Penn State at a Glance - SCCE Official Site · Validation by Penn State Values & Culture survey...

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Ethics & Compliance Transformation:

Establishing a New Model at Penn StateJune 3, 2014

Regis Becker

Chief Ethics & Compliance Officer

Julie Del Giorno

Athletic Integrity Officer

Sandy Weaver

Youth Protection Specialist

Office of Ethics and Compliance

The Pennsylvania State University

Penn State at a Glance

Number of Campuses 24

2013 Enrollment 98,097

Operating Budget $4.3 billion

Research Support $848.2 million

Baccalaureate Degree Programs 160+

Graduate Degree Programs 150+

Number of FT Faculty 6,192

Number of PT Faculty 2,784

Women’s Athletic Teams 15

Men’s Athletic Teams 16

Student Athletes 800+

Athletic Graduation Rate 88%

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TIMELINE OF EVENTS

2011 2012 2013

N D J F M A M J J A S O N D J F M A M J J A S O N D

Sandusky Indicted

Criminal Charges

Filed Against AD & CFO

Freeh Report

NCAA Consent Decree

Youth Protection Specialist

Director of Ethics & Compliance

Athletic Integrity Officer

Ethics Specialist

NCAA Modifies Sanctions

Criminal Charges

Filed Against President

Implementation of Recommendations




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E & C COUNCIL CHARTER

Mission THE MISSION OF THE UNIVERSITY ETHICS

AND COMPLIANCE COUNCIL IS TO SERVE AS

THE ADVISORY BOARD WITH OVERSIGHT

RESPONSIBILITY FOR ALL UNIVERSITY ETHICS

& COMPLIANCE (E & C) MATTERS. THE

COUNCIL WILL REVIEW AND ADVISE ON

ETHICS AND COMPLIANCE PROGRAM

CONTENT, HELP DEVELOP STRATEGY, EVALUATE RESULTS, SUGGEST IMPROVEMENTS

AND UPDATES AND PROVIDE OVERSIGHT FOR

THE OVERALL ETHICS AND COMPLIANCE

PROGRAM.



ETHICS AND COMPLIANCE COUNCIL

PENN STATE UNIVERSITY• ETHICS SPECIALISTVICE PRESIDEN FOR HUMAN RESOURCES

• ETHICS SPECIALIST

• VICE PRESIDENT FOR HUMAN RESOURCES

• CHIEF ETHICS AND COMPLIANCE OFFICER (COUNCIL CHAIRPERSON)

• DIRECTOR OF ENVIRONMENTAL HEALTH & SAFETY

• ASSOCIATE VICE PRESIDENT FOR FINANCE AND CORPORATE CONTROLLER

• VICE PRESIDENT AND GENERAL COUNSEL

• CLERY COMPLIANCE MANAGER

• ASSOCIATE VICE PRESIDENT & SENIOR ASSOCIATE DEAN FOR UNDERGRADUATE EDUCATION

• ATHLETICS INTEGRITY OFFICER

• ASSOCIATE GENERAL COUNSEL

• STUDENT AID COMPLIANCE OFFICER

• DIRECTOR OF INTERNAL AUDIT

• ASSOCIATE VICE PRESIDENT FOR RESEARCH AND DIRECTOR OF TECHNOLGOY TRANSFER

• VICE PROVOST FOR AFFIRMATIVE ACTION

• DIRECTOR OF AUDIT AND COMPLIANCE,

PENN STATE HERSHEY

• VICE PROVOST FOR INFORMATION

TECHNOLOGY

• VICE PRESIDENT FOR STUDENT AFFAIRS

• VICE PRESIDENT FOR ADMINISTRATION,

COMMONWEALTH CAMPUSES

• ASSOCIATE ATHLETIC DIRECTOR FOR

COMPLIANCE

• DUPONT/CLASS OF 1949 PROFESSOR OF

PHILOSOPHY AND DIRECTOR, ROCK

ETHICS INSTITUTE

• ASSISTANT VICE PRESIDENT FOR

RESEARCH/RESEARCH PROTECTIONS

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E&C Sub-Committee Structure

Ethics & Compliance Council Regis Becker

University

Ethics

Committee

Tim Balliett

Youth

Programs

Council

Sandy Weaver

Privacy

Council

Regis Becker

Compliance

Training

Committee

Sue Cromwell

360-5373



Compliance Training Requirements

Determination of the requirements for different populations/stages of employment

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Development of Values Statement

FALL 2012 – SPRING 2013

Qualitative analysis of current values, missions, and visions statements of PSU colleges, campuses, units

FALL 2013

Validation by Penn State Values & Culture survey

SPRING 2014

Benchmarked other Committee on Institutional Cooperation (CIC) and peer institutions’ value statements

