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Compliance: Assessment & Inventory

Date approved:
July 2012
Approved by:
WJU Audit Committee
Date to be reviewed:
January 2015
Reviewed by:
Compliance Coordinator/Team
Date revised:
February 2014
Revision number:


The Wheeling Jesuit University compliance program is a proactive approach to insure University-wide compliance with all relevant federal, state and local regulations, internal University policies, and the requirements of the various organizations in which the University voluntarily participates in conformance with U.S. Sentencing Guidelines.


2.1 Policy Statement

    1. The compliance coordinator will lead a compliance team comprised of individuals with functional expertise in each of the following areas:
      • Athletics: versed in NCAA regulatory requirements.
      • Advancement: versed in branding, marketing, communications, and public relations.
      • Sponsored Programs: versed in governmental compliance and oversight.
      • Business Office: versed in matters of taxation and financial regulation.
      • Facilities: versed in buildings, grounds, public health, environmental, and safety regulations.
      • Student Development: versed in student-related activities.
      • Enrollment: versed in matters of financial aid and recruiting.
      • Information Technology: versed in software applications, web services, and internal / external systems.
      • Human Resources: versed in employment issues; also includes the Counseling Center, EAP, and safety.
      • Faculty: versed in the various educational areas and practices.
    2. The compliance coordinator, with the assistance of the compliance team, will then:
      • Develop a policy on policies to improve appearance and consistency of University policies,
      • Complete a thorough assessment that includes collecting, assessing, and inventorying existing policies.
      • Determine which policies must be developed in support of federal, state, and local regulations and the various organizations in which the University voluntarily participates.
      • Determine the risk associated with policies and revise to minimize potential issues.
      • Develop a comprehensive, University-wide, Compliance Inventory listing all policies on campus.
      • Review all policies for format and clarity; approve additions to the Compliance Inventory.
      • Revise policies and the Compliance Inventory in response to audits and corrective actions.

2.2 Definitions

  1. Risk - The probability that an event may occur and the severity of the potential negative outcomes.
  2. Compliance Area - A department within the University whose compliance with legal, regulatory, and internal policies is mandated by the regulatory agency or association to which the University belongs.
  3. Compliance Inventory - A comprehensive list of internal policies by Compliance Area.


The authorization for this policy emanates from the Wheeling Jesuit University Board of Trustees; it cannot be changed or modified absent the express written consent of the Audit Committee.


Policy on Policies

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