Purpose
The Office of Compliance and Integrity provides support and services to UW System universities in identifying and fulfilling compliance obligations under federal law, state law, and UW System policies and procedures. We seek to create and promote a culture that moves beyond regulatory compliance to one that embraces ethical behavior and integrity across UW System.
Our compliance and integrity efforts encompass the following areas of focus:
- Title IX and Sexual Misconduct
- Clery Act Compliance
- Protection of Minors
- Public Records
- Records Management
- Ethics and Conflicts of Interest
- State Authorization of Distance Education Programs
- Mediation and Facilitation
- Investigative Services
Responsibilities
The Office of Compliance will:
- Evaluate UW System compliance framework against the UW System Key Elements of an Effective Compliance Program and develop Annual Work Plans based on this framework.
- Monitor internal and external compliance environments; produce reports; identify and communicate potential risks and vulnerabilities to university decision makers; and establish processes to coordinate and communicate internally regarding the UW System’s compliance with federal, state, and local laws, rules and regulations as well as institutional policies.
- Coordinate educational and training programs to ensure that members of the university community understand the compliance responsibilities relevant to their work.
- Build collaborative relationships and establish regular communication processes with compliance partners with UW System and between and among the comprehensive institutions.
- Collaborate with UW System Risk Management to evaluate and prioritize compliance risks to the UW System and develop mitigation plans to lower risks and probability of noncompliance.
- Assist management and staff in high risk compliance areas across the UW System with development and maintenance of compliance programs.
- Oversee the compliance program for Title IX, youth protection programs, Clery Act, Ethics, State Authorization, records management and Wisconsin Public Records Law.
- Periodically advise the Audit Committee of the Board of Regents, the UW System President, and the Risk and Compliance Council on key compliance risks and gaps within the UW System.
- Develop tools and resources to leverage expertise and share best practices amongst UW System institutions in an effort to address common barriers to compliance.
Oversight
- The System Chief Compliance Officer shall report to the Board of Regents through the Audit Committee directly and to the President of the System.