Jul 14, 2024  
2020-2021 Policy and Procedures 
    
2020-2021 Policy and Procedures

Compliance Program


Summary

This policy documents the formal Compliance Program for Shaw University.   This policy sets forth an expectation that all members of the University community conduct operations and activities in an ethical, honest manner, and with the highest level of integrity.  It seeks to create a culture of compliance to meet legal and regulatory requirements. The Compliance Program is the vehicle through which compliance at the University is coordinated, managed, and monitored for all risks associated with regulatory and legal requirements.  

Definitions

Scope

The conduct described in this program is expected of all members of the Shaw University community, including trustees, senior administrators, faculty and staff, students, student employees, student leaders and university volunteers.  Everyone associated with Shaw University is expected to adhere to the requirements of this policy.

Policy Statement

The program is based on the these seven generally accepted standards for an effective compliance program:

  • Effective governance and oversight;
  • Written Code of Ethical Conduct, and policies and procedures;
  • Education and training, and effective communication;
  • Monitoring and Auditing, including periodic risk assessments;
  • Receiving and Investigating non-compliance;
  • Accountability, Enforcement and Corrective Action;
  • Response to detected offenses and prevention

The Compliance Program helps maintain Shaw University’s reputation for integrity and high standards in education and the business community.  It helps protect the University from regulatory failures and errors as well as improve information flow across the community.

To be effective, the compliance program shall include the following:

  • Governance: The governing body of the University, the Board of Trustees, through its University Compliance Committee, will have reasonable oversight over the program’s implementation and effectiveness.
  • Executive Oversight: A University Compliance Committee shall include high-level management who exercise overall responsibility for the Compliance Program. This committee shall be chaired by the Compliance Officer and members appointed by the President,
  • Daily Oversight: Designated compliance liaisons in their respective areas exercise daily responsibility for their portion of the Compliance Program.
  • Compliance Officer: The University Compliance Officer assists in coordinating the University’s compliance activities and reports the results of these activities on a regular basis directly to high-level management and the Board of Trustees.
  • University Community: The University’s faculty, staff, students and others who perform work at the University will understand and follow principles of conduct in the execution of their daily obligations; they ensure that all staff are aware of and operate in compliance with applicable laws, regulations, and policies; and report incidents of non-compliance to the Compliance Committee.

Code of Conduct

This Code of Conduct establishes guidelines for professional conduct by those acting on behalf of the University including executive officers, faculty, staff, and other individuals employed by the University, volunteers and representatives acting as agents of the University.

This is to communicate the University’s expectations of proper conduct and what professional conduct the University values, and is not an attempt to define specifically what one should and should not do.  It is an expectation that the Code of Conduct serves as the basis, on which employees should make decisions related to the best interests of themselves, and members associated with the University. 

The Code

Those acting on behalf of the University have a general duty to conduct themselves in a manner that will maintain and strengthen the public’s trust and confidence in the integrity of the University and take no actions incompatible with their obligations to the University.

Regarding professional conduct, those acting on behalf of the University should practice:

  • Integrity by maintaining an ongoing dedication to honesty and responsibility;
  • Trustworthiness by acting in a reliable and dependable manner;
  • Evenhandedness by treating others with impartiality;
  • Respect by treating others with civility and decency;
  • Stewardship by exercising custodial responsibility for University property and resources;
  • Compliance by following State and Federal laws and regulations and University policies related to their duties and responsibilities;
  • Confidentiality by protecting the integrity and security of university information such a student records, employee files, student health records, and contract negotiation documents.

Those acting on behalf of the University shall seek appropriate guidance when faced with ethical dilemmas. For additional information related to ethical dilemmas, please contact the University Compliance Office via e-mail at: Univcompliance@shawu.edu

Wrongful conduct is defined as:

  • a serious violation of University policy;
  • a serious violation of the University Code of Conduct;
  • a violation of applicable state and federal laws;
  • embezzlement or other financial irregularities; and/or
  • the use of University property, resources, or authority for personal gain or other non-University related purpose except as provided under University policy.

Examples of wrongful conduct or fraud covered under this policy include but are not limited to such actions as:

  • Theft, misappropriation, misapplication, destruction, removal, or concealment of University resources including intellectual property;
  • Forgery, falsification, or alteration of documents;
  • Improprieties/misrepresentation in the handling or reporting of money or financial transactions;
  • Authorizing or receiving payment for goods not received or services not performed;
  • Misuse of University facilities, such as telephones, email systems and computers;
  • Intentional violation of the code, including dishonest or improper reporting of results, selective reporting, or omission of conflicting data for deceptive purposes;
  • Accepting or offering bribes, kickbacks, or rebates;
  • Lack of reporting of actual or perceived abuse of a minor; and/or
  • Actions related to concealing or perpetuating above mentioned activities.

