The Catholic University of America

I’m an ethical person, so why do I need to take this training?

  • Being compliant with laws and policies and acting ethically can at times be challenging in the highly regulated and complex environment in which we work.
  • Non-compliance can result in significant monetary penalties, loss of program funding, and reputational damage.
  • Even ethical people don’t always know what they don’t know!
  • You may be personally liable for non-compliance in some situations.
Examples of where compliance lapses may occur:
  • Inconsistently administering leave benefits
  • Discriminating against employees based on protected classifications
  • Retaliating against employees for reporting ethical or compliance or concerns, or for cooperating with University investigations
  • Not following competitive bidding requirements
  • Not involving Procurement Services when purchasing goods and services
  • Entering into contracts without proper review and approval
  • Engaging in transactions with family members or businesses in which the employee has an interest (i.e. conflict of interest)
  • Inadvertently e-mailing confidential information to unauthorized individuals, or posting it to a public website
  • Improperly managing payroll
  • Improperly charging costs to research awards, and not monitoring sub-recipients of research funds
  • Using copyrighted materials without obtaining appropriate approval
  • Not reporting or addressing crimes, such as sexual offenses
Examples of how other universities have been penalized for non-compliance:
  • 4 year's prison time for a faculty member who shared restricted information with a foreign national from a restricted country
  • $9.8 million for enrollment violations by offering financial aid to unqualified students
  • Notification required to over 22,000 current and former students after laptop containing their confidential data was stolen
  • $7.6 million for improper accounting on a research award
  • $350,000 for failure to warn campus community of a crime on campus
  • $2.4 million settlement regarding allegations of improperly handling sexual offense allegations
  • $2.3 million for retaliating against an employee who reported theft of government property by the institution