The purpose of the office is to:
- Evaluate and analyze current practices, processes, and procedures against requirements of law and policy to identify potential gaps in compliance and recommend preventative actions to improve compliance.
- Provide senior management with tools and resources to manage compliance functions on campuses and at UW System Administration.
- Support and help build a culture that moves beyond regulatory compliance and promotes integrity and right doing in all activities and communities of the UW System.
- Assist campus and UW System leadership in understanding and addressing the universe of compliance risks.
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, Clery Act, Ethics, 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.
- The Director of Compliance shall report to the General Counsel for UW System.