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Tulane University Compliance & Ethics Week, November 6-10, 2023

Tulane University hosted its first-ever Compliance and Ethics Week, November 6-10, 2023, to raise awareness, recognize ethical behavior, and reinforce our mission and values for building a better university. Compliance & Ethics Week has been designated by the Society of Corporate Compliance and Ethics (SCCE) and is observed by many institutions of higher education.

To promote a culture of ethical and lawful conduct at Tulane, the Compliance & Ethics Work Group in partnership with the Office of Enterprise Risk Services, Internal Audit, and the Office of the General Counsel planned informational and educational sessions for faculty, staff, and students.

Compliance & Ethics Week provided an opportunity to highlight the collaborative efforts of Tulane’s compliance partners who support ethical conduct and compliance with applicable laws and regulations.

The sessions featured subject matter experts and included the following topics: Artificial Intelligence (AI) and Ethics, Ethics in Medicine, Research Integrity and Responsible Conduct in Research, HIPAA Compliance in Research, Practical Compliance & Ethics Considerations for Tulane Activities Abroad, and Conducting Meaningful Investigations Through Root Cause Analysis.

Scroll down for a schedule of events for Compliance & Ethics Week 2023.

Please contact us with any questions or comments about any of the events.

PLEASE NOTE:  All sessions, speakers, panelists, and instructors subject to change.

 

GENERAL SESSIONS – OPEN TO ALL

 

Introduction to Compliance & Ethics Program

Monday, November 6
10:00 am – 11:00 am, Virtual Session (click here to access session recording)

Panelists
Patrick Norton, Sr. VP and COO; Angela Sutton, Associate VP for Enterprise Risk Management; Stuart Freedman, Director of Compliance & Ethics; Blair David, Director of Internal Audit

 

Practical Compliance and Ethics Considerations for Tulane Activities Abroad

Monday, November 6
11:00 am to 12:00 pm, Virtual Session

Panelists
Wade Wootan, Director, Global Operations; Hannah Palmer, Assistant Director Academic Projects and Programs; Maria Herdoiza, Associate Director Center for Reproductive Health Policy and Programs; Valerie McGinley, Associate Director, Administration Director, Stone Center for Latin American Studies; Chris Dressler, Export Control Compliance Officer

Highlights
The session will examine activity abroad run or led by Tulane from a compliance and ethics perspective. The focus will be on global support models and best practices with regard to administrative design and operations for programs, projects, and academic activity abroad.  Topics on the agenda will include:

  • Compliance with Tulane’s international travel policy, including embedding travel health, safety and security into your activity abroad design, budget, and operations.
  • US and host country regulation compliance, including arranging for services and work abroad and export controls. 

Whether you are relatively new to operating outside the U.S. or have dedicated global operations staff support, this session will offer you the opportunity to learn from campus experts, hear the latest developments from international operations professionals, and network with peers facing similar challenges.

 

Compliance with the HIPAA Privacy Rule in Research

Monday, November 6
12:00 pm – 1:15 pm, Virtual Session (click here to access session recording)

Panelists
Vivian Fonseca, MD, Assistant Dean for Clinical Research and Chief, Endocrinology, School of Medicine Ross Janssen, University Privacy & Data Compliance Officer; Claire Koenig, Associate General Counsel, Health Sciences Center; Roxanne Johnson, Director Human Research Protection Office; Cecilia Brown, Compliance and Education Coordinator IRB

Highlights
HIPAA Compliance in Research – picking the best strategy for your project

  • How to know what “level” of PHI you have, and then all the ways you can go (compliantly!) about getting or sharing that data in compliance with applicable laws and regulations.
    • Learning how to assess if your data is Deidentified vs Limited Data Set vs Full PHI
    • Compliance approaches for limited data sets and full PHI

 

Artificial Intelligence (AI) and Ethics

Monday, November 6
2:00 pm – 3:15 pm, Virtual Session (click here to access session recording)

Panelists
Nicholas Mattei, Assistant Professor of Computer Science; Robert Tompkins, Lead Cybersecurity Engineer; Mike Griffith, Director Strategic Academic Technology Innovation

Highlights

  • “Chain of events” set in motion as a result of using [Generative] AI tools in Higher Ed
  • Data privacy & security related to uses of AI
  • Nuances of "ethical use" of [Generative] AI

 

Ethics in Medicine

Wednesday, November 8
10:00 am – 11:00 am, Virtual Session (click here to access session recording)

Panelists
Dr. David Doukas, MD, James A. Knight Chair of Humanities and Ethics in Medicine; Stephen Hanson, Director of Graduate Studies for the MS in Bioethics and Medical Humanities; Marlowe Maylin, MD, Assistant Professor of Medicine and Hospitalist Medical Director, Tulane Medical Center

Highlights
This session will explore the role that hospital Ethics Committees serve in helping clinicians deal with ethics challenges which have been raised during clinical practice. Ethics Committees typically respond to requests for ethical consultations, develop and revise policies pertaining to clinical ethics and facilitate education about ethical topics. Join these panelists as they review how various ethical issues are raised, discussed and where a number of disciplines come together to examine the implications of contemporary medicine are discussed including next of kin discussions around the end of life and the utility of life ethical issues.

