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Audit, Risk Management, and Compliance

Compliance Blog

2018 Ethics Law Webinars

Apr 4, 2018

As public employees, Wright State University employees must follow Ohio's ethics laws. As a resource, the Ohio Ethics Commission presents free monthly one-hour webinars to provide an overview of the Ohio Ethics Law. Registration is available on the Ethics Commission website:

The webinar schedule for 2018 is below:

Overview of Law: Thursday, April 19, 2018   11:00 AM - 12:00 PM
Overview of Law: Tuesday, May 15, 2018   2:00 PM - 3:00 PM
Overview of Law: Monday, June 18, 2018   10:00 AM - 11:00 AM

   Registration for the July through December sessions will be available soon on the Ethics Commission website.

  Overview of Law: Wednesday, July 18, 2018   11:00 AM - 12:00 PM
  Overview of Law: Thursday, August 16, 2018   10:00 AM - 11:00 AM
  Overview of Law: Friday, September 14, 2018   10:00 AM - 11:00 AM
  Overview of Law: Tuesday, October 16, 2018   1:00 PM - 2:00 PM
  Overview of Law: Thursday, November 15, 2018   11:00 AM - 12:00 PM
  Overview of Law: Wednesday, December 19, 2018   10:00 AM - 11:00 AM

Compliance & Ethics Week: Anonymous Reporting

Nov 10, 2017

Each member of the Wright State University community is responsible for ensuring that we operate in compliance with relevant laws, regulations, and University policies, as well as ethics and integrity. This includes asking questions if you're not sure what to do and raising concerns if you see something you don't think is right.

How to Report Compliance Concerns:

  1.  Contact your supervisor- The University encourages the use of normal organizational channels for reporting concerns in instances where you believe violations of policies or standards have occurred, as a first step whenever possible.

  2.  Contact the appropriate subject matter department- Sometimes, because of the subject matter, concerns may be raised through a specialized functional office, such as the Office of Equity and Inclusion for concerns about discrimination or sexual misconduct.

  3.  Office of University Compliance- Compliance issues can be reported directly to the Office of University Compliance.

  4.  Anonymous Reporting Line- If you suspect a violation of laws, rules, regulations, or policies affecting the University community, you may make an anonymous report by calling the Toll-Free HOTLINE at 1-855-353-3783 or by using the EthicsPoint website.

Compliance & Ethics Week: Research Compliance Spotlight

Nov 9, 2017

Today's spotlight is on the Office of Research Compliance.

About the Office of Research Compliance

The Office of Research Compliance works with the Wright State University community to ensure compliance with regulations and policies that pertain to research, including:

  • Responsible conduct of research
  • Financial conflict of interest
  • Export controls
  • Human subjects (Institutional Review Board)
  • Animal subjects (Institutional Animal Care & Use Committee)
  • Institutional biosafety (Institutional Biosafety Committee)

Visit the Office of Research Compliance website for more information regarding policies, training opportunities, and other resources.

Compliance & Ethics Week: EHS Spotlight

Nov 8, 2017

Today’s spotlight is on the Department of Environmental Health and Safety.

About Environmental Health and Safety (EHS)

  • Works to provide a safe and healthy environment in which to study, research, work, live, and visit
  • Identifies and minimizes hazards to students, faculty, staff, and visitors
  • Provides resources and knowledge to ensure compliance with all applicable environmental health and safety laws and regulations during work, teaching, research and other activities
  • Promotes and encourages sustainability through efficient and appropriate use of resources
  • Provides required training
  • Recommends improvements to support environmental health and safety activities
  • Provides guidance to those who do business with Wright State to perform their work in a manner that protects from environmental health and safety risks

Visit Environmental Health and Safety’s (EHS) website for more information regarding policies, training opportunities and other resources.

Compliance & Ethics Week: OEI Spotlight

Nov 7, 2017

Today’s Compliance & Ethics Week spotlight is on the Office of Equity and Inclusion (OEI).

About OEI

  • Oversees and supports the University’s compliance with laws in the areas of equal opportunity, affirmative action, harassment, and discrimination (including sexual misconduct)
  • Offers information, consultation, training, and resources to the WSU community
  • Serves as a mechanism for investigating reports of harassment and discrimination (including sexual misconduct)

Visit OEI’s website for more information regarding training opportunities and other resources. 

