Avenues for Faculty and Staff to Voice an Ethical / Compliance Concern
What follows is a list of mechanisms available on campus for faculty wishing to express an ethical, principle-based, or value-based concern. Listed in order from departmental level to system level:
- Some departmental and unit policies address lines of communication in the event of interpersonal conflict among faculty
- Dean’s offices (Business and Administration, Education, Engineering and Applied Science, Graduate School, LAS, Library, Nursing and Health Sciences, School of Public Affairs)
- Provost and Associate Vice Chancellors’ Offices: https://www.uccs.edu/provost/
- Ethics and Compliance Program: https://uccs.edu/compliance/
UCCS has adopted an institutional compliance program that is intended to support a culture of ethics and compliance within the University community. An effective compliance program promotes the achievement of University goals and helps avoids the program disruption and financial loss that can accompany compliance failures. Faculty, staff, and students who work on behalf of UCCS are responsible for conducting themselves within the law and in keeping with the ethical standards of the University and the State of Colorado. This website is intended to assist University employees and students in the performance of that responsibility by providing information about compliance-related resources and materials.
- Dean of Students: https://www.uccs.edu/dos/
The Office of the Dean of Students maintains and administers the University Student Code of Conduct, serves as a student advocate, provides assistance to students in crisis, and supports students by directing services and programs that enhance students’ education and provide life-enriching experiences.
- Research Integrity: https://www.uccs.edu/osp/research-compliance
The University of Colorado Colorado Springs is committed to scientific and ethical integrity as well as academic excellence in all research activities with which our students, faculty and staff are associated. This work is done in partnership with the Office of Sponsored Programs and Research Integrity and other offices across the University. The website contains information how the Office of Research Integrity support those needs in regards to:
- Conflict of Interest
- Biosafety (IBC)
The University of Colorado Colorado Springs has established an Institutional Biosafety Committee (IBC) whose responsibilities need not be restricted to recombinant or synthetic nucleic acid molecules and shall meet the requirements as outlined in Section IV-B-2 of the National Institutes of Health (NIH) Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules.
- Misconduct in Research, Scholarship, and Creative Activities
The University of Colorado is committed to excellence in our research, scholarship, and creative activities and conducts these activities according to the highest ethical standards of honesty and integrity. This commitment extends to all members of the University community and is embodied in all aspects of our work. Through the conduct of our University work, we maintain an environment that fosters adherence to these ethical standards and provides avenues to respond to any deviation from these standards.
- Research Involving Human Subjects (IRB)
The participation of humans in research projects raises fundamental ethical and civil rights questions. All such research, funded and unfunded projects sponsored and not sponsored which is carried out by students, faculty, or other University employees, on or off campus, is covered by the Policies and Procedures of the UCCS Institutional Review Board (IRB) for the Protection of Human Subjects.
- Research Involving Animals (IACUC)
The Institutional Animal Care and Use Committee (IACUC) is required by law to provide oversight for all animal care and use activity at the University of Colorado Colorado Springs (UCCS).
- Responsible Conduct of Research (RCR)
Resource providing guidance and compliance related to the responsible conduct of research (the practice of scholarship and scientific investigation with integrity). This page is a consolidated source for information and resources to help UCCS research faculty and staff navigate and fulfill RCR responsibilities.
- Restricted, Proprietary and Classified Research
To specify the procedures by which CU researchers are required to petition for approval by the Chancellor to conduct research under sponsorship conditions that may limit their ability to publish or disseminate findings freely.
- FERPA The Family Educational Rights and Privacy Act – https://www.uccs.edu/registrar/ferpa-the-family-educational-rights-and-privacy-act
The Family Educational Rights and Privacy Act of 1974 (FERPA) is a federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. FERPA deals specifically with the education records of students, affording them certain rights with respect to those records.
- HIPAA: The Health Insurance Portability and Accountability Act - /compliance/health-insurance-portability-and-accountability-act-1996-hipaa
The Health Insurance Portability and Accountability Act of 1996 (HIPAA) protects the use and disclosure of individually identifiable information or protected health information (PHI) created or received by covered entities.
