1. Succeeding as a New Department Chair Office of Institutional Compliance Susan Rafferty, Interim Director February 21, 2008

2. What is the Office of Institutional Compliance? System-wide compliance program System-wide compliance program Provide oversight of all types of compliance risks Provide oversight of all types of compliance risks Coordinate and monitor University compliance functions (not operational in nature) Coordinate and monitor University compliance functions (not operational in nature) Independent perspective Independent perspective

3. Federal expectations (e.g. U.S. Sentencing Guidelines) and accelerating regulatory burden Federal expectations (e.g. U.S. Sentencing Guidelines) and accelerating regulatory burden Rising standards for accountability Rising standards for accountability Peer norms Peer norms Institutional history and values Institutional history and values Opportunity for a programmatic approach Opportunity for a programmatic approach Why have such an office?

4. What are key indicators of a successful institutional compliance program? Champion an institutional culture of doing the right thing Champion an institutional culture of doing the right thing Increase faculty and staff awareness of compliance responsibilities Increase faculty and staff awareness of compliance responsibilities Emphasize prevention of problems Emphasize prevention of problems Identify key compliance risks and systems to mitigate those risks Identify key compliance risks and systems to mitigate those risks Assist in delivering systems and tools to remove barriers to compliance Assist in delivering systems and tools to remove barriers to compliance Correct compliance breakdowns swiftly Correct compliance breakdowns swiftly

5. What are key indicators of a successful department chair? Administratively speaking, some of the same indicators as a successful compliance program! Administratively speaking, some of the same indicators as a successful compliance program! Serve as a role model to do the right thingServe as a role model to do the right thing Know and fulfill the scope of your role and responsibilitiesKnow and fulfill the scope of your role and responsibilities Ensure others in the department know and have the tools to fulfill the scope of their roles and responsibilitiesEnsure others in the department know and have the tools to fulfill the scope of their roles and responsibilities Foster a culture of integrity by welcoming questions and handling concerns regarding wrongdoingFoster a culture of integrity by welcoming questions and handling concerns regarding wrongdoing Address problems swiftly and seriouslyAddress problems swiftly and seriously

6. Three key tips to help you succeed as a department chair... and some stories from other institutions on what you don’t want to do.

7. 1. Establish the tone at the top through your words and actions. Set a visible personal example of integrity. Set a visible personal example of integrity. Do not ask others to violate policies or to shop around seeking ways to avoid following policies. Do not ask others to violate policies or to shop around seeking ways to avoid following policies. Avoid inconsistent application of consistent policies. Avoid inconsistent application of consistent policies. Encourage individuals to voice concerns in the department, do not tolerate retaliation, and appropriately act on any concerns brought to your attention. Encourage individuals to voice concerns in the department, do not tolerate retaliation, and appropriately act on any concerns brought to your attention.

8. Three professors at Oral Roberts University allege wrongful termination for alerting administrators about president’s use of university money for personal use and for reporting vice provost sexually harassed another professor. Source: Tulsa World 10/03/07

9. Oregon University pays $500,000 to former employee to settle her claim that she was forced to resign after raising concerns that a university program charged international scholars for services they never received using unapproved invoices. Source: Oregon Daily Emerald 11/26/07

10. 2. Face it (and embrace it) - - - you’re an administrator, too. You manage the departmental resources, especially: You manage the departmental resources, especially: The peopleThe people The moneyThe money The informationThe information The other, oftentimes physical, resourcesThe other, oftentimes physical, resources Educate yourself about these responsibilities and build a network of resources to consult when you need help. Educate yourself about these responsibilities and build a network of resources to consult when you need help.

11. State Department of Labor and Industries fined the University of Washington $2,100 in the murder of an employee because college managers “didn’t know the procedures [to report workplace threats] or failed to enforce them properly.” Source: Seattle Times 10/05/07

12. Cambridge College president was terminated based on evidence he used college-issued credit card for personal expenses, hired a college vendor as a vice president, and set up a college in India without board approval. Source: Boston Globe 1/05/08

13. Kansas University Math Department private information, including 400 names and student ID numbers, social security numbers, health insurance information, immigration documents, and final exams, reportedly was found in a trash bin on campus. Source: Lawrence Journal-World 9/20/07

14. Texas A & M University’s select agent program was put on hold for problems including missing vials of a select agent, several cases of unauthorized access to select agents, unauthorized experiments, unreported loss of an infected animal, inadequate security plans, training procedures and record-keeping. Source: Dallas Morning News 9/26/07

15. 3. Focus on preventing compliance breakdowns but be ready to correct them if they do happen. Actively monitor what is happening in your department – see signs of problems. Actively monitor what is happening in your department – see signs of problems. Adjust departmental systems and tools to ensure compliance – adopt best practices. Adjust departmental systems and tools to ensure compliance – adopt best practices. Do not ignore problems, but, instead, seek the right help to address them. Do not ignore problems, but, instead, seek the right help to address them. Take appropriate corrective actions. Take appropriate corrective actions.

16. Resourcesinstcomp.umn.edupolicy.umn.edu