Aloha Center rooms 155 and 165 were filled with need-to-know legal displays, posters, handouts, and reminders; all nicely complimented with a centerpiece filled with a wide array of elegant fruits. Savanna Dilts, graduate intern, and BYU-Hawaii supervising compliance auditor, orchestrated this year's compliance fair of speakers and presentations. Four different speakers addressed pertinent legal issues directed to university staff, faculty and students about how to be in compliance with the Family Educational Rights and Privacy Act (FERPA) and in copyright and safety law. Dilts invited all faculty, staff and students to learn and know their personal rights under the law.
She emphasized that "in a direct effort to support President Steven C. Wheelwright's charge from his letter May 19, 2008, this year's compliance fair emphasizes how important it is for each of us to know and understand our legal and moral rights under the laws of the land." Dilts wants to be sure "everyone at BYUH is informed about how important it is to be committed to fostering a culture of ethics and maintaining compliance with all federal, state and local laws."
During the past two years the University Compliance Department has been creating and implementing a comprehensive compliance program. Dilts reports these compliance efforts have been developed from the Federal Sentencing Guidelines, effective November 1, 2004. The guidelines were first issued in the early 1990's, but were modified in 2004 because of an unacceptable corporate culture in the United States that allowed for experiences like Enron, WorldCom and Tyco.
To further clarify, Dilts explains "the greatest shift in thinking behind changes in the federal guidelines is from a focus on compliance to a broader perspective that examines the corporate culture and the role of both ethics and compliance." Under these new guidelines, Dilts explains that to have an effective compliance and ethics program here, we need to do two things:
1. Exercise due diligence to prevent and detect criminal conduct.
2. Promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.
"To succeed," Dilts reports, "this ethical culture is directed from the top and implemented by everyone. All levels of the university staff, faculty and students must take an active role in the content and implementation of a compliance and ethics program. A compliance program is supported by clear expectations, organizational training, direct and timely reporting, and effective corrective action as necessary."
Dilts points out that in 2006, the BYU-Hawaii President's Council established the Executive Compliance Committee (ECC). The committee includes university vice presidents, Assistant to the President, Chief Technology Officer, university compliance officer and is chaired by legal counsel. This council is ultimately responsible for university compliance, performance and reports to President Wheelwright.
There is also a Working Compliance Committee (WCC) comprised of managers and directors from across campus providing functional support to the ECC. The responsibility of this group is to establish clear measureable expectations, identify responsible compliance officers, and establish reporting lines. Dilts reveals that "supporting these efforts to implement compliance law and establish ethics and morals complementing the values the Church creates a positive culture that must be maintained by the campus ohana." This culture of ethics is addressed and fully explained by President Wheelwright.
This website contains information which presents President Wheelwright's expectations as the BYUH ohana actively participates in compliance efforts. President Wheelwright states: "As faculty and staff, we all need to be aware of the laws, regulations and policies governing campus operations. Each of us has an obligation to perform their duties to be the best of their ability within legal and ethical standards. Those who manage and supervise others have the added expectation of monitoring and counseling those within their stewardship on compliance issues. We need to set a good example for the community and student body by honoring the laws and maintaining the highest ethical standards."
Dilts reminds us, whether we choose to recognize it or not, compliance is everyone's job. The President points out that the primary responsibility of the compliance committee is to assist and review. Dilts continues, "The real work on compliance has to be managed by line managers, but everyone here on campus must implement the laws, standards and directives as prescribed."
It is important that everyone make every effort to understand and act according to the spirit of the laws and policies governing our actions. As explained by President Wheelwright, "there must be an expectation of honor and integrity in the classroom, on the job, around campus and in our personal life off campus. We must do this to protect the integrity of the University."
"The mission of Creating a Culture of Compliance," concludes Dilts, "is that all of us must support the university's compliance efforts and assist the university "Ohana" to understand and foster a more complete culture of honesty, ethics, and compliance to federal, state and local laws and regulations, and in addition incorporate policies set by The Church of Jesus Christ of Latter-day Saints."
The functions of the Compliance Department are primarily to, create awareness, perform compliance support, consult departments and individuals throughout BYU-Hawaii. This includes identifying risks for various university units, providing related tools and materials, developing reasonable and effective recommendations, documenting processes, and evaluating control activities designed to mitigate risk.