USC Office of Compliance brochure

Office of Compliance

Your partner in doing things right

Ethics

* A currency that

never loses value

Who We Are Committed to furthering the educational mission of the University of Southern California (USC), the Office of Compliance is a resource for university administration, faculty, staff and other employees as they seek to navigate complex statutory and regulatory requirements.

The Office of Compliance works in partnership with the USC community to ensure an environment that meets the highest standards of ethical conduct and adheres to the university’s Code of Ethics. We do it by helping our faculty, staff and agents comply with all applicable laws, rules and regulations, and by collaborating with them to minimize or eliminate areas of risk and potential liability.

The support we provide includes: offering education, training and guidance to university personnel  developing and updating policies and procedures monitoring and overseeing university compliance efforts on a proactive basis  establishing an avenue for reporting instances of potential non-compliance or unethical behavior  preventing or reducing instances of accidental or intentional non-compliance, particularly in this time of increased government scrutiny in health care and higher education By providing critical expertise that fosters integrity in USC business practices, and by equipping the university community with the tools necessary to identify and address compliance challenges before they arise, the Office of Compliance plays an important role in strengthening USC’s reputation and impact, and enhancing its stature as a guardian of the public trust.

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What We Do At the Office of Compliance, our job is to make your job easier.

Vibrant and multi-faceted universities like USC are laboratories for discussion and discovery, shaping the face of social, political and scientific change. This potential for far-reaching impact occurs within a framework of extensive laws, regulations, and university policies focused on promoting sound ethical decisions.

The Office of Compliance assists USC personnel in meeting these legal and regulatory obligations.

Our effectiveness in the following areas helps make USC an exciting and rewarding place to work, live and learn.

Education and Training Through comprehensive education and training, the Office of Compliance ensures that USC community members understand the laws, regulations and university policies that apply to them. From in-person or web-based programs to newsletters, forums and committees, the Office of Compliance offers a wide range of opportunities for education and awareness.

The Office of Compliance’s education and training initiatives include, among others: the Research Administrator’s Forum the Grants Management Education Program HIPAA privacy and security information security, including protection of personal information contracts and grants training export controls billing and coding documentation healthcare providers’ relationship with vendors Contact us for information on these and other university-wide compliance education resources.

Policy Development USC’s Code of Ethics sets forth the standards of conduct for all university faculty and staff employees. As set forth in the USC Code of Ethics, ethical behavior is predicated on two main pillars: a commitment to discharging our obligations to others in a fair and honest manner, and a commitment to respecting the rights and dignity of all persons.

University policies expand on the principles described in the Code of Ethics and clarify the roles and responsibilities of university faculty, staff and other employees.

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* A promise our community can rely on

University policies include: Conflict of Interest and Ethics Complaint Procedures for Accounting and Auditing Matters Authority to Sign Contracts and Agreements Misappropriation of Assets A list of all university policies can be found at http://policies.usc.edu.

Monitoring and Auditing Systems

The Office of Compliance coordinates with USC’s Office of Audit Services to develop strategies for assessing and minimizing risk. In doing so, we are able to improve the university’s business processes and internal controls, as well as facilitate strong stewardship and management accountability at all levels.

Reporting and Investigation of Compliance Issues Central to the Office of Compliance mission — and to the smooth, effective and ethical operation of university business — is providing members of the USC community a safe and confidential way to report compliance matters or concerns.

The university encourages its faculty, staff and student employees to raise these concerns directly with their supervisor, chair or dean. In addition, the Office of Compliance has established the USC Help & Hotline (213.740.2500), which is available 24 hours a day and offers guidance regarding individuals’ compliance responsibilities. The Help & Hotline can be used to report suspected violations of laws, regulations and university policies confidentially and without fear of retribution.

Investigating good faith allegations of wrongdoing is also a key responsibility of the Office of Compliance. If the specific allegation falls outside our purview, we coordinate with those university departments or units that have oversight of the area in question, including Employee Relations, Equity and Diversity, Audit Services and the Office of General Counsel.

Enforcement When an Office of Compliance investigation reveals an instance of non-compliance, we work with the relevant USC department or unit to implement corrective action designed to prevent similar occurrences in the future. Corrective action could include any of the following: additional training and education changes in policies and procedures further auditing and monitoring disciplinary action  reporting and disclosures to the relevant government agency page 5

Our Help & Hotline 213-740-2500 The Office of Compliance Help & Hotline enables USC faculty, staff and students to ask questions and raise concerns about applicable laws, regulations and university policies that may impact their job duties.

Operating 24 hours a day, 365 days a year, the Help & Hotline can be used to report suspected violations of law or university policy privately and without risk of jeopardizing an employee’s position. If you have knowledge, or a good faith belief, that such a violation has taken place, report it to your supervisor, chair or dean directly, or call the Help & Hotline today.

The Help & Hotline takes your privacy and protection seriously:  W hile it is preferable to identify yourself so the matter can be investigated promptly and completely, you also may report your information anonymously. Reports to the Help & Hotline are kept confidential to the maximum extent possible. Calls are not recorded, nor can they be traced back to the caller.  Employers cannot retaliate against employees who provide confidential information in good faith regarding potential illegal activities in the workplace.  Employers cannot retaliate against employees for refusing to participate in an activity that would result in a violation of a state or federal statute, rule or regulation.

The Help & Hotline is a vital resource at your disposal in addressing questions such as:  Is there university guidance, policy or practice that relates to a particular job function I perform?

 Have I been asked to perform an activity that may violate an applicable law, regulation or university policy, or that simply feels wrong?  Are there other departments and units on campus that could serve as a resource to help me with my question or concern?

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Help & Hotline

*213-740-2500