University Compliance

University Compliance provides central oversight and support to bring together the many compliance efforts happening across the university. We help ensure the university meets applicable laws, regulations, and external requirements, and that policies and daily practices reflect those expectations. Through risk assessments, gap analyses, and policy and procedure updates, we identify and prioritize isseus that span multiple areas of the university, enabling units to respond in a coordinated and consistent, institution-wide manner.

Mission

University Compliance and Privacy strive to be informed partners, collaborating with Ohio University’s academic and administrative units to identify, understand, and resolve emerging or ongoing compliance and privacy challenges. We are dedicated to: 

  • Maintaining institutional-level compliance through consultation, facilitation, oversight, and monitoring activities;
  • Proactively leading the university’s response to changes in federal and state law by identifying emerging areas of focus, promoting best practices, and seeking creative solutions to compliance challenges;
  • Coordinating OHIO’s Compliance Network and providing education and training to employees and faculty;
  • Always doing what is best for Ohio University.

Our commitment to compliance and privacy means that we prioritize honesty, integrity, transparency, accountability, and responsible decision-making in all aspects of our work; we are here to support an ethical work environment while effectively contributing to the pursuit of the university’s mission

Seven Elements of Effective Compliance

Chapter 8 of the Federal Sentencing Guidelines (the “Guidelines”) provides guidance and direction for establishing and maintaining an effective ethics and compliance program. The Guidelines identify seven essential elements for effective ethics and compliance programs. The compliance profession, through organizations such as the Higher Education Compliance Alliance ("HECA")  has refined those elements to better define how they work in practice. Ohio University adopts the following approaches to these elements:

Maintaining Current Standards of Conduct, Policies, and Procedures

The university will establish clear guidance to facilitate compliance with relevant federal, state, local, and international law. This includes development and updating of policies and procedures that meet the requirements of law that regulates Ohio University in all its operations. Policies will be kept up to date.

Designating a Compliance Office

A critical element of compliance is establishing clear oversight and accountability at the management and operational levels for each area of compliance function. University Compliance provides Institutional oversight, consultation, special projects, and monitoring of decentralized compliance efforts. If you are unsure who to contact or have concerns about compliance issues, you may contact:

Laura L. Myers, J.D., M.A., Director of University Compliance, Office of Audit, Risk, and Compliance
myersl@ohio.edu

Conducting Effective Training & Education

OARC seeks to leverage current training programs to meet federal and state obligations and collaborate with other stakeholders to develop new or enhanced training as needed.  Please contact Michael Greene, Compliance Training Administrator, for more details.

Developing Effective Lines of Communication

OARC encourages increased outreach through training about compliance processes to ensure employees are aware of their compliance obligations and how to complete them. If compliance is not met, members of the university community are encouraged to raise concerns and ask questions, up to and including reporting non-compliance to a supervisor or unit, the Office of Audit, Risk, and Compliance, or through the confidential EthicsPoint Hotline.

Conducting Ongoing Internal Monitoring and Auditing

OARC supports compliance efforts through consultation and collaborative problem-solving.  Additional methods and tools may include

  • Audits
  • Current state analysis and process mapping
  • Compliance testing
  • Peer Reviews
  • External Audits, Reviews and Inspections

Enforcing Standards Through Well-Publicized Guidelines

Consequences for non-compliance will be levied consistently regardless of the employee’s stature within the organization.

Enforcement must be transparent and consistent with appropriate disciplinary action through relevant authority:

  • HR’s progressive discipline guidance and procedures
  • Faculty Handbook
  • Student Code of Conduct
  • Office or departmental protocols

Responding Promptly to Detected Problems and Undertaking Corrective Action

Ohio University will have systems in place to evaluate compliance and seek ongoing program improvements.

Centralized and decentralized compliance programs must evolve as the risks confronting the organization change.