Office of Compliance and Privacy Services

compliance counts - Winter/Spring 2017

Our goals for this publication is to raise awareness of trending compliance issues that pertain to all employees and departments and to provide a refresher of the compliance program services and help line.

Winter/Spring 2017

Announcing Your New Code of Conduct and Ethical Standards
At it's February, 2017 meeting, UVM's Board of Trustees approved the new employee Code of Conduct and Ethical Standards Policy (opens in new window) or the "Code." We all strive to do the right thing. The new Code can help to guide us when we are facing a work dilemma and are asking ourselves, “What do I do now?” Wading through the labyrinth of University policies to find an answer can be daunting and unproductive. Knowing where to begin is hard, but knowing your Code can make it easier.
The Code and the accompanying user friendly Code Companion Document provide an overview of general conduct expectations and the resources that are available to guide all of us. These documents also summarize the basic policy requirements that we should be familiar with. It is organized to help us find the answers to our questions fast. The Code and the Companion Document provide a quick and ready resource for learning more about:
Reporting, non-retaliation and disciplinary action
Health, Safety and the Campus Environment
Fiscal Compliance and Asset Management
Research
Freedom of Expression
The Code Companion Document clearly identifies the basic compliance expectations for each area, provides illustrative examples of what is addressed by policies, and includes links to the right policy for more detailed answers. We encourage you to browse the Code Companion Document and see how the Code can help you. The Office of Compliance Services is available to provide in-person presentations on the new Code. Departmental leaders may contact Compliance@uvm.edu or 656-3086 to schedule. Please reach out to us with any Code-related questions or suggestions and stay tuned for more Code resources from the Office of Compliance Services.

Compliance Survey - 2016 Highlights

Thanks to everyone who completed our 2016 compliance survey. We were very pleased with the high participation and helpful responses. This year's survey showed that more employees are aware of the Ethics and Compliance Reporting and Help Line than ever before. Additionally, the indicators of compliance awareness as well as responses received on questions measuring a "culture of compliance" are all moving in a positive direction.

Past survey's indicated that only slightly more than a quarter of employees could identify methods for reporting compliance concerns. Through the Compliance Office's outreach efforts and promotion of the new Whistleblower Policy: Reporting, Protections & Non-Retaliation that number now nears fifty percent. When respondents are prompted whether they recognize reporting methods from a list, that number increases again, to over sixty percent. Respondents were also more likely to be familiar with the Compliance Program and Code of Conduct than in the past. Regarding cultural measures, respondents were less likely to have witnessed misconduct, more likely to indicate that UVM fosters a culture of compliance and expressed more confidence in non-retaliation protections.

Many of these results reflect new highs over the seven years the survey has been conducted. With the roll-out of the new Code of Conduct and Ethical Standards, we hope these trends will continue. We also use your valuable anonymous feedback on compliance concerns and training needs to inform our communications and education efforts as well as to advise management on expressed concerns and needs.

We sincerely appreciate your participation and feedback. Your contributions help to make UVM a better workplace that has a high regard for ethics and the values outlined in Our Common Ground.

Traveling Abroad Plans? Read these Safety and Compliance Tips!

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Spring and summer are fast approaching, make sure you'll be ready for any international travel plans.

Spring and summer are fast approaching... make sure you'll be ready for any international travel plans. While international travel affords expanded opportunities, in today’s changing world it also brings additional considerations. From recent European terror attacks to the Zika virus, travelers need to know the steps they should take to better protect themselves and help ensure a safe and successful trip.

If you are traveling abroad for UVM-approved business, research, of study, a few pre-trip planning steps are critical for your safety. In addition to obtaining the required UVM travel authorization prior to traveling internationally, employees should become familiar with the services of our partner, International SOS (ISOS). Employees are strongly encouraged to obtain a wallet card with ISOS contact information as well as register their trip so that travelers can be quickly located and assisted in emergencies. The ISOS website describing employee services can be accessed at https://www.internationalsos.com and by entering UVM’s member number 11BSGC000020 in the member log in field. For questions on coverage provided, call Risk Management at (802) 656-3242.