Areas of Compliance

Because of the wide variety of activities which occur at Shaw University, hundreds of laws and regulations apply, resulting in a need for compliance.  Some of the most common areas for a focus of compliance are listed below.  The web site references give more information about some of the requirements, to what they apply, and how Shaw University complies with them.  Most policies related to faculty, staff, and students can also be found at the following websites:

As in the past, compliance training will continue to be done in each of the following units, unless University-wide training is conducted on the subject matter of the unit.

Athletics

The goal of Shaw University’s Department of Athletics is to operate all varsity sports with high character and in compliance with all rules and regulations set forth by the National Collegiate Athletic Association (NCAA), Central Intercollegiate Athletic Association (CIAA) and Shaw University.  Non-compliance in any rules and regulation may result in fines, violations and or actions that will impact the continuity of the athletics programs.  For more information, regarding the athletic programs please visit: https://www.shawbears.com/information/Compliance.

  • SU Student-Athletic Handbook or Athletics Policy and Procedural Manual.
  • Office of Compliance: (919) 576-8588 or Email: nancy.lake@shawu.edu

Business and Finance

Proper stewardship of University funds is the responsibility of all employees involved in financial transactions.  Shaw University’s funds may only be used for necessary and reasonable business-related expenses incurred in the furtherance of the University’s mission.  Dishonesty in all forms–fraud, theft and similar behaviors–are all failures of integrity that undermine the whole Shaw University community. 

Confidentiality in Student Affairs, Student Health, Human Resources

Shaw University creates and retains confidential records for a variety of business and University purposes, which must be kept confidential as a matter of federal and state law.  Members of the University community are expected to protect Shaw University’s information by properly safeguarding it whether it is in use or not; and discussing the information only with those who have a legitimate University need to know.  This information includes student records, medical records, and employee records.

Conflicts of Interest and Commitment Policies (Academic Affairs and Human Resources)

Community members should familiarize themselves and comply with Shaw University’s policies on Conflicts of Interest and Conflicts of Commitment and disclose potential conflicts as required by these policies.

Environmental Health and Safety

Shaw University complies with laws that preserve the environment and promote workplace safety.  It must operate its facilities with all necessary permits, approvals, and controls, especially with respect to handling and disposing of hazardous materials and waste.  Anyone working with or around these materials must be familiar with the statutes, regulations and policies that apply to them.  https://shawu.sharepoint.com/compliance/Financial Policies_SU.pdf

Human Resources and Personnel

Shaw University is committed to a work environment free of harassment and disruptive behavior and to an equal opportunity work environment where every member of the campus community is treated with fairness, dignity, and respect.  No one shall discriminate against any individual on the grounds of race, color, genetic information, national origin, sex, sexual orientation, gender identity, religion, age, disability, political affiliation, veteran or military status, or any other factor protected under law.  Specific policies related to these and other human resource issues are on the

Information Technology Services

Acceptable use of University services for students, faculty, other, employees, consultants, vendors, guests, and/or alumni is governed by IT policies, standards, procedures, and guidelines.  IT policies, standards, procedures, and guidelines protect the integrity, reliability, availability, and confidentiality of University services.  University services include but are not limited to computer systems, networks, software, hardware, and data. Acceptable use is defined as behavior compliant with federal, state, Shaw University’s policies, standards, procedures, and guidelines as well as industry standards and contractual agreements: https://shawu.sharepoint.com/compliance/IT Policies and Procedures

Property Management (Business and Finance & Operations)

Property Management supports the University’s mission by assisting departments in keeping track of their assets used for academic and administrative purposes.  This is accomplished by ensuring accurate records related to the acquisition, ownership, and disposition of fixed assets are maintained via computerized systems, disposing of surplus property, and establishing internal controls to safeguard assets.

Sponsored Research

Faculty and other staff who are involved in federally sponsored research must strictly follow all laws and procedures related to that work.  Violations can result in the loss of funds from grants and contracts, and, in some instances, civil fines and criminal penalties.  Compliance support is available through the Office of Sponsored Programs.  Further information on each can be found on the following website:

Student Financial Aid

The Student Financial Aid Office at Shaw University has adopted the Statement of Ethical Principles of the National Association of Student Financial Aid Administrators as the standards of conduct for employees.

Plagiarism

Plagiarism is not tolerated at Shaw University. 

Procedure

Training and Education 

Training on the University’s Compliance Program and its policies and procedures will be provided to the Board of Trustees, executives, faculty, other employees and, where appropriate, the organization’s volunteers and agents.  Usually proper training includes training on the Code of Conduct, and basic components of the compliance and ethics program.  In addition, training related to specific compliance areas is offered by the responsible offices. Training will be tracked, attested to, documented, and followed-up.  Periodic evaluations of training and education programs will be performed to determine, and, if necessary, improve the value, effectiveness, and appropriateness of any such program.

Communication

The University’s written policies and procedures are clearly communicated to members of the Shaw University’s community such that they can integrate them into their daily operations. Methods for accomplishing this include administrative notification, posting of policies and procedures on the Internet, inclusion in documents such as handbooks, position descriptions, performance evaluations, newsletters, and by the provision of training.

