Ethics & Compliance Program

Wake Forest University’s ethics and compliance program establishes a framework to navigate complex regulations, uphold ethical standards, and prevent misconduct. It encompasses the following seven core elements as established by the U.S. Department of Justice and reflected in U.S. Sentencing Comm’n, Guidelines Manual, §8B2.1(b):

Policies and Procedures: Implementing written standards of conduct and operational guidelines tailored to university operations, such as research integrity, Title IX, and privacy.
Oversight and Leadership: Designating a Chief Compliance Officer and a compliance committee to manage institutional risk.
Training and Education: Conducting routine, required training to ensure all faculty, staff, and students understand their legal and ethical obligations.
Effective Communication: Maintaining confidential, non-retaliation reporting channels (like an ethics hotline) for the campus community to ask questions or report violations.
Auditing and Monitoring: Performing periodic internal reviews and risk assessments to detect gaps and ensure compliance controls are functioning properly.
Enforcement and Discipline: Enforcing compliance standards consistently across the institution, up to and including termination, regardless of the individual’s rank.
Response and Corrective Action: Promptly investigating detected offenses and implementing corrective action plans to prevent recurrence.