The University of Colorado is a covered entity that has chosen hybrid status, meaning it is a single legal entity with components that are covered and non-covered under HIPAA. HIPAA Affected Areas refer to those units at UCCS that have access to PHI, as defined by HIPAA, because the unit is a covered healthcare component (healthcare provider or a health plan), provides services to covered components and as such receives PHI to perform those tasks, or uses PHI for education or research purposes. For a complete listing of the UCCS Designated Healthcare Components please see Exhibit A of the “HIPAA Hybrid Entity Designation” Administrative Policy Statement.
- Human Resources: https://www.uccs.edu/hr/
This area manages reporting as it relates to Employee Relations, Conflict of Interest, ADA Access and Accommodations, and Affirmative Action.
- Legal Counsel: https://www.cu.edu/universitycounsel
University Counsel provides legal advice to the four campuses of the University of Colorado, the Board of Regents, and system administration. Additionally, the Litigation Unit provides comprehensive legal defense to the university.
- Office of Institutional Equity: https://www.uccs.edu/equity
The office investigates allegations of discrimination, harassment and related retaliation based upon an individual’s Protected Class.
- Sexual Misconduct: https://www.cu.edu/sexual-misconduct
Sexual misconduct is a form of sex discrimination. The University of Colorado is committed to providing an environment where all individuals can achieve their academic and professional aspirations free from sex discrimination.
Further, it is critical to this commitment that anyone who may have been the target of or has experienced sexual misconduct in the context of University educational programs, activities, or employment, feel free to report their concerns for appropriate investigation and response, without fear of retaliation.
To foster a climate that encourages prevention and reporting of sexual misconduct, the University will provide prevention efforts, educate the community, respond to all reports promptly, provide interim protection measures to address safety, and recognize the inherent dignity of all individuals involved.
- Mosaic: https://www.uccs.edu/mosaic/
The mission of the Multicultural Office for Student Access, Inclusiveness, and Community (MOSAIC) is to support and create opportunities that assist all UCCS students in developing a sense of community and place on campus, with an emphasis on supporting and advocating for students from underrepresented communities. MOSAIC strives to create a safe place that encourages and nurtures connections and engagement across social identities, cultures, international status, experiences, gender identities and sexual orientations.
- Public Safety: https://www.uccs.edu/pusafety/
Available for reporting crimes and other emergencies. Also responsible for distribution of the Annual Security and Fire Safety Report.
- Ombuds Office: https://www.uccs.edu/ombuds/our-role
Offers students and employees informal assistance in resolving disputes or confusion in a neutral environment where they can openly discuss individual or broader issues without having those concerns shared without their consent.
- Faculty Relations: Faculty Relations Manager – Harriet Napierkowski
The Faculty Relations Manager serves as a neutral, independent, informal, and private conflict management resource for UCCS faculty members.
- Privilege and Tenure Committee: https://www.cu.edu/privilege-and-tenure-committee
The Privilege and Tenure Committee (P&T) is neither an advocate for faculty nor an arm of university administration. As described in the Laws and Polices of the Regents, the committee independently investigates, mediates and conducts formal/informal hearings of grievance cases. The resultant reports, containing the recommendations made by its panels, are submitted to the chancellor. However, dismissal for cause case reports are sent directly to the president of the university.
CU Ethics Line is a way to anonymously report concerns involving fiscal misconduct by university employees, violations of state or federal law, serious or recurring violations of university policy, or gross waste of university funds or property. This service is provided by EthicsPoint, an independent company that provides similar services for hundreds of companies and universities. The service provides a communication option available seven days a week, 24 hours a day.
Find out more about CU’s Fraud and Fiscal Misconduct Awareness and Reporting.
- CU Principles of Ethics Behavior (Regent Policy 1C): http://www.cu.edu/regents/introduction
- Professional ethics committee (e.g., American Psychological Association ethics committee)
Note: Not all professional groups have professional ethics committees, and not all professional ethics committees are charged with enforcement and/or investigation. However, professional ethics committees may still be able to offer advice.
- Regulatory ethics committees (e.g., Colorado DORA [Department of Regulatory Agency])
- American Association of University Professors (AAUP): UCCS now has a group on campus
- Outside agencies (e.g., DOE, OCR)