There are numerous ways for members of the University community to report suspected unethical, illegal or unsafe activity, as described below.

Reporting Criminal Behaviors

Students, faculty, other employees, and visitors are to report accurately and immediately any criminal offense, or suspected criminal activity directly to the University Police Department. The Campus Police can be reached via email: http://shawu.edu/CampusPolice/, or by calling on (919) 546-8249; the 24-Hour Emergency Number is (919) 546-8214.  A report may also be made anonymously at the Campus Conduct Hotline at (866) 943-5787.

Reporting Other Violations or Concerns

You are responsible for your decisions, both for reporting violations, and for failing to report them.  You may neither ignore/disobey laws or policies simply because you disagree with them, nor avoid compliance by seeking loopholes.

If you see or suspect unethical, illegal, or unsafe activity, do not ignore it–tell the University. You could prevent a potentially serious situation from harming the University. Talk to your manager—as your first point of contact.  Managers have a special duty to adhere to the standards set forth in this document, to recognize violations, report through applicable channels, and to enforce the standards.  Violations of applicable laws, University policies and standards, and retaliation against anyone who reports possible violations may result in an adverse employment action, as well as civil and criminal charges.

How to Report a Violation or Discuss a Concern

In most cases, you should report violations or concerns to your immediate supervisor or department head, if appropriate.  You also may directly contact Shaw University’s Compliance Officer listed below.  You may also choose to contact one of the specific support areas discussed above.

Compliance Officer:   919-719-1898

If you do not feel comfortable speaking with a manager or other administrator, you may call The Campus Conduct Hotline, an independent reporting service that allows you to communicate your concerns anonymously and confidentially by way of the internet or telephone any time of the day or night from any location. The information provided will be referred to the University for follow-up and appropriate action.

Shaw U’s Campus Conduct Hotline (toll-free)        866-943-5787

Reports submitted will be handled promptly and discreetly.

Non-retaliation

Retaliation against any person who in good faith reports a concern regarding potential or actual unethical or illegal conduct is strictly forbidden and will not be tolerated.

Enforcement through Disciplinary Policies

The Compliance Officer monitors disciplinary action taken pursuant to the University’s existing disciplinary policies and procedures to assure the punishment for non-compliance was taken fairly and firmly - proportional to the conduct.

In addition, the Compliance Officer will propose strategies and policies to encourage good faith participation in the compliance program by all affected individuals, including policies that articulate expectations for reporting compliance issues and assist in their resolution. These policies may outline sanctions for:

  • Failing to report suspected problems, which reporting is hereby required
  • Participating in non-compliant behavior, which participation is hereby prohibited
  • Encouraging, directing, facilitating, or permitting non-compliant behavior, all of which is hereby prohibited
  • Failing to perform any obligation or duty required of employees relating to compliance with this Program or applicable laws or regulations, which failure is hereby prohibited
  • Failure of supervisory or management personnel to detect non-compliance with applicable policies and legal requirements and this Program, where reasonable diligence on the part of the manager or supervisor would have led to the discovery of any violations or problems, which failure is prohibited.

Internal Auditing and Monitoring 

Monitoring provides on-going routine surveillance of actual performance and should be continuous and dynamic.  The University shall take reasonable steps, including monitoring and auditing, to ensure that the organization’s compliance program is followed, by:

  • Periodic evaluation of the effectiveness of the organization’s compliance program;
  • Routine monitoring of actual performance vs. expected performance; and
  • Review and periodic investigation of the current situation, including how the internal and external context is changing, the possible emergence of new risks, and whether controls remain effective for existing risks.

Monitoring may include line management reviews of risks and responses to those risks, implementation of a University-wide compliance calendar, internal auditing and external auditing.

Response to Detected and Corrective Action Plans 

  • After monitoring and auditing of the compliance program, the University will take reasonable steps to:
  • Respond appropriately to any violations of the law or policies to prevent future misconduct;
  • Modify and improve the organization’s compliance and ethics program; and
  • Make restitution when appropriate if criminal conduct is found

Periodic Risk Assessments 

A primary purpose of the University’s Compliance Program is to identify and assess significant compliance risks and implement internal controls to reduce these risks.  It builds on the existing University structures and improves the coordination, dissemination and communication of compliance information and identifies gaps in compliance.

The Compliance Officer will coordinate the compliance process identifying the most significant compliance issues facing the University, engaging the managers with day-to-day administrative responsibilities to identify the compliance risks and to develop mitigation plans, and building consensus among multiple departments and functions impacted by the potential risks.  Newly identified risks will result in the promulgation of new policies and procedures or revisions to old ones as well as action plans, where necessary, to address those risks.

Assessment & Review

Responsible Office: Compliance

Approval Date: February 20, 2020

Effective: Summer 2020

Review Period: 10 Years

Finance and Administration