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Compliance Responsibilities

We all must be extremely vigilant in how we conduct ourselves and perform our jobs. We operate in an increasingly complex environment with numerous laws and regulations to follow and many agencies monitoring our activities. The penalties for violating laws and regulations, even when they involve a good faith effort, are often severe.

University Compliance Responsibilities

  • Members of the University community are encouraged to become familiar with and consider the University’s Compliance Principles when performing his/her University business or obligations.
  • Members of the University community should strive, to the best of their ability, to be accountable and operate in compliance with applicable laws, policies, and other standards.
  • Members of the University community should report incidents of possible non-compliance or concerns to the appropriate University official or to Report Concerns anonymously as described on this website.

Compliance Committee

The Compliance Committee is comprised of representatives from the Office of the President, from each Vice Presidential area, and faculty representative(s). The Compliance Committee has been charged by the President to oversee the University Compliance Program to ensure its activities are are reasonably designed, implemented, enforced and effective in preventing and detecting noncompliance. The Compliance Program will coordinate the Compliance Program activities to ensure the University's perspective is always present when managing the University's compliance risks.

The Committee meets periodically to:

  1. Identify Compliance Program priorities;
  2. Recommend activities that encourage commitment to compliance and ethical conduct;
  3. Discuss emerging compliance issues and identify University-wide coordination issues;
  4. Assess and report progress regarding key compliance areas;
  5. Provide guidance and feedback regarding Compliance Program implementation items;
  6. Exercise reasonable oversight of the Compliance Program and provide timely reports to the Vice Presidents;
  7. Make recommendations to improve the Compliance Program, including coordination with Compliance Partners.

University Compliance Partners

University Compliance Partners are network of University staff members responsible for managing compliance activities in specific compliance areas. Compliance Partners:

  1. Recommend institutional policies and develop procedures relevant to their compliance areas;
  2. Ensure compliance training and support is available to University community members;
  3. Monitor compliance efforts and emerging issues within their compliance area and develop appropriate plans to address new issues;
  4. Respond to reports of potential non-compliance and implement appropriate corrective measures; and
  5. Coordinate with the Compliance Advisory Group, the Office of the General Counsel, Internal Audit, and other University departments on University compliance priorities

View all  University Compliance Partners.

Compliance Program Support:

The Offices of General Counsel, Internal Audit, and Equal Opportunity, Ethics, & Access serve as resources for the Compliance Working Group, Compliance Partners, and other University community members engaged in compliance activities. These Offices can assist Compliance Partners to identify emerging compliance issues and support Compliance Partners address compliance issues.