Resources for Compliance Professionals

Policy FAQs

The Compliance Office can provide assistance to policy sponsors on campus by reviewing drafts of policies and the Policy Impact and Tracking statement, submitting the policy to the Senior Leadership Team for conceptual review and approval, and providing guidance on how to obtain input from shared governance bodies. For more information, consult the Procedure for Creating and Revising University Policies.

A Policy Sponsor for a new policy or a revision to an existing policy no longer needs to be a member of the Senior Leadership Team (SLT). A Policy Sponsor can be an Administrator or compliance professional who oversees the policy's responsible unit.

A new policy or revisions to an existing policy must receive conceptual approval by the Senior Leadership Team (SLT) before beginning the minimum 30-day stakeholder feedback period. If you have already sought feedback from groups across campus to build your new policy or revisions, you must still follow the 30-day minimum to receive additional feedback. At the end of the stakeholder period, the policy can be submitted to SLT for final endorsement and then to the president for approval.

For more information about the process, refer to the Procedure for Creating and Revising University Policies.

The Compliance Office is here to support your compliance work across campus

Compliance Office Outreach Materials

PDF icon Compliance Office Flyer.pdf

For Ethics and Compliance Hotline magnets, contact

Past Events

FSO and Compliance Movie Day: Unraveled May 23, 2019  
Compliance Speaker Series: Best Practices in Compliance Training May 20, 2019

PDF icon Accessible Trainings 2019.pdf

Compliance Speaker Series: Creating a Culture of Compliance April 18, 2019

PDF icon Make Challenging Conversations Effective.pdf

Public Records Presentation by Danee Garone, Arizona Ombudsman April 3, 2019

File Public Records Presentation.mp4 (67.17 MB)

Compliance Speaker Series: Conducting Investigations March 20, 2019

PDF icon Sample Investigative Report.pdf

Compliance Speaker Series: Developing Policies and Procedures February 15, 2019

File Guidance Template.docx

File Investigation Report Template.docx

File Work Instruction Template.docx

File Standard Operating Procedure Template.docx

File Example- Good Documentation SOP.docx