Transcript ADDING IT ALL UP: THE DRAFT CODE OF CONDUCT FOR …

Your Wake-up Call:
THE MINNESOTA STATE COLLEGES and
UNIVERSITIES EMPLOYEE CODE OF CONDUCT
Gail M. Olson, General Counsel
John Asmussen, Internal Auditing
June 2008
What is it?
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The MnSCU Employee Code of Conduct is a
system procedure, effective 7/1/2008: see
http://www.mnscu.edu/board/procedure/1c0p1.html
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It is a compilation of various existing statutes
and policies that apply to employees.
Also contains introduction describing
expectations for employees.
Where did it come from?
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Leadership Council Human Resources
Committee created Ethics Task Force.
Task Force studied other agency codes,
other institutions, etc.
Many conduct policies were already in
place, but not easy to find.
Wanted to create a comprehensive,
codified resource.
Other Codes of Conduct
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Not to be confused with the
Department of Finance code of conduct
related to financial statements.
The system procedure supersedes any
conflicting campus codes of conduct.
Goals of the MnSCU Employee
Code of Conduct
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Reinforce the importance of ethical behavior.
Create a unified reference for major
employee conduct policies.
Provide better tools for training, enforcing
ethics issues.
Make policies more accessible for supervisors
and employees.
Establish laudatory goals as well as
proscribed behavior.
Part 1. Purpose and scope.
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Applies to all employees
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administrators, faculty, staff, students
employees, FT or PT, temporary or
permanent.
Employees also subject to standards for
their particular discipline.
Part 2. General.
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System to provide high quality
education with sound stewardship.
Employees to act with integrity,
fairness, respect, inclusivity.
Employees to be honest, trustworthy,
efficient and effective, accountable and
compliant with law, policy.
Part 3. Employee ethics.
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Compensation, benefits, gifts from other
sources
Personal advantage
Use of state property
Political influence
Purchasing state property
Part 4. Other policies.
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Nondiscrimination—1B.1
Fraud and other dishonest acts
Intellectual property
Nepotism
Weapons and safety
Acceptable use of
computers/technology
Information security and privacy
Alcohol and drug use
Part 5. Reporting fraud.
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Board Policy 1C.2 requires reporting
suspected fraud and abuse.
Refers employees to supervisor,
manager, Office of Internal Auditing,
Office of the Legislative Auditor.
Reporting Fraud: Who?
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An employee with a reasonable basis
for believing fraudulent or other
dishonest acts have occurred has a
responsibility to report the suspected
act in a timely manner. (Board Policy
1C2, Part 4)
Reporting Fraud: What?
Fraud Indicators
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Accounting Anomalies
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Missing Receipts
False or altered documentation
Duplicate payments
Highly unusual items
Unreconcilable shortages
Complaints and Tips
Reporting Fraud: How?
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To supervisor or manager
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Unless linked to incident, then to a higher
level employee
Institutional Fraud Contact
HR Director
MnSCU Office of internal Auditing
Legislative Auditor
Reporting Fraud: How to
report to law enforcement?
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For emergencies, report incident
immediately to law enforcement
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Robberies
Break-in thefts
Other matters, report to Internal
Auditing
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Consultation with General Counsel
Referral to USDOE when warranted
Reporting Fraud: When?
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Internal reporting channel
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Incident
Inquiry
Escalate if respondent is uncooperative,
belligerent, or unduly argumentative
Report to Internal Auditing
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Inquiry
Investigation
Case Study: Texas Southern
University
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Dr. Priscilla Slade, President
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$650,000 in university funds spent on landscaping
on personal residence, kitchenware, a bar tab >
$100,000
“Very fearsome leader” who intimidated underlings
Charmed the governing board and enjoyed their
absolute trust
March 2008
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Plead “no contest”, repaid $126,000, 10 years of deferred
adjudication, 400 hours of community service
Case Study: Texas Southern
University
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Quintin F. Wiggins, Vice President for
Finance
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May 2007, found guilty on one count of
misapplication of fiduciary property with a
value of over $200,000
Felony conviction
Sentenced to 10 years in prison
What’s next?
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Effective 7/1/08 to provide campuses
time to review policies, practices.
On-line training is being developed.
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Roll-out in conjunction with compliance
program.
FAQs will also be on line.
Compliance Program
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Assistant General Counsel Nancy Joyer is the
Compliance Coordinator.
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Proactive approach to compliance with laws and
policies.
Will foster developing good practices rather than be
“regulatory” in nature.
Projects will involve cross-section of campus
representatives.
Watch for more information.
Test your knowledge!
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Frequently asked questions will be
online, linked to Code of Conduct.
FAQs include topics often raised by
employees, supervisors.
FAQs still in draft form but will be final
by 7/1/08.
# 1. Accepting free books.
Q. I received a free textbook [or
software or other course
materials] from a publisher to
review for possible use in one of
my courses and am not required to
return the textbook to the
publisher. May I accept the
textbook?
# 2. Selling free textbooks.
Q. Am I permitted to sell the free
textbook sent to me by the
publisher and keep the proceeds
from the sale?
# 3. Outside employment--private
college.
Q. I am a faculty member in a
highly specialized field. I have
been asked by another institution
to teach one course per semester
in this field, similar to courses I
teach at my current institution.
Accepting this employment would
not interfere with my regular
teaching duties at my current
institution. May I accept this
outside employment?
#4. Romantic relationships with
students.
Q. I team teach an evening graduate
course geared toward secondary
teachers wishing to complete a
master’s degree. All of the students
are mature adults. The other
instructor in the course is interested
in asking one of our students for a
dinner date following class some
night. Is that permissible?
#5. Gift from outside source.
Q. In the course of my work as a
college employee, I work with the
local country club to plan an annual
college foundation golf
tournament/fundraiser. The country
club has offered me 18 free holes of
golfing because of my working
relationship with staff there. May I
use the free round of golf?
#6. Free meal.
Q. As part of my job duties at the
university, I meet frequently with
local officials. May I accept a meal
provided by the city manager or
other city officials with whom I am
meeting?
#7. Travel paid by vendor.
Q. I just received a vendor invitation
to a February training seminar about
their new product line. The vendor is
offering to pay all travel and
accommodation expenses for three
employees; the product is of a type we
use regularly. May I accept this travel?
If so, what approval process must I go
through? Does it matter where the
seminar is held?
#8. Cell phone use.
Q. Because my position frequently requires
me to be away from my office, my college
provides me with a cellular phone. May I
use my business cell phone for personal
calls during the “free call” periods under
the plan or if I reimburse the college for the
personal calls I’ve made?
#9. Employee discounts
Q. Am I allowed to take advantage
of a special discount offered by a
local business to “government
employees”?
#10. Bookstore sale of faculty
textbook.
Q. Our college operates its own bookstore
on campus. One of our faculty members
has authored and published her own texts
for use in her class, and use of the textbook
has been approved by her dean. May the
bookstore sell the faculty member’s
textbook?