic

s/in

tegr

ity/c

ompl

ianc

e gr

oups

repo

rt to

offi

ce a

nd th

ey h

ave

acce

ssto

all

thos

e gr

oups

’ inv

estig

atio

ns a

nd

proc

esse

s. If

ther

e is

a re

port

rela

ted

to th

e ad

min

istra

tion

in th

ose

offic

es o

r if t

he c

entra

l of

fice

feel

s th

e re

port

shou

ld n

ot g

o to

that

ar

ea fo

r inv

estig

atio

n, le

gal i

s th

e de

faul

t in

vest

igat

or.

Do

you

have

sup

porte

rs

acro

ss c

ampu

s or

de

part

men

t con

tact

s? Is

The

head

of e

ach

func

tiona

l uni

t with

in e

ach

depa

rtmen

t ser

ves

as a

con

tact

.

Mon

thly

‘tria

ge’ g

roup

(leg

al, a

udit,

co

mpl

ianc

e, o

ther

inve

stig

atin

g un

its) t

hat

mee

ts o

nce

a m

onth

to d

iscu

ss o

ngoi

ng

case

s to

coo

rdin

ate

(con

tinue

d on

nex

t pag

e)


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

the

proc

ess

com

mitt

ee

driv

en?

effo

rts a

nd p

reve

nt d

uplic

atio

n an

d to

iden

tify

poss

ible

tren

d da

ta (l

ong

term

).

Rep

ortin

g M

echa

nism

s:To

ol–W

hat r

epor

ting

tool

do

you

use

? i.e

. Et

hics

Poin

t, Th

e N

etw

ork,

et

c.

Ethi

csPo

int

Ethi

csPo

int

Ethi

csPo

int

Cat

egor

ies–

Why

wer

e th

ese

cate

gorie

s in

clud

ed; w

hy w

ere

othe

rca

tego

ries

not i

nclu

ded?

(i.e.

, aca

dem

ics)

Cam

pus

Rel

atio

ns, D

iscr

imin

atio

n &

Har

assm

ent,

Empl

oyee

Rel

atio

ns,

Envi

ronm

enta

l Hea

lth &

Saf

ety,

Fin

anci

alC

once

rns,

Mis

use

or M

isap

prop

riatio

n of

Asse

ts o

r Inf

orm

atio

n, P

olic

y an

d Pr

oces

sIn

tegr

ity

Fina

ncia

l Mat

ters

; Saf

ety;

GTR

I (R

esea

rch)

; Ac

adem

ic; H

uman

Res

ourc

es; I

nfor

mat

ion

Syst

ems;

Ath

letic

s

Hea

lthca

re, H

R, A

thle

tics,

Res

earc

h an

d Fi

nanc

ial.

Why

not

aca

dem

ics?

Maj

or u

proa

r fro

mfa

culty

abo

ut n

ot b

eing

incl

uded

in th

epr

oces

s in

200

5 -2

006.

Coo

rdin

atio

n–W

ho

man

ages

this

func

tion?

Each

inst

itutio

n ha

s th

eir o

wn

hotli

ne. A

llre

ports

com

e to

the

dire

ctor

and

are

tria

ged

to th

e ap

prop

riate

per

son

with

in th

e un

iver

sity

men

tione

d. G

ener

ally

the

inst

itutio

n w

ill ha

ndle

the

repo

rt an

d ne

cess

ary

proc

ess

unle

ss a

ssis

tanc

e is

requ

este

d or

requ

ired.

Rep

orts

bas

ed o

n ca

tego

ry a

utom

atic

ally

go

to th

e ap

prop

riate

cen

tral o

ffice

use

r.

The

dire

ctor

mee

ts m

onth

ly w

ith g

roup

s to

go

over

ope

n ca

ses.

Sep

arat

e fo

r cam

pus

and

heal

thca

re; f

inan

cial

gro

up w

ould

incl

ude

polic

e, H

R, i

nter

nal a

udit,

adm

inis

trato

rs to

fa

cilit

ies

and

lega

l affa

irs. A

lso

mee

ts w

ith

othe

r tea

ms

who

han

dle

com

plia

nce

or

inve

stig

ate

issu

es, s

uch

as H

R te

ams.

Ove

rsig

ht–W

ho h

asac

cess

? O

vers

ight

?

