Yes, honesty is expected in the world of compliance!

This month I was invited to many departments retreats to speak on compliance. A couple of questions arose from the groups, and I was asked about my views on Honesty and Truth. Honesty and truth are foundational principles in university compliance, directly impacting the integrity, trust, and effectiveness of the institution. To many groups, I discussed compliance in the terms of building a house (my papa would be so proud). In the context of university compliance, here are some of my thoughts on the role of honesty and truth in establishing a home for compliance in your departments:

1. Foundation of Trust

? ?- Building Credibility: Honesty in reporting, policy enforcement, and decision-making fosters trust among students, faculty, staff, and external stakeholders. A university known for transparency and truthfulness is more likely to maintain its reputation and public confidence. I continue to stress about truth and our reputation. We know that many of our potential students and faculty search social media and talk with friends and/or family who know about your university. It is important that your foundation is shaped in being credible.

? ?- Open Communication: Encouraging honest dialogue about compliance challenges and issues creates a culture where problems can be addressed proactively rather than hidden or ignored. When I spoke with our faculty and staff this week, I stressed the importance of communication and bringing compliance in when an issue arises instead of letting the building be on fire (hypothetically) and I must become a fire-fighter to get us back in compliance. We must improve communication even when it is a difficult subject, and an uncomfortable decision will need to be made to ensure the rest of the house of compliance can be built by those who understand the goal.

2. Ethical Decision-Making

? ?- Integrity in Leadership: University leaders and compliance officers must exemplify honesty and truthfulness in their actions, setting the tone for the entire institution. This includes being forthright about potential risks, violations, or areas needing improvement. Many departments operate in silos and often want to keep the bubble wrap around them so that no one can enter in. Leadership must set the tone and therefore I correlate integrity into the walls of the compliance house. Integrity is our strength and how we can ensure we will be around for the next 100 years.

? ?- Transparency in Processes: Clear, truthful communication about policies, procedures, and consequences ensures that everyone understands the expectations and potential outcomes of non-compliance. In many of my presentations this month, I stressed what does non-compliance looks like and who is impacted by that level of non-compliance. Of course, the student impact is top of the list. We must be clear and consistent in the way we communicate about policies, procedures, and consequences. The consequences are what we do not like to talk about, but the financial implications are huge when we operate in that lane. We must let honest and truthful communication become the norm and not the exception. It is as if we want this beautiful house with no sheet rock or walls.

3. Accurate Reporting and Accountability

? ?- Truth in Reporting: Compliance relies on accurate data and reporting. Whether it is financial disclosures, research data, or safety reports, honesty ensures that decisions are based on reliable information, which is essential for maintaining regulatory compliance. We must be truthful when we do not know something and seek guidance from our subject matter experts so that we are ready for any outside entity to review our organization. Many say that they fear the truth because it can show their weaknesses. Nothing grows when we fear the truth. Welcome the truth from your department members and watch your staff retention rates and productivity increase dramatically.

? ?- Holding the Institution Accountable: When mistakes are made, being honest about them allows for corrective actions to be taken. It is crucial for universities to admit when they fall short of compliance standards and to take responsibility for rectifying the situation. We know that to maintain our accreditation we must hold people accountable for the job for which they were hired. In one of the presentations this week, it was mentioned that accountability must be in place and stop allowing my department to constantly ask questions with the lead-in of "who." I ask who is responsible way too much. I talk about the division of accountability at every new hire orientation and how we must address accountability head on. Accountability is the crucial element that will hold up our foundation.

4. Promoting Academic Integrity

? ?- Upholding Academic Honesty: Universities must be vigilant in enforcing policies related to academic honesty, such as plagiarism, cheating, and falsification of research. A commitment to truth in academia is essential for preserving the value and credibility of the institution’s educational and research outputs. I know with the rise in the use of AI, many fear that this will lead to more plagiarism and cheating. It is common to fear the unknown, but this is when the work must start, and we research the benefits of the AI instead of feeding into the conspiracy theories. They say while truth is putting on their shoes, the lie has already been spread. I see how we can promote academic integrity by speaking the truth and trusting our students to absorb this from respected sources which will spread around to others which will lead to academic integrity.

? ?- Truthful Representation: Ensuring that marketing, admissions, and public communications accurately reflect the university’s programs, achievements, and opportunities is key to maintaining integrity and trust with prospective students and the public. One of the things I love hearing about from our communications and marketing departments is how we protect our university brand. They ensure what is being disclosed and posted about our university is accurate and truthful. Our institutional advancement has been working with all our associated entities about getting in compliance and how this will give them access to the proper branding and help them promote accurately to our stakeholders and donors. We want a truthful representation about our university so that we attract the best faculty who will attract students who want to be taught by those who have integrity. We cannot be what we do not see!

5. Whistleblower Protection and Ethical Reporting

? ?- Encouraging Honest Reporting: Universities should create safe environments for whistleblowers to report unethical behavior without fear of retaliation. Protecting those who come forward with the truth is vital to maintaining a culture of compliance. Our leadership has stressed that we want to hear the truth from all our students, faculty, and staff. We want to stop hearing someone wanting to speak up but fear their department leaders will retaliate. As someone who gets these grievances and must ensure that they know their rights; with the right to report a compliance concern without fear. This starts from the beginning at new hire orientation that we tell them about these protections and give them the safe environment immediately. Our house of compliance can only withstand the elements if we start off with the use of quality products.

? ?- Investigating Honestly: When issues are reported, it is critical that investigations are conducted with integrity, ensuring that all findings are based on truth and are not influenced by bias or external pressures. When I complete an investigation, at the introduction meeting, I stress their rights, how long the investigation will take, and that a written report will be generated. Ensuring that all parties know that steps up front are essential. I also give a post investigation survey where I collect satisfaction scores based on each step of an investigation. I have seen higher satisfaction scores when you show the reporter that you are not going to be bias even if they are reporting something about the president or board member. Everyone must be held accountable for the job they agreed to do.

6. Long-Term Impact

? ?- Sustaining Compliance Culture: An environment where honesty and truth are valued leads to sustainable compliance practices. It helps prevent a culture of fear or deceit, where individuals might otherwise feel pressured to hide violations or falsify records. This is not a quick process. We have been told that changing culture can take 4-6 years if you are consistent in your efforts. It starts with being honest about where we are on this journey and celebrating each time, we add a brick of compliance to our house. Have you ever seen a house before the bricks are laid? It is hard to see the beauty in the beginning but once it is complete, you stand in awe. Sustaining compliance culture will mean that we monitor the bricks for any breaks that can let fear or deceit come in, which means everyone must help.

? ?- Legal and Ethical Safeguards: Honesty in compliance helps safeguard the university from legal liabilities, regulatory penalties, and ethical scandals, all of which can have long-term negative consequences for the institution. We know that our digital fingerprint has changed dramatically over the past 20 years. When something is posted about our university it can be found permanently on multiple search engines. When there is a scandal, and the news is reported this can have long lasting effects like losing the attention of the best students and not attracting quality faculty. We often hear about the penalties and legal liabilities but not the longevity of a lie. Its life spans are far longer than it used to be so we must put safeguards in place to prevent the spread of lies and scandals.

In conclusion, honesty and truth are not just ethical imperatives but practical necessities in the realm of university compliance. They ensure that the institution operates with integrity, builds trust, and fulfills its mission responsibly and effectively. Without a commitment to these principles, the entire compliance framework, our home, can become compromised, leading to far-reaching consequences for the university community and beyond.

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