Chancellor's Working Group on Ethics and Integrity Report ...
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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
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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.
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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.
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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.
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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
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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
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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
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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
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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.
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� 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.
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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.
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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).
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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.
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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.
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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.
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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.
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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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 19
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.
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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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 21
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.
22 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 23
� 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.
24 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
Ethics and Integrity Working Group Report and Recommendations, November 2015 25
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.
26 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 27
� 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
28 Ethics and Integrity Working Group Report and Recommendations, November 2015
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).
Ethics and Integrity Working Group Report and Recommendations, November 2015 29
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
30 Ethics and Integrity Working Group Report and Recommendations, November 2015
App
endi
x B
: Eth
ics
Stat
emen
t Inv
ento
rypp
y
Inst
itutio
n St
atem
ent
Amer
ican
Ass
ocia
tion
ofU
nive
rsity
Pro
fess
ors
Stat
emen
t on
Prof
essi
onal
Eth
ics
Bos
ton
Uni
vers
ity
Pres
iden
t’s S
tate
men
t of C
omm
itmen
t to
Ethi
cal C
ondu
ctC
ode
of E
thic
al C
ondu
ct
Col
umbi
a U
nive
rsity
Ad
min
istra
tive
Cod
e of
Con
duct
and
Sta
tem
ent o
f Eth
ical
Con
duct
Duk
e U
nive
rsity
St
atem
ent o
f Eth
ical
Prin
cipl
es a
nd C
ode
of C
ondu
ct
Emor
y U
nive
rsity
U
nive
rsity
Lea
ders
hip
Ethi
cal P
rinci
ples
Geo
rge
Was
hing
ton
Uni
vers
ity
Stat
emen
t of E
thic
al P
rinci
ples
:In
tegr
ity a
nd R
espe
ct; R
espo
nsib
ility
and
Acco
unta
bilit
y; C
onfli
cts
of In
tere
st a
nd C
omm
itmen
t; H
aras
smen
t and
Abu
se o
fPo
wer;
Stew
ards
hip
and
Rep
ortin
g
Indi
ana
Uni
vers
ity
Prin
cipl
es o
f Eth
ical
Con
duct
:Sc
ope,
Gui
ding
Prin
cipl
es a
nd S
tand
ards
of C
ondu
ct
