Purpose

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.

 

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, 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.

 

Oversight

  • The Director of Compliance shall report to the General Counsel for UW System.