Dire

ctor

has

ove

rsig

ht o

ver a

ll of

Eth

icsP

oint

. In

divi

dual

uni

vers

ities

hav

e at

leas

t one

com

plia

nce

pers

on.

Audi

t has

ove

rsig

ht o

ver a

ll of

Eth

icsP

oint

. Th

e D

irect

or o

f Int

erna

l Aud

it is

als

o th

e C

hief

Ethi

cs O

ffice

r. A

staf

f aud

itor a

nd A

ssoc

iate

D

irect

or o

f For

ensi

c Au

dits

hav

e ac

cess

to

Ethi

csPo

int.

The

offic

e re

ports

tren

ding

of t

he re

ports

to

the

BOT

and

the

seni

or le

ader

ship

.

Rou

ting–

How

are

cas

es

assi

gned

to th

e ap

prop

riate

dep

artm

ent

for i

nves

tigat

ion?

Rep

orts

are

aut

omat

ical

ly d

irect

ed to

the

appr

opria

te u

nive

rsity

and

from

ther

e di

rect

ed

to th

e in

divi

dual

uni

t.

Rep

orts

bas

ed o

n ca

tego

ry a

utom

atic

ally

go

to th

e ap

prop

riate

cen

tral o

ffice

use

r. If

the

repo

rter n

ames

a s

peci

fic u

ser,

that

repo

rt w

illno

t rou

te to

that

indi

vidu

al.

Volu

me–

How

long

hav

e yo

u ha

d th

e ho

tline

in

plac

e? V

olum

e of

repo

rts?

Hot

line

sinc

e 20

08

300

over

all–

at le

ast 6

yea

rs in

pla

ce, t

ypic

ally

3 -4

repo

rts p

er m

onth

with

bul

k ab

out H

R

rela

ted

issu

es.

150

-160

repo

rts p

er y

ear.

Bulk

are

HR

.

Adve

rtis

ing–

Do

you

adve

rtis

e th

e ho

tline

?D

oes

adve

rtis

emen

tin

clud

e to

stu

dent

s? H

owdo

you

adv

ertis

e?

Web

pag

es, p

oste

rs, s

peci

al e

vent

s.

Activ

ely

mar

ket t

he h

otlin

e w

ith q

uarte

rlypo

stca

rds

and

are

look

ing

for e

lect

roni

cm

etho

ds to

incr

ease

aw

aren

ess.

The

re a

re

incr

ease

d re

ports

afte

r dis

tribu

tion.

No

wid

espr

ead

cam

paig

n be

caus

e of

fear

of

over

whe

lmin

g sy

stem

. Inf

o is

pos

ted

clea

rlyon

the

com

plia

nce

page

s an

d in

doc

umen

tsin

uni

ts th

at g

ive

the

empl

oyee

a li

st o

f the

w

ays

to re

port

and

reso

lve

issu

es w

hich

in

clud

es th

e an

onym

ous

Ethi

csPo

int o

ptio

n.St

uden

ts re

ceiv

e in

fo a

bout

Eth

icsP

oint

in

thei

r Titl

e IX

info

rmat

ion

and

in o

ther

tra

inin

gs/o

rient

atio

ns.


Appe

ndix

E: B

ench

mar

king

Inte

rvie

ws–R

epor

ting

Mec

hani

sms

and

Adm

inis

trativ

e St

ruct

ure

Anon

ymity

?–If

you

are

a pu

blic

inst

itutio

n, d

o yo

uas

sure

ano

nym

ity?

If so

, ho

w?

Rep

orts

–Do

you

repo

rt on

ca

ses

rece

ived

thro

ugh

the

hotli

ne?

If so

, for

who

m a

nd w

hat i

s in

clud

ed in

the

repo

rt?

Indi

vidu

al u

nive

rsiti

es h

andl

e re

porti

ng

resp

onsi

bilit

ies.

Less

ons

Lear

ned/

Area

s fo

r Im

prov

emen

t–An

y re

com

men

datio

ns o

r le

sson

s le

arne

d fro

m th

e pr

oces

s of

set

ting

up

your

eth

ics

and

com

plia

nce

prog

ram

an

d/or

hot

line

man

agem

ent

1. (W

eakn

ess)

: If t

he re

porte

r sel

ects

the

inco

rrect

cat

egor

y th

e re

port

is s

ent t

o th

e in

corre

ct o

ffice

. 2.