It is always a good idea to enroll your trip with the U.S. Department of State’s STEP (Smart Traveler Enrollment Program). This will allow the government to send you updates about travel alerts and recommendations regarding the locations you will be visiting. Even if you’re not enrolled, their website provides the latest information regarding your destination, see: travel.state.gov

UVM has developed an International Travel Preparation Checklist (PDF) and a separate International Travel FAQ to help your trip be successful.

These documents help you to locate information on necessary travel documents, vaccinations, financial information, insurance coverage, possible restrictions on bringing equipment or other technology into foreign countries and other compliance and safety tips.

Then...bon voyage, adiós, arrivederci, totsiens, zàijiàn, auf wiedersehen!

Students in classroom Compliance Outreach: Education and Training Available

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EDU@UVM Decisions, Decisions: How To Make The Right One When Right Isn't Always Clear

Tessa Lucey, Director of Compliance Services, has been providing training and education sessions on the Code of Conduct, Culture of Compliance, Compliance Reporting, the vision for the future and other various compliance-related topics. Most recently, she developed a course on decision making for EDU@UVM called “Decisions, Decisions: How To Make The Right One When the Right One Isn’t Always Clear”. Tessa is available to provide education and training sessions at department staff meetings, retreats and other staff or faculty gatherings. Contact the Office of Compliance Services at (802) 656-3086 to schedule a session.

Addressing Employee Cynicism about Ethics & Compliance

Memo to Managers

9 Tips for Addressing Employee Cynicism about Ethics & Compliance Head On

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Eye rolls. Chuckles. Silence. It’s easy to recognize signs of employee cynicism.

It’s easy to recognize signs of employee cynicism when it comes to ethics and compliance (E&C) activities. What’s harder to accept is that employee cynicism signals disbelief that the organization is seriously committed to a culture of integrity. Unchecked, cynicism can lead to higher risk of misconduct—ultimately the University’s reputation.

What Should You Do about It?

Role Model Appropriately
Often, leaders don’t realize the impact their behavior can have on shaping organizational culture. An offhand remark or a dismissive attitude can speak volumes. Be personally committed to modeling behavior that supports an ethical culture, even when you think no one will know.
Hold Yourself and Others Accountable
Demonstrate consistent accountability. If top performers and leaders experience the same types of corrective action for misconduct as everyone else, word will get around.
Make E&C Real for Your Employees
Nothing frustrates employees more than training, emails, surveys and meetings that are not relevant to their work or are perceived to be unnecessary. Discuss E&C situations that relate to what happens where you work.
Bring E&C Topics into Everyday Communication
Your E&C program is not an add-on to what you do—it defines how employees should work every day. Make a habit of talking about E&C as a regular part of work discussion. For example, introduce brief “safety moments” in staff meetings to discuss what employees should know about working safely. Or try an “ethics moment” to discuss doing the right things in situations that can really occur in their jobs. For additional resources, reach out to Compliance Services (email link) to request a presentation from UVM's Compliance Program for your regularly scheduled staff meeting.
Regularly Communicate Expected Standards and Conduct
E&C tools help us do what is expected and appropriate at work. We may think we know it all, but we need reminders. Repetition of E&C concepts is important so that we can recall the information we need at the moment we need it. Encourage your staff to become familiar with the new Code of Conduct and Ethical Standards Brochure.
Emphasize the Importance of Speaking Up
Employees speak up when there’s something broken in the workplace. Why not speak up if there’s a question about conduct that could derail your department's goals? Employees protect their own department—and jobs—by reporting concerns.
Demystify the Reporting Process
Let employees know the different methods they can use to ask a question or report a concern. It’s especially important to explain what to expect after making a report. Let your employees know they can come to you with a concern or share how they can report concerns to Compliance@uvm.edu or through the Ethics and Compliance Reporting and Help Line (opens in new window) if they want anonymity.
Address Concerns about Reporting
Fear of retaliation can prevent people from speaking up. Help employees understand that retaliation won’t be tolerated. Explain what they can do in case they feel they are experiencing retaliation. Another inhibitor can be the belief that nothing will be done with their report. Here it is critical to model your own commitment to action and to closing the loop with the reporting employee once action is taken.
Be Available
As a manager, be available to your employees and third-parties in case they want to report or have questions. And don’t just say it. Do it.

(Article adapted from Navex Global Compliance Communicator Newsletter with permission)