Compliance FAQ


The short answer: everyone. 

Every day faculty, staff, and students working on behalf of the èƵ assume responsibility for conducting their operations subject to hundreds of federal, state and local laws and regulations. Compliance functions are integrated into these activities. Each of these departments operates as the institutional “expert” in laws and policies, and the institutional compliance program helps coordinate these compliance efforts. University compliance requirements span across operations and activities related to health and safety, civil rights, employment, research, information security and privacy, financial, global activities, and athletics.  With this large array of èƵ operations and activities, the scope and volume of applicable requirements are extensive.  Understanding these requirements and maintaining compliant and ethical èƵ operations with them is a challenging, all-hands-on-deck endeavor.

Further, under the Board’s direction each Chancellor holds responsibility and authority at their èƵ for compliance with state, federal, and èƵ regulations and policies, with the requisite institutional oversight and responsibility of the èƵ system’s compliance held by the President.

The University of èƵ operates in an increasingly complex regulatory environment, which requires us to sharpen our focus on accountability and ensure compliance with our legal and ethical responsibilities. Outside regulators and funding sources increasingly require that the èƵ have a system in place to ensure that University of èƵ understands its requirements and works to meet them.  The Board of Regents are strongly committed to creating a culture of compliance with all applicable federal, state and local regulations, laws, and policies. 

An institutional compliance function:

  • Fosters a culture that does not tolerate illegal or unethical behavior and prompts faculty and staff to consider the potentially adverse consequences of unethical conduct;
  • Solves problems by improving collaboration, and communication;
  • Reduces the risks of non-compliance, while increasing the likelihood of early detection and correction;
  • Provides a source of best practices and assistance for the entire èƵ community.

Compliance issues can be related to activities, situations, and transactions that could potentially violate federal, state, or local laws and regulations, or violate the University of èƵ’s policies, procedures, and rules.  Examples include violations of regulations associated with research, conflicts of interest, environmental concerns, information security, fire safety, and more.


Please use the guiding questions below to help you identify compliance or integrity issues.  If the answer to any of these questions is NO, then there is likely a compliance issue:

  • Are these actions legal?
  • Do these actions comply with èƵ policy?
  • Do these actions seem fair and honest?