University Compliance

All members of the WesternU community are responsible for adhering to applicable laws, regulations, and policies. In addition, each operational area is required to establish and maintain a compliance program that addresses the specific requirements relevant to its activities. The University Compliance Office provides oversight and monitoring of these compliance efforts to ensure effectiveness, mitigate risk, and uphold best practices across the university.

Key elements of the compliance program include the University Policy Office, mandatory training, and reporting improper conduct, which provides a secure and confidential way to raise concerns regarding unethical conduct or potential violations of laws, regulations, or university policies.

Misssion

The University Compliance Office supports WesternU’s mission by promoting integrity, accountability, and Humanistic excellence through the leadership and coordination of the University Compliance Program based on the federal elements of an effective compliance and ethics program.

As a collaborative partner, the UCO coordinates compliance oversight through clear standards, policies, and procedures; communication and training; monitoring and auditing; reporting and investigation; enforcement and accountability; and response and prevention to protect the University’s values and reputation.

Vision

To be a trusted partner and strategic resource that champions ethical excellence, proactive compliance, and a culture of accountability, enabling WesternU to thrive in its mission.

When to proactively engage University Compliance

University Compliance works best as an early partner prior to a triggering event (detailed in the section below). We strongly recommend contacting us at the planning stage for any of the following:

• Planning or conducting a compliance program assessment or analysis
• Evaluating your unit’s readiness for an incoming regulatory requirement
• Working through a potential or confirmed compliance incident or violation
• Identifying the right compliance partners and stakeholders for an issue
• Coordinating across units so efforts aren’t duplicated
• Raising a compliance question or concern, formally or informally

Trigger Events which require reporting to University Compliance

Notify University Compliance when any of the following occurs, so we can coordinate a response and escalate anything that needs broader attention:

• A change or update of a regulatory requirement impacting your department
• A regulatory agency or accreditation body schedules or conducts a review, site visit, audit, investigation or other similar activity
• Receipt of findings from a regulatory or accreditation review
• A state, federal, or third-party external audit concludes
• Results are issued from an external regulatory inspection or audit