John
s H
opki
ns U
nive
rsity
N
ON
E
Nor
thw
este
rn U
nive
rsity
Stan
dard
s fo
r Bus
ines
s C
ondu
ct:
Indi
vidu
al R
espo
nsib
ility
and
Acco
unta
bilit
y; C
ompl
ianc
e w
ith U
nive
rsity
Pol
icie
s an
d Pr
oced
ures
; Res
pect
for O
ther
s;C
onfli
cts
of In
tere
st a
nd C
omm
itmen
t; C
ompl
ianc
e w
ith A
pplic
able
Law
s an
d R
egul
atio
ns; C
ompl
ianc
e wi
th C
ontra
cts,
G
rant
s an
d O
ther
Uni
vers
ity O
blig
atio
ns; S
tew
ards
hip
of U
nive
rsity
Res
ourc
es; R
ecor
dkee
ping
; Int
erna
l Con
trols
; Ap
prop
riate
Tre
atm
ent o
f Con
fiden
tial I
nfor
mat
ion;
Ele
ctro
nic
Res
ourc
es P
rivac
y; O
blig
atio
n to
Rep
ort;
Con
sequ
ence
s of
Vi
olat
ions
Ohi
o St
ate
Uni
vers
ity
Cod
e of
Eth
ics
Penn
Sta
te U
nive
rsity
Valu
es a
nd C
ultu
re:
Inte
grity
, Res
pect
, Res
pons
ibilit
y, D
isco
very
, Exc
elle
nce,
and
Com
mun
ity(N
ote:
eth
ics
stat
emen
t dev
elop
men
t is
ongo
ing;
web
-bas
ed o
ppor
tuni
ty fo
r inp
ut a
nd fe
edba
ck)
Texa
s A&
M
Cor
e Va
lues
:Ex
celle
nce,
Inte
grity
, Lea
ders
hip,
Loy
alty
, Res
pect
and
Sel
fless
Ser
vice
Ethi
cs &
Cod
e of
Con
duct
Ethics and Integrity Working Group Report and Recommendations, November 2015 31
Appe
ndix
B: I
nven
tory
of E
thic
s St
atem
ents
Inst
itutio
n St
atem
ent
Uni
vers
ity o
f Sou
ther
nC
alifo
rnia
Cod
e of
Eth
ics
Know
the
Cod
e Br
ochu
reC
ompl
ianc
e an
d Et
hics
Pro
gram
Uni
vers
ity o
f Cal
iforn
ia –
B
erke
ley
Stat
emen
t of E
thic
al V
alue
s: In
tegr
ity, E
xcel
lenc
e, A
ccou
ntab
ility,
Res
pect
Stan
dard
s of
Eth
ical
Con
duct
:Fa
ir D
ealin
g; In
divi
dual
Res
pons
ibilit
y an
d Ac
coun
tabi
lity;
Res
pect
for O
ther
s; C
ompl
ianc
e wi
th A
pplic
able
Law
s an
d R
egul
atio
ns; C
ompl
ianc
e w
ith A
pplic
able
Uni
vers
ity P
olic
ies,
Pro
cedu
res
and
Oth
er F
orm
s of
Gui
danc
e; C
onfli
cts
of
Inte
rest
or C
omm
itmen
t; Et
hica
l Con
duct
of R
esea
rch;
Rec
ord
Priv
acy
and
Con
fiden
tialit
y; In
tern
al C
ontro
ls; U
se o
fU
nive
rsity
Res
ourc
es; F
inan
cial
Rep
ortin
g; R
epor
ting
Viol
atio
ns a
nd P
rote
ctio
n fro
m R
etal
iatio
n
Uni
vers
ity o
f Cal
iforn
ia –
Los
An
gele
s St
atem
ent o
f Eth
ical
Val
ues
for U
nive
rsity
of C
alifo
rnia
True
Bru
in: I
nteg
rity,
Exc
elle
nce,
Acc
ount
abilit
y, R
espe
ct
Uni
vers
ity o
f Con
nect
icut
St
ate
Cod
e of
Eth
ics
Uni
vers
ity o
f Illi
nois
Cod
e of
Con
duct
Uni
vers
ity E
thic
s an
d C
ompl
ianc
e O
ffice
Mis
sion
and
Res
pons
ibilit
ies:
Pr
omot
e an
org
aniz
atio
nal c
ultu
re th
at e
ncou
rage
s et
hica
l con
duct
and
a c
omm
itmen
t to
com
plia
nce
with
laws
, rul
es,
guid
ance
and
Uni
vers
ity p
olic
ies
O
ptim
ize c
ompl
ianc
e wi
th U
nive
rsity
pol
icie
s, p
roce
dure
s, a
nd g
uide
lines
, whi
ch a
re b
ased
on
the
expe
ctat
ions
def
ined
in
the
Uni
vers
ity C
ode
of C
ondu
ct
En
hanc
e de
cisi
on m
akin
g at
all
leve
ls b
y ra
isin
g aw
aren
ess
of a
pplic
able
laws
, rul
es, g
uida
nce
and
Uni
vers
ity p
olic
ies
En
hanc
e em
ploy
ee d
ue d
iligen
ce to
pro
activ
ely
dete
ct, r
epor
t, an
d re
spon
d to
act
ual o
r per
ceiv
ed v
iola
tions
of l
aw o
r po
licy
C
ontri
bute
to th
e U
nive
rsity
’s re
puta
tion
for i
nteg
rity
as a
wor
ld-c
lass
rese
arch
and
teac
hing
inst
itutio
n
Uni
vers
ity o
f Mar
ylan
d –
Col
lege
Pa
rk
Mis
sion
and
Goa
l Sta
tem
ent:
(som
ewha
t em
bedd
ed in
mis
sion
sta
tem
ent;
coul
d no
t fin
d se
para
te e
thic
s st
atem
ent)
Prin
cipl
es o
f Eth
ical
and
Res
pons
ible
Con
duct
:R
espe
ct fo
r Oth
ers;
Equ
al O
ppor
tuni
ty; A
void
ance
of C
onfli
ct o
f Int
eres
t; R
espo
nsib
le C
ondu
ct in
Res
earc
h; R
espo
nsib
le
Stew
ards
hip
and
Use
of U
nive
rsity
Pro
perty
, Tec
hnol
ogy,
and
Fun
ds; E
nviro
nmen
tal H
ealth
, Saf
ety
and
Sust
aina
bilit
y;R
espe
ct fo
r Priv
acy
and
Con
fiden
tialit
y; A
ppro
pria
te C
ondu
ct w
ith R
espe
ct to
Gift
s, T
rave
l, an
d En
terta
inm
ent;
Appr
opria
te
Use
of U
nive
rsity
Iden
tity;
Res
pons
ible