 

Research Security and International Visitors on Campus

Friday, November 10

9:00 am to 9:30 am, Virtual Session (click here to access session recording)

Speakers
Chris Dressler, Export Control Compliance Officer

Highlights
Complying with laws and regulations on research security when interacting with non-U.S. academic visitors on campus.

 

Introduction to Research Integrity and Responsible Conduct in Research

Friday, November 10
10:00 am – 11:00 am, Virtual Session (click here to access session recording)

Panelists
Brian Weimer, Research Compliance Officer; Lisa Wurtzel, Deputy Research Compliance Officer; Christina Samuels/Claire Koenig, Associate General Counsel

Highlights
An introduction to research integrity and research misconduct (for people new to the subject matter).

 

In-Depth Review of Research Integrity and Responsible Conduct in Research

Friday, November 10
12:00 pm – 1:00 pm, Virtual Session (click here to join)

Panelists
Chad Steele, PhD, Professor and Chair, Microbiology and Immunology, School of Medicine; Brian Weimer, Research Compliance Officer; Lisa Wurtzel, Deputy Research Compliance Officer; Christina Samuels/Claire Koenig, Associate General Counsel

Highlights
Research misconduct avoidance for Principal Investigators (PIs) – for PIs of laboratories with people conducting research reporting to them.  This is intended for people more experienced in conducting research or just getting to that point of being a PI and having a lab with lab members reporting to them and being responsible for the research results of the lab.

 

FOCUSED SESSIONS – OPEN TO SPECIFIC AUDIENCES

Root Cause Analysis Training

Tuesday, Wednesday, and Thursday, November 7-9
8:00 am to 4:30 pm, Hutchison Building, Main Auditorium, 1st Floor (Downtown Campus)

Instructor
Mark Galley, President, ThinkReliability

Highlights
Day 1 focuses on the fundamental principles and concepts of the Cause Mapping approach reinforced with examples and exercises. Day 2 begins to show how the approach applies to real world problems. The final exercise of the day is applying the Cause Mapping method on organization-specific problems identified by workshop attendees. Day 3 focuses on documentation and facilitation and provides hands-on instruction and practice using the Cause Mapping template in Microsoft Excel to conduct a complete investigation.

 

Department Safety Representatives (DSR) Luncheon and Award Ceremony

Monday, November 6
12:00 pm to 1:30 pm, Glazer Family Club (Uptown Campus)

 

General Workplace Safety Training

The classes below are grouped as follows:

  • Spill Prevention Control and Countermeasure (SPCC), Asbestos, and Hazard Communications
  • Personal Protective Equipment (PPE), Pinch Points, Noise Hazards, and Proper Lifting Technique
  • Electrical Safety and Fall Protection, including Ladders and Scaffolding

Session #1 - Monday, November 6

9:00 am to 1:00 pm, LBC-202 Rechler Conference Room (Uptown Campus)

Session #2 - Tuesday, November 7

9:00 am to 1:00 pm, LBC-202 Rechler Conference Room (Uptown Campus)

Session #3 - Wednesday, November 8

8:30 am to 11:30 am, Murphy Building, Room 220 (Downtown Campus)

Session #4 - Friday, November 10

9:00 am to 10:30 pm, TNPRC Auditorium, Building #1 (TNPRC)

Spill Prevention Control and Countermeasure (SPCC)

What is the course about: It covers the requirements for Spill Prevention, Control, and Countermeasure plans and their role in helping prevent spills that could reach navigable waters or adjoining shorelines.

Intended audience: Facilities and Campus Services employees.

Asbestos Awareness

What is the course about: It is designed to provide an overview of asbestos and its associated hazards. It is essential for employees who work in building-related maintenance to know where asbestos is likely to be found and how to avoid exposure.

Intended audience: Faculty and staff.

Hazard Communication

What the course is about: This training explains and reinforces information presented to employees through labels and Safety Data Sheets (SDS). The goal is to protect people from injuries and illnesses associated with using hazardous chemicals in the workplace. People have the right to know and understand the hazards and identities of chemicals they are exposed to at work.