SPRING 2014

Definitions articulated by broad representative committee (Advisory Council for Continued Excellence [ACCE]) in consultation with Ethics Resource Center (ERC)

FALL 2015

Communication of values; development of socialization strategies; generation of examples by University community (e.g., Focus groups, town meetings, governing and advisory bodies across campuses and colleges)



Values & Culture Survey Timeline

2013 2014

Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct

Survey

administeredDraft of ERC

Executive Summary

Report reviewed by ACCE

Planned release of

Executive Summary

Report and data

&

Internal release of

unit, college, campus

specific data

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Survey: Participation

DESIGNATION

TOTAL

POPULATION RESPONSES

MARGIN

OF ERROR

Faculty 7411 2299 31.0% +/- 1.7%

Staff/Administrators/

Technical Service

Employees

13171 5233 39.7% +/- 1.1%

Undergraduate

Students

77452 5689 7.3% +/- 1.3%

Graduate Students 12713 1434 11.3% +/- 2.4%

TOTAL

Penn State 110747 14655 13.2% +/- 0.8%



Draft Statement of Values

We are Penn State, one community united in our commitment to the following values that guide our behavior and decisions:

• INTEGRITY- We act in accordance with the highest ethical standards, making certain that our behavior reflects our values.

• RESPECT- We honor the dignity of each person, treat each individual accordingly, engage in civil discourse, and foster an inclusive community.

• RESPONSIBILITY- We meet our obligations and hold ourselves accountable for our decisions, actions, and their consequences.

• EXCELLENCE- We strive to give and do our best in all our endeavors.

• DISCOVERY- We seek and create new knowledge and understanding, and foster creativity and innovation, for the benefit of our communities, society and the environment.

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Draft Code of Responsible Conduct

� Legal and Policy Compliance

� Conflict of Interest

� Gifts and Entertainment

� Accurate Records

� Reporting and Non-Retaliation



Compliance Program Assessment

29 QUESTION SURVEY developed based on US Federal

Sentencing Guidelines Model Compliance Program using

Modulo Risk Manager (governance, risk and compliance

(GRC) tool)

• PILOTED with Athletics Integrity,

Athletics Compliance, Privacy and

Youth Protections

• DESIGNED to identify and quantify

gaps/risks in each discrete program

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Athletics Integrity



Athletics Integrity Agreement (AIA)

• Resulting from the Jerry Sandusky

Scandal

• Mandated by the Consent Decree

• Parties include Penn State, The NCAA

and The Big Ten Conference

• Term: Entered August 29, 2012 for

5 years

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AIO Accountability and Reporting

� Chief Ethics & Compliance Officer

� President

� Board of Trustees

� NCAA Monitor (Senator Mitchell)

� The Big Ten

� The NCAA

Key Elements of the Athletics

Integrity Agreement (AIA)• Applies to “covered persons” defined as having recurring interaction with

both student-athletes and coaches

• Requires implementation of the Freeh Report recommendations

• Mandates appointment of an Athletics Integrity Officer (AIO) position with reporting line to senior level executive outside Athletics (Chief Compliance and Ethics Officer)

• Creates “Athletics Integrity Council”

• Requires a “Team Monitor” for each varsity team

• Mandates creation of an “Athletics Code of Conduct”

• Disclosure Program – Establish and publicize an Ethics and Compliance Hotline / anonymous reporting mechanism;

• NCAA appointment of an external integrity monitor – Senator George Mitchell

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AIO vs ACO

How Does It Work?

• The Athletics Compliance Officer (ACO) maintains responsibility for the

day-to-day administration of the Athletics Department NCAA compliance

office

• Nothing in the AIA is intended to limit, restrict or

supplant any part of the University’s existing

compliance programs or the responsibility and

authority of the ACO.

• The provisions relating to the Athletics Integrity Officer are intended to

enhance oversight of compliance operations for Athletics.

- Athletics Integrity Agreement, August 2012



AIO/ACO Partnership

1. Reporting lines and policies set the stage for cooperation between AIO and Compliance while providing separation from AD and coaches (Independence)

2. AIO and ACO positions are synergistic in terms of sharing to information appropriately

3. Cross promotion of services

4. Office of Ethics and Compliance brings greater access to resources and expertise from University administration and also creates awareness of integrity/compliance operations (a “scoreboard” effect)

5. Model has created scenarios in which the AIO or ACO are asked to play a role in an activity because programs want to visibility for doing the right thing and know that there is significant communication to top administrators, the Monitor and the NCA

6. Willingness to engage by all parties

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Code of Conduct

Exemplifies the commitment to full compliance with the University’s and Athletics Department policies and procedures

