Eunice- This is a really interesting question! Like OSU, IU has affirmative duty to report non-compliance in a few policies like Fiscal Misconduct<http://policies.iu.edu/policies/categories/financial/accounting-administration/FIN-ACC-I-30-fiscal-misconduct.shtml> or in Programs Involving Children<http://policies.iu.edu/policies/categories/administration-operations/public-safety-institutional-assurance/PS-01.shtml>. However, overall I think we are working to improve our compliance culture with a fairly new university compliance program<http://www.iu.edu/~vpgc/compliance/compliance-program/index.shtml> and Principles of Ethical Conduct<http://principles.iu.edu/>, which were approved last year. The Principles speak to reporting non-compliance in one section:
ยง 5 - Promote a Culture of Compliance with Applicable Laws, Regulations, and Policies. Indiana University is committed to meeting legal requirements and to fostering a culture of ethics and compliance. A. Expectations - Community Members are expected to: 1. Learn and follow applicable laws, regulations, contracts, environmental health and safety policies, and all Indiana University policies and procedures applicable to their University duties and responsibilities; 2. Be proactive to prevent and detect any compliance violations or noncompliant activities; 3. Report violations or noncompliance to supervisors or other University officials with the assurance that Indiana University policy prohibits retaliation against anyone who does so in good faith; and 4. Ensure that reports of violations within their area of responsibility are properly resolved, including disclosure to sponsors or other state or federal authorities as appropriate. B. Prohibition - Community Members are prohibited from: 1. Willfully violating applicable laws, regulations, and policies; and 2. Retaliating against another Community Member for reporting a suspected compliance violation. Hope this helps! Jenny Jennifer U. Kincaid Chief Policy Officer Office of the Executive Vice President for University Academic Affairs Indiana University Bryan Hall 210 Bloomington, IN 47405 (812)856-1291 [email protected]<mailto:[email protected]> From: [email protected] [mailto:[email protected]] On Behalf Of Hornsby, Eunice Sent: Wednesday, July 16, 2014 3:29 PM To: ACUPA Subject: [acupa-l] Affirmative Duty to Report Noncompliance with Policy All: I was just in a meeting during which it was asked if we require all faculty, staff, and students to report noncompliance with policies. At this point, we do with some policies but not with all. I'd appreciate your advice: - How does your institution address duty/requirement to report noncompliance with policy. - Do you add such a requirement to all or some your policies? If just some, what criteria do you consider when making this decision? - If you do require such reporting, is the report made to the employing unit, to the office that issues the policy, or somewhere else? - And, do you have standard wording regarding reporting noncompliance that you could share with me in the few days, whether or not you use it in all or just some of your policies? I look forward to hearing from you. -Eunice Eunice Hornsby, Ph.D. Policy and Training Director The Ohio State University Office of University Compliance and Integrity 1543 N. High St., Columbus, OH 43201-2190 614-292-8728 Office [email protected]<mailto:[email protected]> compliance.osu.edu<http://compliance.osu.edu> osu.edu/policies/<http://www.osu.edu/policies/> ATTN: Please be aware that when you respond to an ACUPA-L e-mail, the reply will be distributed to the ENTIRE list of members. If you do NOT want to send an e-mail to everyone, please reply directly to the individual who initiated the query (their e-mail address appears in the "From" line of their original e-mail). If you wish to remove yourself from the ACUPA e-mail list, please go to the following website and complete the form. We will remove you from the list within 24 hours, during normal business hours. http://www.acupa.org/MembershipForm_Discontinue.html If you have questions about the ACUPA e-list, please contact Jamie Parris at [email protected]<mailto:[email protected]?subject=ACUPA%20e-list%20assistance> or 607-255-6837.
