University Ethics and Compliance Charter

Vision, Mission, Values, and Goals

Rutgers University Ethics and Compliance (UEC) is a supportive and creative partner that will protect the University and its community by setting the standard for ethical and appropriate business conduct.

Our mission is to analyze and help mitigate organizational risks; to provide support and education to help meet complex compliance requirements; to promote an environment focused on mutual respect and integrity; and to enhance the operational, compliance, financial, strategic, and reputational goals of our Rutgers partners.

We value:

Integrity and Trustworthiness

We commit to delivering services that improve Rutgers’ ability to achieve its goals through our honest words and reliable actions.

Respect and Inclusion

We welcome, support, and embrace the unique experiences and differences that each of us brings to our team and to Rutgers.

Accountability and Commitment

We fulfill our mission and support Rutgers’ goals by taking responsibility for our individual and collective actions.

Teamwork and Professionalism

We pledge to work together in partnership with the Rutgers community to strengthen the capabilities of the University.

The goals of University Ethics and Compliance are to create and sustain a comprehensive institutional ethics and compliance program that educates the Rutgers community about compliance requirements; collaborate with University units to enhance policies and procedures; review organizational activities to evaluate their ability to meet policy and regulatory compliance expectations; investigate and respond to ethical and compliance concerns; identify and mitigate internal and external risks that impact the ability to achieve organizational objectives; and foster a Rutgers environment that focuses on respectful and professional interactions.

Roles and Structure

• The Board of Governors Committee on Audit oversees and authorizes the activities of University Ethics and Compliance. Its role is to oversee the quality and effectiveness of the ethics and compliance program, to review procedures for managing the University’s compliance hotline reporting system and for responding to submitted complaints, to assess management’s effectiveness with respect to addressing incidents of non-compliance, and to ensure that all activities and operations of the University are available for compliance and risk assessment activities.
• The University President supports the program by promoting a culture of ethics and compliance throughout the University, directing the provision of appropriate resources to the program, and meeting regularly with the ethics and compliance leadership to discuss risk, ethics, and compliance issues facing the University.
• The Vice President, Chief University Compliance Officer (VP) reports to the President of the University and to the Chair of the Board of Governors Committee on Audit and, as the institutional officer responsible for the effective implementation of the ethics and compliance program, is responsible for the strategic oversight of UEC. The VP collaborates with other institutional leaders to analyze and address risk management, ethics, compliance, public records, and investigative functions throughout the University.
• The Associate Vice President and Deputy Chief Enterprise Risk Management, Ethics, and Compliance Officer reports to the Vice President and is responsible for day-to-day operational administration of UEC, including such activities as the administration of the compliance hotline; coordinating compliance, privacy, and investigative activities; conducting independent clinical coding audits to evaluate provider accuracy and compliance; collaborating with unit leaders to identify, assess, monitor and close compliance gaps; and identifying and responding to institutional risks.
• The University Senior Leadership Team and Chancellors provide leadership and support for compliance initiatives within their operational responsibility, bring compliance concerns to the attention of the SVP, and advise the SVP and AVP with respect to UEC’s enterprise risk management, ethics, and compliance activities.

Responsibilities

UEC’s core functions include:

• Overseeing the development, implementation, maintenance of, and adherence to a comprehensive institutional compliance program that:
  • Helps management ensure that appropriate and current policies, procedures, and standards of conduct exist and are well-documented
  • Assigns responsibility for compliance oversight to individuals and committees with appropriate authority to ensure compliance
  • Conducts or provides relevant training and education to promote broader understanding and awareness of compliance expectations
  • Maintains effective communication channels to help discover and respond to incidents of non-compliance
  • Conducts internal monitoring and auditing to evaluate the ability of policies, procedures, and practices to meet compliance expectations and to assess the effectiveness of internal controls
  • Promotes consistent and effective response to incidents of non-compliance through the University’s application of disciplinary standards
  • Ensures prompt corrective action to non-compliance
• Administering a strong ethics program with particular attention to the expectations of the Rutgers University Code of Ethics and relevant State laws and guidance
• Operating an institutional risk management program designed to analyze, mitigate, and monitor strategic, operational, financial, regulatory, reputational, and cultural risks facing the University
• Ensuring effective administrative support to meet the requirements of the New Jersey Open Public Records Act (OPRA)
• Provide independent, unbiased evaluation related to individual and unit compliance with current rules, guidelines, and regulations