MOVING FORWARD CABINET WORKING GROUP UPDATES JULY 2015 January 29, 2016 Julie Byerley, MD, MPH Vice Dean for Education and Chief Education Officer UNC School of Medicine and Terry Rhodes, DMA Senior Associate Dean for Fine Arts and Humanities College of Arts and Sciences Briefing to Faculty Council Ethics & Integrity Work Group

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Charge The Ethics and Integrity Work Group will ensure that we have created the optimal culture, principles and practices to reinforce ethical high- integrity behavior throughout the University. It will address both culture and practices, including specific policies and process that will enable clear, consolidated and confidential channels through which all members of our university community can speak up and share ethical concerns. It will also recommend how to best oversee the University’s commitment to integrity and compliance with all applicable laws, regulations and policies. Finally, the working group will identify necessary processes, systems, personnel and training to ensure the University environment reinforces integrity and ethical behavior at every level.

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Members Ethics and Integrity Working Group members: Wayne Blair (University Ombuds) Julie Byerley (Faculty, School of Medicine) Gena Carter (Human Resources) Haywood Cochrane (Board of Trustees) Jennifer Conrad (Faculty, Kenan-Flagler Business School) Pat Crawford (Office of University Counsel) Jean Elia (Office of the Provost) Eric Everett (Faculty, School of Dentistry) Michael Gerhardt (Faculty, School of Law) Ferrel Guillory (Faculty, School of Journalism) Norma Houston (Faculty, School of Government) Russ Shafer-Landau (Faculty, Parr Center for Ethics) Kerri McNeill (Office of Internal Audit) Paul Pogge (Athletic Department) Joy Renner (Faculty, School of Medicine / Faculty Athletic Committee Chair) Terry Rhodes (Faculty, College of Arts and Sciences) Jonathan Sauls (Office of Student Affairs) Houston Summers (Student Body President) Geoffrey Sayre-McCord (Faculty, Department of Philosophy)

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Areas of Focus Develop a unifying campus statement on ethics and integrity. Identify influences that shape the campus culture of ethical behavior. Inventory ethics training across all campus units; evaluate the awareness of expectations and consequences of unethical behavior; and identify areas for consolidation and improvement. 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.

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Work Group Activity Held 20 open meetings May – November Received 13 presentations by various campus education and training offices and programs related to ethics and integrity Reviewed ethics statements of 27 universities (including peer institutions) and the American Association of Universities Inventoried 42 ethics training programs at UNC-Chapel Hill Identified 20 reporting mechanisms for reporting alleged violations of policy and other matters of concern at UNC-Chapel Hill Benchmarked 25 universities for their structures for ethics and compliance programs

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Assessment This thorough review concluded that UNC-Chapel Hill has in place a robust array of programs and resources related to ethics and integrity. The Work Group did not identify any significant gaps in programs, resources, or reporting mechanisms. However, there are areas in which the campus can augment and enhance the programs already in place.

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Recommendations Reaffirm the University’s commitment by adopting a statement on ethics and integrity to serve as the University’s overarching declaration of ethical principles. Embed the University’s commitment to ethics and integrity by addressing influences that shape the campus culture of ethical behavior. Ensure that all members of the University are aware of the expectations and consequences associated with ethical behavior. Expand opportunities for members of the University community to report concerns and potential violations. Create the position of Chief Integrity and Policy Officer and establish an Office of Integrity and Policy (joint recommendation with Policy and Procedures Working Group).

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Proposed Ethics Statement 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 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. ____________________ 1. N.C. GEN. STAT. § 116-1(b.).

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Proposed Ethics Statement (cont.) 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 honest and integrity. Empower members of the campus community to fulfill their ethical and legal responsibilities without fear of retaliation. Educate all members of the campus community about these ethical principles and all applicable laws and policies Require fair and equal enforcement of all laws and policies.

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Proposed Ethics Statement (cont.) 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. END

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Actions Under Way A prominent Web presence on the UNC-Chapel Hill site is under way that will reiterate our commitment to a campus culture of ethics and integrity and make more visible the channels for reporting concerns and violations. Senior leadership is evaluating the feasibility of creating an Integrity and Policy Officer position, including necessary resources, structure and timeline. The Chancellor has instructed Provost Dean to ask the Faculty Council to adopt a statement on ethics and integrity to be endorsed by staff and students as the University’s overarching statement of ethics and integrity.

Moving Forward Briefing to UNC Board of Trustees July 22, 2015 Discussion