Compliance:

November 2005 issue

I have an issue with the mandatory compliance training. Why is this initiative presented in this fashion? It would seem much more in keeping with "Vincentian Personalism" if the recent publication "code of conduct" was presented as a reference tool, something to use as issues are confronted by staff members instead of blanketing us with numerous questions in the training session that many of us will never face in our work days. I also do not see the benefit in producing the many glossy publicity postcards informing/reminding/ and then finally sending us the "code of conduct." Thank you for providing a forum for posting our concerns anonymously.

Additional issues/questions raised during the Council meeting:

What is the time frame involved with taking the training?
The request to do this came at a busy time of the quarter for faculty, staff and student employees.
Do faculty and staff at other institutions do something similar or is this unique to DePaul?
It is not clearly explained why we need to do this?
Are there consequences for not taking the training?

Response

Source: Amy Kovalan
Title: Associate Vice President
Unit/Department: Office of Institutional Compliance
Email and/or extension: x27502

General Compliance Training is part of the broader compliance program developed in response to a request from the Board of Trustees’ Audit Committee that DePaul undertake a number of measures to address the challenges of operating in an increasingly complex environment in which government and legal oversight is growing more stringent. The purpose of General Compliance Training is to reinforce key policies and practices that all faculty, staff and student workers, based on their role at the university, need to understand.

The training topics are drawn from the new Code of Conduct which was developed with the help of a committee of faculty and staff and is based on existing sources such as DePaul policies and the Faculty Handbook. As policies and the Faculty Handbook are changed, the Code of Conduct will be updated accordingly.

The committee developed a comprehensive list of potential topics which was narrowed to those areas that are applicable to all or most faculty and staff, present a high level of risk for DePaul if breached or contain basic information that all faculty and staff should be informed of as they join our community. Thus, while not every staff member may encounter every situation covered in General Compliance Training, the university would like every staff member to have a general awareness of these topics.

The training is delivered online in an effort to efficiently reach all faculty, staff and student workers and allow them to complete the training at their own pace. In response to feedback that a combination of methods is most effective in reaching all faculty, staff and student workers at DePaul, reminder cards, e-mail notifications and a Newsline article were used to get the word out about the Code of Conduct and training in advance and to enhance participation. Staff who may have difficulty completing the training online due to lack of computer access, a language barrier or other circumstances, can be accommodated by contacting the Office of Institutional Compliance at (312) 362-6880.

Participation reports will be prepared and shared with the Audit Committee. What, if any, action will be taken if participation is low will be decided after the Audit Committee reviews the participation results. Prior to reporting to the Audit Committee, the participation information by area will be shared with the appropriate Dean, EVP or vice president. Some of them may elect to do further follow-up in their areas of responsibility to encourage participation.

In response to feedback about the timing of the training, the deadline has been extended through December 22 nd. The training is designed to allow participants to save their work as they go, so it does not require them to complete the entire training in one session. The amount of time for completing the training varies depending on the users knowledge of the topics covered. Generally, staff report completion times between 10 and 30 minutes.

The Office of Institutional Compliance is interested in receiving staff feedback about the training, including the content and the online training tool. Please feel free to send additional comments, suggestions or concerns to compliance@depaul.edu.