Q-and-A with Susan Burgess on the importance of University compliance
The UNC Charlotte Office of Ethics and Compliance may be one of the newer and lesser-known areas of campus, but its role in the smooth operation of the University is vital. Inside UNC Charlotte caught up with Susan Burgess, director of University compliance, to learn more about the office and its contributions to Niner Nation.
What is the day-to-day job of your office here at UNC Charlotte?
My role is a new one here at UNC Charlotte. In fact, I am the first compliance officer in the UNC system. I have oversight responsibility for all aspects of compliance here at the University. I work closely with the many individuals who have day-to-day operational responsibility to help them strengthen their compliance programs and also with my colleagues in the Office of Legal Affairs because many compliance issues tend to have legal components.
I monitor changes to laws and regulations and advise staff how they apply to their day-to-day operations. I also spend a significant amount of time performing risk assessments in order to identify areas of potential risk exposure and work with teams to mitigate or eliminate the risk.
As you mentioned, the University Ethics and Compliance program is relatively new. What was the rationale for its establishment?
Unfortunately, organizations often create Ethics and Compliance programs in response to a high-profile investigation or violation. That was not the case here.
After consideration of some of the negative events at a number of universities over the last few years whereby those universities’ reputations sustained significant damage, a special committee of UNC Charlotte trustees made a few recommendations. One was the creation of my position. Another was the creation of the Audit, Compliance and Enterprise Risk Management Committee of the board. We operate in an extremely complex regulatory environment, and I’m extremely pleased that our trustees had the foresight to adopt a proactive approach to ethics and compliance.
Describe some of the areas across the University that are heavily regulated.
An easier question is what areas are not? Research is an area that is regulated by many federal and state laws that apply to the Institutional Review Board, export control, animal care, grants and contracts. Athletics is heavily regulated by the NCAA and Conference USA. Disability services helps us remain compliant with the Americans with Disabilities Acts. OSHA regulates worker safety.
Our campus is the size of some state parks, and there are quite a number of environmental regulations that obligate us in various ways. Maintaining our Southern Association of Colleges and Schools accreditation is an enormous compliance undertaking, as is compliance with the web of federal financial aid regulations. In addition, Title IX compliance has emerged as a significant area since 2011.
Does your office provide any resources that employees should know about?
EthicsPoint is a method by which individuals may anonymously report potential compliance concerns by telephone or Web, 24/7. While it’s always preferable for individuals to raise concerns to management, we have made this service available because we recognize that in some cases an employee may have compliance concerns but may not feel comfortable going through the chain of command. UNC Charlotte is a very big place with lots of moving parts and people. We want to encourage the campus community that if they “see something, then say something.”
What role does employee training play in an effective compliance program?
An important role. Employees need to know the rules and regulations that apply to their areas of responsibility. Supervisors and managers play a key role in educating their staff about the regulatory requirements that apply in the performance of their duties. My office supports these efforts by providing specialized education in areas where there is a need, and also upon request.
More information about University compliance and the Office of Legal Affairs is on the Web.