– Penn State Intercollegiate Athletics Policy Manual

– The National Collegiate Athletic Association (NCAA) Constitution and Bylaws

– Handbook of the Big Ten Conference

– Principles regarding institutional control, responsibility, ethical conduct and integrity reflected in the NCAA Constitution and Bylaws and the Big Ten Handbook

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Code of Conduct

• Applies to all “covered persons”

• Expectations of conduct

– Comply with all University policies and procedures, as applicable

– Comply with ICA Policy Manual

– Comply with the applicable NCAA Constitution and Bylaws and the Big Ten Handbook, including the principles regarding institutional control, responsibility, ethical conduct and integrity; and

– Comply with all applicable laws, rules and regulations

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Code of Conduct

• Covered persons have an affirmative duty to report violations (anonymous or in person)

– University or the Athletics Department policies, the NCAA and Big Ten rules or this Code of Conduct, or any other conduct that materially undermines our commitment to the Core Values of integrity, honor and respect

• Non-retaliation and Confidentiality

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Annual Certification

• Head Coach acts as Team Monitor

– Certifies the following for their sport program:

– Compliance with the Constitution and Bylaws of the National

Collegiate Athletic Association and the B1G Ten Handbook and

properly reported all instances of non-compliance.

– Compliance with the principles regarding institutional control,

responsibility, ethical conduct, and integrity reflected in the

Constitution and Bylaws of the National Collegiate Athletic

Association and the Big Ten Handbook.

– Provides documentation indicating all secondary violations

occurring within the program during the 2013-14 academic year.

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Non-Retaliation Environment

Benefits and Challenges

• Primary topic of education efforts

• Codified in institutional policy AD 67 as well as Athletics Code of Conduct

• Developing trust is key for challenging reporting scenarios such as an underling reporting a direct supervisor

• Promotion of the non-retaliation policy in combination with the reporting obligations of the Code of Conduct has had a direct impact on the volume of reports of wrongdoing



Important Partnerships

� ACO, AIO, Coaches and Athletic Administrators

and Staff

� General Counsel’s Office

� Human Resources (Employee Relations)

� Internal Audit

� Risk Management

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Overarching Goals

Help the intercollegiate athletic department

leadership develop a culture for all that:

– Encourages taking action when wrongdoing becomes

known

– Ensures that employees who bring forth this type of

information are not fearful of retaliation or retribution

– Integrated with the mission of the University as a

whole. Athletics should be seen as an integral part of

Penn State, but not separated from Penn State

– Ensure compliance with all aspects of AIA

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Initiatives and Programs

• Head Coaches Forums

• Ethics Training

– Collaborative effort

– Students

– Coaches, staff and administrators

• Athletic Directors Leadership Institute

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Desired Outcomes

• Opportunity to establish an ethics and civility program for Intercollegiate Athletics that could be benchmarked as a best practice for institutions across the nation

• Reinforcing our institutional commitment to ethics as a driving principle of our intercollegiate athletic program

• Enhance the student-athlete experience and development as good citizens

• Provide support to coaches, administrators, student-athletes and staff – serve as a resource, not an obstacle



Desired Outcomes

• Ensure integrity and compliance programs are not viewed as another block to check, but rather as an integral part of the intercollegiate athletic program and student-athlete experience

• Build trust and relationships with coaches, student-athletes, administrators and staff, before there is a problem

• Ensure understanding of why the Athletic Integrity Agreement and the work related to it is relevant and matters

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Desired Outcomes

Help the intercollegiate athletic department leadership develop a culture for student-athletes and employees that:

– Encourages taking action when wrongdoing becomes known

– Ensures that student-athletes and employees who bring forth this type of information are not fearful of retaliation or retribution

– Integrated with the mission of the University as a whole. Athletics should be seen as an integral part of Penn State, but not separated from Penn State

Youth Protection

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If you change the way you look at

things, the things you look at

will changeWayne Dyer



Penn State is home to a diverse

population of over 84,000

undergraduate students

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Penn State is home to a diverse

population of an estimated

150,000 minors participating in

youth programs

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Seven Pillars of an Effective Compliance Program

OversightOversightOversightOversight

StandardsStandardsStandardsStandards

&&&&

ProcedureProcedureProcedureProceduressss

EducationEducationEducationEducation

&&&&

TraininTraininTraininTrainingRRRReportingeportingeportingeporting

AuditingAuditingAuditingAuditing

&&&&

MonitoringMonitoringMonitoringMonitoring

ResponseResponseResponseResponse

&&&&

PreventionPreventionPreventionPrevention

EnforcementEnforcementEnforcementEnforcement

&&&&

DisciplineDisciplineDisciplineDiscipline

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OVERSIGHT

Youth Programs Compliance Specialist

Youth Programs Council

– The Council embraces a culture of service that values teamwork

and focuses on the needs of all youth programs including:

