The term compliance refers to adherence to both external legal and regulatory requirements (such as federal and state laws) and internal policies, procedures, and expectations. The University Compliance Plan is the coordination and operational structure the university uses to support compliance across the university.

Compliance functions at the university are integrated into practices and procedures that take place throughout the university every day.  Compliance with laws, regulations, and university policies is everybody’s responsibility. University Compliance, and compliance partners, promote and oversee efforts through training, communication, monitoring, assessment, reporting, and corrective actions.

The Chief Compliance Officer provides centralized leadership and high-level oversight for the university’s compliance programs and activities; provides guidance and advice to senior management and staff on compliance matters; and works to promote a culture of compliance and ethical behavior.

Any potential ethical, policy, or legal violation can be reported. Reporters are asked to provide a description of the type of incident; descriptions provided include a range of issues such as Abuse of Benefits, Internal Financial Controls, Fraud, IT Security, Substance Abuse, Theft of Property and numerous other descriptors.  If none of the pre-determined descriptions accurately describe the situation, reporters may select “Other” as a general descriptor.

Once a report is submitted, it cannot be directly amended or edited. However, reporters can supplement the original report by providing clarification, additional information, or supporting documentation.

When reports are submitted, they are reviewed by designated University Compliance staff.  University Compliance staff then conduct an initial assessment to determine if the report contains information that is actionable and which university offices or employees have a role in resolving/addressing the reported concern(s); reports are referred to an office or university employee to complete review and response.  All offices and employees involved in handling reports are instructed to maintain confidentiality and handle the information with discretion.