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What is Compliance?

As a higher education institution, 91�㽶��Ƶ is subject to many federal and state laws and regulations, as well as standards set by accrediting bodies. Compliance refers to 91�㽶��Ƶ’s efforts to meet these obligations.

What is a “Culture of Compliance”?

• Encourages individuals to seek guidance when the right course of action is unclear
• Creates confidence and trust in the process that encourages individuals to speak up when mistakes are made
• Gives a voice to everyone, regardless of position or title, and holds everyone accountable for their actions
• Provides protection from retaliation for good faith reports or questions

What is the role of Compliance Services?

• Fostering a transparent culture within which members of the 91�㽶��Ƶ community are encouraged, feel supported in seeking guidance and assistance in promoting accountability, and addressing compliance concerns
• Coordinating 91�㽶��Ƶ’s efforts to meet compliance obligations efficiently and effectively, fostering ethical behavior, and a culture of integrity through reinforcement of 91�㽶��Ƶ’s Code of Ethical Conduct
• Supporting departments with a primary responsibility for compliance and assisting 91�㽶��Ƶ’s operational owners with monitoring, identifying, and understanding new and existing compliance obligations
• Providing safe, confidential, and effective mechanisms for asking questions and reporting about compliance and ethics issues
• Collaborating with offices across 91�㽶��Ƶ to ensure that compliance matters are resolved in a manner that upholds community standards of integrity and ethical behavior
• Promoting and facilitating 91�㽶��Ƶ’s confidential Ethics and Compliance Hotline, and assisting with oversight of case investigations and outcomes
• Providing guidance to the 91�㽶��Ƶ community on compliance and ethics issues
• Assisting with the development and implementation of 91�㽶��Ƶ’s compliance training and education efforts

In support of our mission and activities, the Compliance Services Office endeavors to be knowledgeable, responsible, and ethical.

What if I want to report a concern about Ethics or Compliance?

You should not hesitate to discuss any concerns about compliance with laws, regulations, or institutional policies to your supervisor, department head, or senior leader responsible for your area. You can also report concerns through the confidential, anonymous Ethics and Compliance Hotline. You may also contact our office as a starting point. Our email is complianceservices@osteo.wvsom.edu.

Who is responsible for compliance?

The Institutional Leads and Primary Managers identified on the Compliance Responsibility Matrix are primarily responsible for those areas. However, it is everyone’s responsibility to act ethically, and to understand and meet 91�㽶��Ƶ’s legal obligations.

How do I know if there is a compliance issue? What should I do if I think there is a compliance issue?

Any situation, activity, or transaction that could potentially violate a law or regulation of 91�㽶��Ƶ’s policies or procedures could be a compliance issue. If you are concerned that an activity is inappropriate given your understanding of applicable law or institutional policy, or if you encounter a situation that feels wrong or makes you uncomfortable, you should speak to your supervisor and/or contact the 91�㽶��Ƶ office that manages the area in which the issue has arisen. If, for whatever reason, you are uncomfortable going through these “regular channels,” or if you have raised an issue with appropriate people but feel that it has not been addressed, you can make a report through 91�㽶��Ƶ’s Ethics and Compliance Hotline.

What is the Ethics and Compliance Hotline?

91�㽶��Ƶ’s Ethics and Compliance Hotline is used to report a confidential (and anonymous, if desired) violation, to raise concerns, ask questions, or report problems. It is easy to use (there are several ways you can make a report) and it is operated outside 91�㽶��Ƶ’s server by an independent manager (Mitratech/Syntrio-Lighthouse). To access the Hotline, click on the red button at the top of the Compliance Services page.

What types of issues are reportable through the Ethics and Compliance Hotline?

The Ethics and Compliance Hotline is for reporting issues or problems that you believe violate the law, a regulation, or institutional policy, and for which regular reporting channels are inappropriate. If you have doubts about whether an issue should be reported through the Ethics and Compliance Hotline, report it. The Compliance Services Office will refer it if necessary. The Ethics and Compliance Hotline is not an emergency reporting mechanism. In an emergency you should contact Campus Security at 304-647-8911 or dial 911.

If you cannot find an answer to a question you may have, please contact Compliance Services.