Miti

gate

: Aud

it ha

s ov

ersi

ght a

nd c

an re

-di

rect

. It’s

a m

anua

l pro

cess

; it’s

the

resp

onsi

bilit

y of

the

cent

ral o

ffice

to n

otify

audi

t whe

n th

is h

appe

ns s

o th

e re

port

can

be re

-dire

cted

. Doe

sn’t

alw

ays

happ

en,

but a

udit

revi

ews

the

info

rmat

ion

on a

re

gula

r bas

is…

typi

cally

may

get

3 -

4 re

ports

per

mon

th, o

ver 5

0% a

re re

late

d to

HR

.3.

Inst

itutio

n ha

s a

goal

to s

impl

ify th

e ca

tego

ries

that

are

des

crib

ed o

n th

e Et

hics

Poin

t site

to b

e le

ss c

onfu

sing

tolim

it th

e nu

mbe

r of i

tem

s th

at n

eed

to b

e re

-dire

cted

. (H

R u

ses

Ethi

csPo

int a

s a

case

-man

agem

ent t

ool f

or a

ppea

ls, e

tc.)

1. M

inor

issu

es w

ith s

yste

m o

f tria

ge. S

ome

case

s re

quire

imm

edia

te a

ttent

ion.

2.

Pur

chas

ed a

cas

e m

anag

emen

t sys

tem

.


Appendix F: EthicsPoint at UNC-Chapel Hill

EthicsPoint at UNC-Chapel Hill

http://universitycounsel.unc.edu/legal-links/compliance-line/

Subgroup 4 developed questions to review with the Associate University Counsel, who serves as the point person for EthicsPoint at UNC-Chapel Hill.

Administration Currently, the Associate University Counsel is the only person with access to reports that are submitted through EthicsPoint. She routes each report to the appropriate unit or office for investigation.

Volume of cases Since the EthicsPoint process was created at UNC-Chapel Hill in 2005, a total of 71 cases have been reported through this mechanism.

Public access to information in EthicsPoint system Information from EthicsPoint is not printed, forwarded, or emailed; nor does it reside on a UNC server. The information resides on the EthicsPoint server, which is separate from the UNC server.

Topics included on EthicsPoint at UNC-Chapel Hill:

� Currently, four compliance categories are included in the UNC-Chapel Hill EthicsPoint system:

- Financial - Research - HIPAA - Environment, Health, and Safety

� The system is compliance focused; it was developed as a result of the federal sentencing guidelines.

� The system is related to criminal liability—not civil or administrative sanctions.

� The system works best for areas where there is documentation to investigate.

� There are links to the EthicsPoint site from the offices included in the topics list.

Flow of information

1. EthicsPoint receives a report and notifies the Associate University Counsel via email that there is a new report; the Associate University Counsel makes no determination as to the quality or validity of the report.

http://universitycounsel.unc.edu/legal-links/compliance-line/


2 The Associate University Counsel contacts the appropriate administrative office/supervisor with jurisdiction over the matter reported (she does not notify the administrator who may be named in the report).

Follow-up communications to the reporting party All communication occurs through EthicsPoint, there is capability for follow-up questions and live chat, and the reporter is given a password to return to the site to see if there are additional questions. However, since EthicsPoint is anonymous, there is no way to notify the reporting person that follow-up questions are waiting.

Sharing reports Reports are not shared because the campus advertises EthicsPoint as an anonymous resource and it must protect the anonymity of the reporting party. For this reason, the campus does not print, save, email, or otherwise share the reports other than through the EthicsPoint server and only with the person assigned to investigate. Caution must be exercised when considering sharing EthicsPoint reports, even in redacted form. Depending on the nature of the information provided in the report, it may be possible to identify the reporter if only certain people are privy to the information shared.

Although the campus does not generate reports from EthicsPoint about submissions received through the hotline, infor-mation gained from these EthicsPoint reports is likely incorporated into other reports created by the administrators who investigate them (for example, the Internal Audit’s report to the UNC-Chapel Hill Board of Trustees).


Documents

Chancellor's Working Group on Ethics and Integrity Report