Intended audience: Faculty and staff.

Personal Protective Equipment (PPE)

What is the course about: PPE training covers the proper use of personal protective equipment that guards the health and safety of employees.

Intended audience: Faculty and staff.

Pinch Point Hazards

What is the course about: Pinch points can occur anywhere a part of the body can get caught between two objects. We will discuss how to avoid pinch points due to prevent incidents related to this occurrence.

Intended audience: Faculty and staff.

Hearing Conservation

What is the course about: Attendees will learn about safe levels of noise exposure and various strategies to reduce exposure to regular loud noises or even sudden extreme noise.

Intended audience: Facilities and Campus Services employees.

Proper Lifting Technique

What is the course about: We will discuss proper lifting techniques and how to avoid muscle strains and sprains. This will be addressed due to several incidents related to improper lifting techniques.

Intended audience: Faculty and staff.

Electrical Safety

What is the course about: This course will help you to recognize, evaluate, and control electrical hazards.

Intended audience: Faculty and staff.

Fall Protection, including Ladder and Scaffolding training

What is the course about: It is designed to help employees understand the serious risk of injury when working at heights and covers all aspects of using fall protection equipment, such as harnesses or ladders, to minimize or altogether avoid accidents from heights.

Intended audience: Facilities and Campus Services employees.

Laboratory Safety Training Compliance

What the course is about: Topics will include required compliance training on hazard communication, the OSHA lab standard, PPE, hazardous waste management, proper chemical storage and use, engineering, and ventilation controls, etc.

Intended audience: Researchers to include laboratory faculty and staff/graduate students/postdocs/anyone who works in a laboratory.

Session #1 - Tuesday, November 7

10:00 am to 11:30 am via Zoom

Session #2 - Wednesday, November 8

12:00 pm to 1:30 pm, Murphy Building, Room 220 (Downtown Campus)

Session #3 - Thursday, November 9

1:00 pm to 2:30 pm via Zoom

Session #4 - Friday, November 10

11:00 am to 12:30 pm, TNPRC Auditorium, Building #1 (TNPRC)

 

Specialty Topics for Laboratory Safety Training Compliance - Bloodborne Pathogens, Formaldehyde, or Respiratory Protection

What is the course about: Hazards and proper handling of bloodborne pathogens, hazards and proper handling of formaldehyde, requirements for respiratory protection.

Intended audience: Researchers including laboratory faculty and staff/graduate students/postdocs/anyone who works in a laboratory and needs training on bloodborne pathogens, formaldehyde, or respiratory protection.

Session #1 - Tuesday, November 7

12 Noon to 12:45 pm via Zoom

Session #2 - Wednesday, November 8

2:00 pm – 2:45 pm in person Murphy Building, Room 220 (Downtown Campus) and via Zoom

Session #3 - Thursday, November 9

3:00 pm to 3:45 pm via Zoom

Session #4 - Friday, November 10

1pm to 2pm, OEHS Bio Lab Training, in person TNPRC Auditorium, Building #1 (TNPRC)

 

Working with Radiation, Lasers, and Magnets

What is the course about: The authorization process for working with radiation, lasers, and strong magnets, along with the regulatory requirements involved.

Intended audience:  Researchers who would like to work with radioactive materials, radiation devices, lasers, or strong magnets.

Session #1 - Friday, November 10

10:30 am to 11:00 am via Zoom

Session #2 – Friday, November 10

1:30 pm to 2:00 pm via Zoom

 

Disaster Cost Recovery aspects pertaining to the FEMA Public Assistance Program

What the course is about: The presentation will provide university partners with an understanding of the importance of implementing proper administrative and financial management practices to remain eligible for State and/or Federal disaster assistance. Specifically, the presentation outlines fiscal and administrative requirements and considerations across three phases – Preparedness, Response, and Recovery.

Intended audience: Faculty, staff, and students charged with making requisitions.

Session #1 - Thursday, November 9

9:30 am to 10:45 am via Zoom

Please RSVP here.

Session #2 – Friday, November 10

10:30 am to 11:15 am via Zoom

Please RSVP here.

PREPAREDNESS - Fiscal preparedness during blue sky conditions, such as reviewing Insurance portfolios, pre-positioned contracts, procurement processes, and university policies.

RESPONSE - Financial management during the disaster response, such as Acceptable procurement methods, tracking purchases, and accounting for all eligible expenses. 

RECOVERY - Oversight of the cost recovery process, which involves:

Required documentation, execution of properly procured contracts, and submitting expenses directly related to the disaster.

 

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