Rep
ortin
g of
Sus
pect
ed V
iola
tions
and
Uni
vers
ity R
espo
nse
Uni
vers
ity o
f Min
neso
ta –
Tw
in
Citi
es
Mis
sion
Sta
tem
ent:
(som
ewha
t em
bedd
ed in
mis
sion
sta
tem
ent;
coul
d no
t fin
d se
para
te e
thic
s st
atem
ent)
32 Ethics and Integrity Working Group Report and Recommendations, November 2015
Appe
ndix
B: I
nven
tory
of E
thic
s St
atem
ents
Inst
itutio
n St
atem
ent
Uni
vers
ity o
f Pen
nsyl
vani
a Et
hica
l and
Res
pons
ible
Con
duct
: Brie
f sta
tem
ent a
nd li
nk to
pol
icie
s/gu
idel
ines
Stat
emen
t of F
acul
ty R
espo
nsib
ility
Uni
vers
ity o
f Pitt
sbur
gh
Mis
sion
Sta
tem
ent:
(doe
s no
t inc
lude
men
tion
of e
thic
s, c
ould
not
find
sep
arat
e et
hics
sta
tem
ent)
Uni
vers
ity o
f Sou
ther
nC
alifo
rnia
Cod
e of
Eth
ics
Know
the
Cod
e Br
ochu
reC
ompl
ianc
e an
d Et
hics
Pro
gram
Uni
vers
ity o
f Ten
ness
ee
Cod
e of
Con
duct
– G
ener
al P
rinci
ples
and
Sta
tem
ents
of E
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)
Ethics and Integrity Working Group Report and Recommendations, November 2015 33
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
.
34 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 35
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
.
36 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
.
Ethics and Integrity Working Group Report and Recommendations, November 2015 37
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
.
38 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
.
Ethics and Integrity Working Group Report and Recommendations, November 2015 39
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
.
40 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
.
Ethics and Integrity Working Group Report and Recommendations, November 2015 41
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
.
42 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
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)
Ethics and Integrity Working Group Report and Recommendations, November 2015 43
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/
44 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 45
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
a@un
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.
46 Ethics and Integrity Working Group Report and Recommendations, November 2015
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/
Ethics and Integrity Working Group Report and Recommendations, November 2015 47
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)
48 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 49
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.
50 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 51
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.
52 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
.
Ethics and Integrity Working Group Report and Recommendations, November 2015 53
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
.
54 Ethics and Integrity Working Group Report and Recommendations, November 2015
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.
Ethics and Integrity Working Group Report and Recommendations, November 2015 55
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
.
56 Ethics and Integrity Working Group Report and Recommendations, November 2015
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)
Ethics and Integrity Working Group Report and Recommendations, November 2015 57
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.
58 Ethics and Integrity Working Group Report and Recommendations, November 2015
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
.
Ethics and Integrity Working Group Report and Recommendations, November 2015 59
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.
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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).
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