Compliance Reporting Information + Process
As members of the university community, it’s important that we consider how our work can impact the university and/or the community and that our projects are compliant with legislation, regulation, industry codes, industry codes and standards, ethics, licensing, policies, and applicable procedures.
Whether it is ensuring you follow a key piece of legislation to making sure you fill out the right form for that one permit you need—there’s a lot to consider.
Being compliant means we are...
- Ethical in our work
- Future and sustainability-focused with our planning
- Committed to creating a culture of safety
Compliance requirement: Why does compliance matter?
The short answer is compliance helps ensure U of A is following jurisdictional laws and/or institutional policies with every project.
The long answer is that the risk of non-compliance can be high, and it can result in many adverse scenarios that range in severity. This can even include employee-level ramifications such as termination of employment, sanctions, severe fines, penalties and /or even jail time.
- Understand accountabilities for your work
- Bring awareness and education of accountabilities with an aim to support operational success
- Identify and understand legislation and regulations that must be met and/or exceeded to avoid harm to people, research, property and our institutions reputation
- Assess and evaluate compliance and or gap areas for improvement
- Develop processes and procedures to support legal and institutional policy requirements
- Report non-compliance/breach activities in a timely manner and develop mitigation plans to mitigate against future breach activities
Accountabilities
Senior leadership and supervisors
Senior leadership and supervisors are responsible for setting tone, accountabilities, responsibilities and overall compliance messaging and awareness within their portfolio, faculty, department and or area unit. This does include being aware of and developing policies and procedures that will support the University of Alberta’s legal responsibilities as well as ensuring a safe workplace and successful results. This accountability is not necessarily set by the university but rather may be a requirement of law.
Supervisors
Supervisors are accountable for ensuring there is regular and ongoing discussion that is integrated as part of regular work activities. In the event of non-compliance, supervisors are responsible for guiding the employee through the reporting process as well as identifying and assessing the potential consequences and escalating to their AVP, Chair or Dean. They are also responsible for engaging key contacts within the institution for support and developing strategies to mitigate and prevent future non-compliance.
Employees and/or other individuals within the university community
Employees and/or other individuals within the university community are accountable to be aware of and understand the laws and policies in which the work is to be conducted before the work starts.
They are responsible for making informed decisions and abiding by safe work practices.
Reporting Non-Compliance
Non-compliance activities, incidents and breaches must be promptly and prudently managed, reported and tracked.
Key considerations for reporting non-compliance
- Are there people within the institution you will need to contact?
- Is there a specific regulatory or industry contact that must be engaged?
- Are there specific timeline requirements for reporting?
- Are you required to submit information/records to an external party?
- Are there potential fines and/or penalties that could be assessed and if so what are they?
Where do you report non-compliance?
Non-compliance reporting depends on the issue. Read the information below to find the best place to make your report.
Disclosing Discrimination, Harassment and Other Misconduct
Handled by the Office of Safe Disclosure and Human Right, submit here on non-compliance related to accommodation issues, discrimination or harassment, health and safety violations, financial mismanagement, ethical concerns, inappropriate research activity involving people or animals.
Ethical Conduct, Conflict of Interest, Gifts & Events, Fraud & Irregularity
Managed by Human Resources, Health, Safety and Environment, this is where you submit non-compliance regarding ethical conduct including Fraud.
Privacy or Information Security Breach
Submit to the Information & Privacy Office (FOIP, HIA, CASL) for privacy and security breaches.
Other
For all other non-compliance reporting, submit using the form below.