1. KEYS TO SUCCESS NCURA Region IV Spring Meeting April 27 – 30, 2014 © 2014 National Council of University Research Administrators National Council of University Research Administrators Keys to Success! NCURA Region IV Indianapolis, Indiana April 27 – 30, 2014 NCURA Region IV Spring Meeting April 27 – 30, 2014 KEYS TO SUCCESS © 2014 National Council of University Research Administrators Creating a Culture of Compliance at PUIs Kenya Taylor Associate Vice Chancellor for Academic Affairs University of Nebraska at Kearney John Falconer Director of Sponsored Programs University of Nebraska at Kearney

2. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators The Nature of Faculty: Intelligent, creative people continually seeking new opportunities. The Nature of Compliance: Ensuring employees play within the boundaries.

3. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Faculty: Research Freedom Manage funds according to their needs Consult with external entities Ability to act quickly Address programmatic and research obstacles Commercialize intellectual works Capture financial benefit from entrepreneurship Compliance: Abide by laws and policies Responsibly manage resources Be consistent with funding agreements Review actions with consistency of bureaucratic processes Manage real and perceived conflicts of interest Protect students, employees, and the institution

4. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators University of Nebraska Regent Policy 3.208 (8) “The University not only permits but expressly encourages faculty to pursue outside professional activities including interactions with industry, with or without compensation, which will enrich a faculty member's academic contributions to the University.” Faculty are historically autonomous professionals. The nature of their work is framed more by their profession and discipline than by their employer. (Rhoades, G. Managed Professionals. SUNY press. 1988)

5. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Laws create expectations: Federal, state, and institutional policies describe and document compliance requirements. Culture shapes behavior: Does the institution value compliance? Is it a negative term, or can it be positive? Leadership Involvement Consistency

6. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Reasons people cheat Expectations of their work exceed their ability Tolerance for behaviors Lack of respect for the organization (from Shafer, J. Why Plagiarists Do it. Slate Magazine, www.slate.com. April 26, 2006.)

7. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Characteristics of a Compliance Culture Leadership publicly affirms purpose and goals Outreach and training for employees Clear communication Accountability Trust Fairness, equity, and transparency Involve everyone

8. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Barriers Culture of bureaucracy (slow, less flexible) Lack of faculty engagement Inconsistent levels of accountability Staff availability and expertise

9. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Strategies Build leadership involvement Shared responsibility Multiple outreach methods Recognition Promote culture of fairness and responsibility Safeguards (manage informants) Teach people to view circumstances from outside their personal situations Culture of bureaucracy (slow, less flexible) Lack of faculty engagement Inconsistent levels of accountability Staff availability and expertise

10. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Outreach at UNK: Two campus-wide emails from Chancellor Meetings with deans council, faculty senate Open forum Current Status: UNK has an active policy, but our committee is currently taking input from employees before we require universal disclosure

11. NCURA Region IV Spring Meeting April 27 – 30, 2014 NCRUA Region IV Spring @ 2014 National Council of University Research Administrators Contact: John Falconer 308.865.8702 falconerj@unk.edu