Our Compliance Program

The Federal government’s guidelines for an effective ethics and compliance program prescribe two overarching requirements. First, the University must “exercise due diligence to prevent and detect criminal conduct.” Second, the University must “otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.” 

Beyond those two foundational principles, the Guidelines identify seven essential elements for effective compliance programs. The compliance profession has refined those elements to better define how they work in practice. Each of those elements is set forth below, together with a description of University Ethics and Compliance Office activities associated with each element. 

• Standards of Conduct, Policies and Procedures
• Compliance Officer and Compliance Committee
  
• Education
• Monitoring and Auditing
  
• Reporting and Investigating
  
• Response and Prevention
  
• Enforcement and Discipline