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This office acts separately from any operating departments and with full independence. Reporting directly to the President, University Ethics and Compliance serves many roles:
- We advise the University on matters regarding compliance with all relevant applicable laws, rules, and regulations. This effort involves responding to questions and issues as they arise and proactively keeping departments apprised of regulatory developments and policy changes.
- We coordinate the enterprise risk management program and assist in identifying critical risks to the University; track and monitor identified risks; and provide support in assessing and mitigating risks.
- We assist management in the development of policies, procedures and guidelines intended to facilitate compliance with applicable laws and regulations.
- We conduct training and education programs to keep personnel apprised of policies and procedures.
- We perform ongoing monitoring and surveillance function by reviewing business activities, business transactions, and communications.
- We administer information between campuses and departments as well as coordinate with other control departments such as Risk Management, Audit and Advisory Services, and General Counsel.
- We conduct compliance investigations into possible violations of relevant laws, regulations, and University policies.
- We promote a culture of Ethics and Compliance.
- We ensure compliance with the Open Public Records Act.
The Senior Vice President for Enterprise Risk Management, Ethics, and Compliance also serves as the Chief Compliance Officer as well as the Chief Ethics Officer for the University with responsibility for policy and procedures, as well as compliance monitoring and enforcement.