UA Institutional Compliance Program

National Compliance Week, an annual event November 6-10, provides a valuable opportunity to increase awareness among University of èƵ employees regarding institutional compliance.


Institutional Compliance Framework 


Compliance Framework Elements 

Operational responsibility for compliance with myriad of federal and state laws, regulations, and contractual requirements is distributed across the UA system. This means that many departments are responsible for monitoring applicable requirements to maintain compliant operations and to develop and maintain appropriate policies. 

The University of èƵ’s Institutional Compliance Program establishes system wide efforts to help coordinate compliance activities, ensure the institutional compliance perspective is always present, assess existing programs against best practices for effective compliance programs, and provide guidance for improvements. 

Elements of an Effective Compliance Framework:  Policies procedures and standards of conduct; Designating responsibility for compliance; Existence of requirements for training and education; Maintaining lines of commmunication; Methods for internal risk assessment, monitoring and auditing; Methods for enforcement of policies, procedures and standards; Actions are taken when noncompliance occues.

 

Standards of Ethical Conduct

All UA employees, full or part-time, are subject to the and its implementing published by the Department of Law.  Additionally, the University has a chapter in its Regents Policies and University regulations concerning Ethics and Conduct (04.10).

Contact information

Mary Gower

Mary Gower

Senior Institutional Compliance Liaison, MBA, CCEP

Office of Audit and Compliance Services