• CONTINUAL REVIEW/UPDATE of university policy and

procedures based on current law and national best practices

• DISSEMINATION of updated policy and procedure information

to all youth programs staff as well as to the university at large

• SHARING EFFECTIVE TRAINING options to individual programs

• INCORPORATING MONITORING RESULTS into a continuous

quality improvement process for the purpose of continually

enhancing the quality of youth programming



STANDARDS & PROCEDURES

Human Resources Policy 99

Background Check Process

Administrative Policy 72

Reporting Suspected Child Abuse


Minors Involved In University-Sponsored Programs


Accessing Athletic And Recreational Facilities


Non-university Groups Using University Facilities

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Changes in Pennsylvania Child

Protection Laws

Changes in Pennsylvania Child Protection Laws

� Strengthens the ability to better protect children from abuse and

neglect by amending the definitions

� Streamlines and clarifies mandatory child abuse reporting processes

� Increases penalties for failure to report suspected child abuse and

protect persons who report child abuse



EDUCATION & TRAINING

When adults suspect abuse, or when children disclose abuse, there are often barriers to reporting that abuse. While the Child

Abuse Prevention and Treatment Act (CAPTA) requires that all States have reporting processes and procedures, these vary

widely. Who must make a report, how that report is made, and

to whom varies by State. Lack of certainty about the signs of abuse, how to make a report, and what will happen

once a report is made are the leading causes of inaction or failure to report in cases of suspected or known

abuse. However, a public education campaign to educate all adults on the signs of abuse and how to report could greatly

reduce confusion and enhance public safety. More and better training for mandated reporters is essential to better protecting

children.2011 TESTIMONY OF TERESA HUIZAR

EXECUTIVE DIRECTOR, NATIONAL CHILDREN S ALLIANCE

US SENATE COMMITTEE ON HEALTH, EDUCATION, LABOR, AND PENSIONS

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Building a Safe Penn State:

Reporting Child Abuse

A comprehensive training has been developed to train all Penn State employees as well as volunteers working with minors to recognize and report child abuse. Content focuses on providing a road map including:

– How to identify the signs or indicators of child abuse

– How to respond to a disclosure of child abuse

– How to report child abuse to the proper authorities

– Responsibilities under PA law and Penn State policies

HOW

WHEN

HOW

WHEN



Building a Safe Penn State:

Reporting Child Abuse 2012

– A train-the-trainer model was used that provided in person training to employees and volunteers who were working with minors.

• 13,336 individuals participated

2013

– Training moved to an on-line delivery platform

• 32,000 individuals participated

– 24,000 employees and 8,000 volunteers

2014 – To Date

– Continuation of the on-line delivery platform

• 12,139 individuals have participated to-date

– 9,571 employees and 2,614 volunteers

In addition, the Centre County has engaged in the Stewards of Children training through the YMCA and, to-date, over 3,600 community members have participated.

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REPORTING

External

Pennsylvania ChildLine

When child abuse is suspected in Pennsylvania, a report is

made by calling ChildLine. The mission of ChildLine is to

accept calls from the public and professional sources 24

hours per day, seven days per week.

Internal

PSU Hotline

All reports can be anonymous so you can help maintain an

ethical workplace without fear of retaliation.



Auditing & Monitoring

� Monitoring and evaluation play a critical role in identifying

opportunities for improvement by identifying gaps between

desired and actual performance.

� Monitoring should occur on an ongoing basis so that changes

in implementation can be made as needed.

� Whenever possible, an evaluation method should be

developed that can be integrated into workplace processes.

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Response & Prevention

DISCOVER the facts and circumstances related to

specific risks of legal, regulatory and/or policy

noncompliance.

ADDRESS and resolve non-compliance with

appropriate actions.

INCORPORATE any lessons learned into continuous

quality improvement efforts to prevent future

occurrence.



Enforcement & Discipline

Appropriate and consistent consequences must be established for use when misconduct is discovered

� All Authorized Adults who have direct contact with minors are required to have a current background check on record with the University at the time of hire and/or beginning work with minors. This background check must be reviewed and approved by the Office of Human Resources Recruitment and Compensation.

� All University employees will be required to complete Reporting Child Abuse training each calendar year through the Office of Human Resources, Center for Workplace Learning and Performance (prior to working with minors).

� If any University employee willfully fails to report a case of suspected child abuse, it will result in disciplinary action, up to and including, dismissal.

Best PracticeIf an allegation of inappropriate conduct has been made against an adult working in a youth program, further participation should be discontinued until the allegation has

been satisfactory resolved

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