Compliance & Ethics Week 2017

Nov 6, 2017
Corporate Compliance and Ethics Week is celebrated nationally the first full week of November. In recognition of this year’s event, which comes November 5-11, the Office of University Compliance will be spotlighting compliance departments or topics throughout the week. With these spotlights, we want to promote awareness of the resources available to the university community.
Wright State University’s compliance program includes:
  • Compliance and ethics policies
  • Compliance and ethics training
  • Anonymous reporting - Toll-Free Hotline 1-855-353-3783 or EthicsPoint website
  • Investigations into misconduct or concerns

Upcoming Ohio Ethics Law Webinars

Aug 23, 2017

As public employees, Wright State University employees must follow Ohio's ethics laws. As a resource, the Ohio Ethics Commission presents free monthly one-hour webinars to provide an overview of the Ohio Ethics Law. Registration is available on the Ethics Commission website:

The webinar schedule for the remainder of the year is below:

Overview of Law: September 19, 2017   1:00 PM - 2:00 PM
Overview of Law: October 19, 2017        11:00 AM - 12:00 PM
Overview of Law: November 3, 2017      10:00 AM - 11:00 AM
Overview of Law: December 18, 2017    11:00 AM - 12:00 PM

Our Points of View

Aug 2, 2017

How we interpret things is often dependent upon our point of view (the way of considering a matter). For example, if everyone is sitting in the same room while watching an enactment, we each may see something different due to our vantage point in the room. The same thing can be said of those of us in different areas of expertise. We may all work for the same organization and share the same mission, but due to our different roles and expertise, we each have a different view. This can be beneficial for the organization, but sometimes it creates conflict.

Conflict is an active disagreement between people who have opposing opinions. Conflict is not necessarily a bad thing, and it can actually be helpful in developing strong relationships and trust, so long as we manage our opposing opinions respectfully and remain empathetic (how we listen to understand the thoughts and attitudes of others). We need to be careful about not making or taking different opinions personally. It’s OK to be tough on the issue, but not on the individual with the opposing opinion. It’s beneficial to have people with different expertise, because we are then able to achieve the most effective outcomes by ensuring that we are considering all the relevant factors to make the best decision.

Albert Einstein said, “We cannot solve our problems with the same thinking we used when we created them.”

It’s natural for people to come from different points of view regarding priorities and how things should be done. However in order to successfully have the necessary discussions to make the best decisions, we have to remain respectful and recognize the value of having people with different points of view at the table.

The way we treat one another makes a difference in our culture and is important to our job satisfaction, health, and success. People don’t always remember so much what a person says, but most often remember how they were made to feel. Stephen Covey said, “When you show deep empathy toward others, their defensive energy goes down, and positive energy replaces it. That’s when you can get more creative in solving problems.”

Let’s all work together to creatively solve problems and create a safe culture by showing respect and empathy so everyone feels free to raise concerns and share their point of view.


Excerpts above taken from the article "Our Points of View" in Y-Comply, Issue 22, July 2017.

Introduction to Compliance

Jul 25, 2017

Wright State University created the Office of University Compliance to provide central coordination, independent oversight and monitoring of University compliance functions, and to create a culture that supports compliance and ethics in every day decision making.

Explore the University Compliance website for more information on the University Compliance Program, locating University policies, resources, training opportunities, how to report compliance concerns, and more!

Visit the Compliance Blog regularly for updates and spotlights on our different compliance areas on campus!

What is a Compliance Program?

Compliance programs focus on "big picture" activities. They are process-oriented. Compliance programs conduct proactive risk management based on audit and assessment metrics, past performance, and national enforcement actions. Often, they identify regulatory issues that may have already occurred and facilitate process and policy changes to help prevent them from happening again. Importantly, compliance programs are cross-functional and inter-departmental in nature.

Compliance is conformity in fulfilling official requirements.*

The federal government, through the Federal Sentencing Guidelines**, sets out 7 elements that make a compliance program "effective."

  1. Policies, Procedures, & Standards of Conduct
  2. Oversight of Governing Authority
  3. Effective Training & Education
  4. Effective Lines of Communication (Hotline)
  5. Internal Monitoring & Auditing
  6. Incentives & Discipline
  7. Corrective Action

In addition to these 7 elements, a compliance program needs to be assessed periodically and modified appropriately, as needed.

Higher Education Regulatory Environment

Higher education institutions are experiencing increasing regulatory demands and expectations. The complexity of requirements is growing, as well. The regulatory environment is also becoming more enforcement focused and is defined by:

  • Institutional accountability
  • Government oversight
  • More aggressive enforcement initiatives, including:
    • Monetary fines
    • Exclusion from participation in federal programs (such as sponsored research) or receiving federal funding (such as student financial aid)
    • Written corrective action agreements
    • Criminal penalties
  • Regulator expectations of institutional oversight of regulatory requirements
    • Lack of institutional oversight often leads to more severe penalties
    • Government agencies are more likely to work collaboratively to resolve issues if strong institutional controls can be demonstrated 
Federal Enforcement Agencies Sources of Requirements

Federal Drug Administration

Federal & State Laws
Office for Human Research Protections Advisory Opinions
Centers for Medicare & Medicaid Services Executive Orders
Office for Civil Rights Dear Colleague Letters
Internal Revenue Service FAQs & Guidance Documents
Department of Education Handbooks
Department of Homeland Security  
Department of Labor  
Department of Justice  
Office of Inspector General  
Immigration & Customs Enforcement  

*Merriam-Webster Dictionary

**United States Sentencing Commission, Guidelines Manual, §8B2.1 (Nov. 2015).