Compliance Training

Scope

This policy applies to anyone who supervises Indiana University employees.

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Policy Statement

The goal of compliance training is to ensure that all Indiana University employees are afforded the protection of employment laws, regulations, and policies, and in so doing, ensure fairness and equality in the workplace. Specifically, compliance training objectives are to:

1. Ensure that supervisors and managers possess the knowledge and skills for effective day-to-day decision-making and actions regarding federal and state laws and regulations governing university employment, as well as university policy and procedures
2. Ensure that supervisors and managers across all departments and units uniformly apply these laws, regulations, and policies
3. Prevent or limit situations that may put the university at risk both legally and financially
4. Promote positive employee relations

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Reason for Policy

This policy provides University administrators, managers, and supervisors with an understanding of their responsibilities to complete—or to ensure completion of—Compliance Training and to apply and support the knowledge and skills gained through the training.

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Procedures

1. Through a joint effort among the offices of Office of Institutional Equity, University Human Resources, Office of Insurance, Loss Control & Claims, and Environmental Health and Safety, as well as other offices responsible for compliance, the goal and objectives of this policy are achieved by the following:
   1. The development of materials for use in training and on the job
   2. The delivery of training programs by subject matter experts
2. The materials and training cover a full range of important subjects, including Equal Employment Opportunity, Sexual Harassment, the Fair Labor Standards Act (FLSA), the Family and Medical Leave Act (FMLA), the Americans with Disabilities Act (ADA), Worker’s Compensation, as well as other laws and university policies applicable to employees of Indiana University.
3. New and existing supervisors and managers are responsible for:
   1. Completing Compliance Training
   2. Applying the knowledge and skills gained through Compliance Training within their daily work responsibilities
4. The department administrators are responsible for:
   1. Ensuring that each supervisor or manager completes Compliance Training
   2. Supporting the transfer of knowledge and skills gained through Compliance Training within the supervisor’s and manager’s daily work responsibilities
5. Compliance Training ensures that supervisors and managers receive instruction on employment laws and regulations as they specifically apply to Indiana University; therefore, no training substitutions (e.g., online course, professional seminar) are accepted. Requests for waivers based on “related or equivalent experience” are not accepted.
6. Training for new supervisors is to be completed within the first year of appointment.

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Sanctions

Violations of university policies will be handled in accordance with applicable university policies and procedures which may include disciplinary actions up to and including termination from the University.

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