Responsibilities

The Office of University Compliance is responsible for:

  • Promoting the highest standards of ethics and compliance;
  • Providing training and guidance to the university community;
  • Developing the annual compliance plan;
  • Facilitating the development and updating of rules and university administrative procedures;
  • Providing leadership and oversight for significant compliance activities and programs;
  • Conducting risk assessments to identify significant risk areas and emerging compliance risks;
  • Conducting investigations and facilitating the appropriate handling of hotline reports;
  • Conducting reviews related to identified risk areas and prior audit issues areas;
  • Promoting a fraud prevention program;
  • Serving as audit liaison for internal and external engagements;
  • Reporting to the System Ethics and Compliance Officer compliance processes put into effect under the compliance plan and, as appropriate, any suspected compliance violations that pose significant risk of injury or harm to persons, property or the surrounding community, or reputational harm.

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