Succeeding as a New Department Chair

Office of Institutional ComplianceSusan Rafferty, Interim Director

February 21, 2008

What is the Office of Institutional What is the Office of Institutional Compliance?Compliance?

System-wide compliance programSystem-wide compliance program Provide oversight of all types of Provide oversight of all types of

compliance riskscompliance risks Coordinate and monitor University Coordinate and monitor University

compliance functions (not compliance functions (not operational in nature)operational in nature)

Independent perspectiveIndependent perspective

Federal expectations (e.g. U.S. Federal expectations (e.g. U.S. Sentencing Guidelines) and Sentencing Guidelines) and accelerating regulatory burdenaccelerating regulatory burden

Rising standards for accountabilityRising standards for accountability Peer normsPeer norms Institutional history and valuesInstitutional history and values Opportunity for a programmatic Opportunity for a programmatic

approachapproach

Why have such an office?Why have such an office?

What are key indicators of a successful What are key indicators of a successful institutional compliance program?institutional compliance program?

Champion an institutional culture of doing Champion an institutional culture of doing the right thingthe right thing

Increase faculty and staff awareness of Increase faculty and staff awareness of compliance responsibilitiescompliance responsibilities

Emphasize prevention of problemsEmphasize prevention of problems

Identify key compliance risks and systems Identify key compliance risks and systems to mitigate those risksto mitigate those risks

Assist in delivering systems and tools to Assist in delivering systems and tools to remove barriers to complianceremove barriers to compliance

Correct compliance breakdowns swiftlyCorrect compliance breakdowns swiftly

What are key indicators of a successful What are key indicators of a successful department chair?department chair?

Administratively speaking, some of the Administratively speaking, some of the same indicators as a successful same indicators as a successful compliance program!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 Know and fulfill the scope of your role and responsibilitiesresponsibilities

• Ensure others in the department know and Ensure others in the department know and have the tools to fulfill the scope of their roles have the tools to fulfill the scope of their roles and responsibilitiesand responsibilities

• Foster a culture of integrity by welcoming Foster a culture of integrity by welcoming questions and handling concerns regarding questions and handling concerns regarding wrongdoingwrongdoing

• Address problems swiftly and seriouslyAddress problems swiftly and seriously

Three key tips to help you Three key tips to help you succeed as a department chairsucceed as a department chair

. . . and some stories from . . . and some stories from other institutions on what you other institutions on what you

don’t want to do.don’t want to do.

1. Establish the tone at the top 1. Establish the tone at the top through your words and actions.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 Do not ask others to violate policies or to

shop around seeking ways to avoid shop around seeking ways to avoid following policies.following policies.

Avoid inconsistent application of Avoid inconsistent application of consistent policies.consistent policies.

Encourage individuals to voice concerns in Encourage individuals to voice concerns in the department, do not tolerate retaliation, the department, do not tolerate retaliation, and appropriately act on any concerns and appropriately act on any concerns brought to your attention.brought to your attention.

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

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

2. Face it (and embrace it) - - - 2. Face it (and embrace it) - - - you’re an administrator, too.you’re an administrator, too.

You manage the departmental resources, You manage the departmental resources, especially:especially:• The peopleThe people• The moneyThe money• The informationThe information• The other, oftentimes physical, resourcesThe other, oftentimes physical, resources

Educate yourself about these Educate yourself about these responsibilities and build a network of responsibilities and build a network of resources to consult when you need help.resources to consult when you need help.

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

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

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

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

3. Focus on preventing 3. Focus on preventing compliance breakdowns but be compliance breakdowns but be ready to correct them if they do ready to correct them if they do

happen.happen. Actively monitor what is happening in your Actively monitor what is happening in your

department – see signs of problems.department – see signs of problems. Adjust departmental systems and tools to Adjust departmental systems and tools to

ensure compliance – adopt best practices.ensure compliance – adopt best practices. Do not ignore problems, but, instead, seek Do not ignore problems, but, instead, seek

the right help to address them.the right help to address them. Take appropriate corrective actions.Take appropriate corrective actions.

ResourcesResourcesinstcomp.umn.eduinstcomp.umn.edu

policy.umn.edupolicy.umn.edu