Our Role

This office acts separately from any operating departments and with full independence. Under the president of the university, the Office of Enterprise Risk Management, Ethics, and Compliance serves many roles:

  • We advise the university on matters regarding compliance with all relevant applicable laws, rules, and regulations. This effort involves responding to questions and issues as they arise and proactively keeping departments apprised of regulatory developments and policy changes.
  • We coordinate the enterprise risk management program and assist in identifying critical risks to the university; track and monitor identified risks; and provide support in assessing and mitigating risks.
  • We assist management in the development of policies, procedures and guidelines intended to facilitate compliance with applicable laws and regulations.
  • We conduct training and education programs to keep personnel apprised of policies and procedures.
  • We perform ongoing monitoring and surveillance function by reviewing business activities, business transactions, and communications.
  • We administer information between university campuses and departments as well as coordinate with other control departments such as risk management, internal audit, and Office of General Counsel.
  • We conduct compliance investigations into possible violations of relevant laws, regulations, and university policies.
  • We promote a culture of Ethics and Compliance.
  • We ensure compliance with the Open Public Records Act.

The Office of ERM, Ethics, and Compliance also serves as the chief compliance officer as well as the chief ethics officer for the university with responsibility for policy and procedures, as well as compliance monitoring and enforcement.