Reporting Compliance Concerns

Wake Forest University has established a department of Audit and Compliance Services to implement its Audit and Compliance programs. The Chief Audit and Compliance Officer is an independent and objective resource to review and evaluate compliance issues and is responsible for assuring the Board of Trustees, University President, administration, faculty, and staff that the University is striving to be in compliance with applicable laws, regulations, and procedures. If you wish to contact Audit and Compliance Services, you may call, email or send a written report to:

Audit and Compliance Services
Wake Forest University
Phone: 336.716.5128
Email: compliance@wfu.edu

Hotline

If you prefer, you may anonymously use the Hotline to report suspected violations of laws, regulations, rules, policies, procedures, ethics, or any other information you feel uncomfortable reporting to your supervisor or faculty administrator. When you contact the Hotline, you are anonymous. Calls and online reports cannot be traced and no effort will be made to identify you. The Hotline is administered by a third-party vendor, Navex. Information gathered from your report will be provided directly to Audit and Compliance Services. Appropriate response regarding your call will be available through a later call to the Hotline.

Resolving Compliance Concerns

The University has a policy that individuals who, in good faith, report compliance concerns to supervisors, faculty administration, Audit and Compliance Services, or the Hotline will not be subject to retaliation.

Calls made to the Hotline or Audit and Compliance Services will be evaluated by the Chief Audit and Compliance Officer, who will respond to allegations, concerns, or inquiries in a professional and impartial manner. All allegations will be investigated promptly, and if necessary, action will be taken to correct problems or violations of all federal, state, and local laws and regulations, and our Design for Excellence, rules, policies and procedures. To the extent practical, any disciplinary action or other response resulting from a complaint will be kept confidential by the Chief Audit and Compliance Officer and the Hotline staff.

Pro Humanitate

The Design for Excellence was developed with deep regard for the University mission and our motto “Pro Humanitate”. Our shared values of integrity, fairness, and respect for all individuals were principles that led this process. Also, we understood that Wake Forest, like all universities, has its own unique culture, growing out of our heritage, our history, and our symbols. Within our University environment, we embrace our obligations and our responsibilities to abide by, and work in concert with, published laws and regulations. By doing so, we help to preserve the basic values of University life.

References

The following federal laws and regulations were considered in the formulation of this guide and should be used for clarification as needed. This list is not intended to be exhaustive.

• Age Discrimination in Employment Act (ADEA)
• Americans with Disabilities Act (ADA of 1990 and the ADAA of 2008)
• Campus Security Act (now “Clery Act”)
• Civil Rights Act of 1964
• Clinical Laboratory Improvement Amendments (CLIA) Program
• Drug-Free Schools and Communities Act of 1989
• Drug-Free Workplace Act of 1988
• Equal Pay Act (EPA)
• Family Educational Rights and Privacy Act (FERPA)
• Gramm-Leach-Bliley Act (GLB)
• NC Identity Theft Protection Act of 2005
• Sarbanes-Oxley Act of 2002 (SOX)
• Section 504 of the Rehabilitation Act of 1973
• Uniformed Services Employment and Reemployment Rights Act (USERRA)