University Compliance and Ethics, under the direction of the vice president for compliance, ethics, and risk, chief compliance and ethics officer, is charged with implementing and sustaining the university's Comprehensive Compliance and Ethics Program and the ongoing development of effective policies and procedures, education and training, monitoring, communication, risk assessments, and responding to reported issues. The office partners with responsible university personnel to monitor compliance and ensure appropriate corrective actions when necessary.
Core functions of the office include:
- Compliance Training
- Conflicts of Interest and Commitment
- Foreign Influence Review and Reporting
- Gifts and Honoraria Review and Guidance
- Guidance on Compliance and Ethics Related Matters
- Implementation of New Laws and Regulations
- Investigations
- Privacy Compliance
- Regulatory Reporting and Inquiry Response
- UCF IntegrityLine
- Youth Protection Program
Compliance and Ethics Advisory Committee
The Compliance and Ethics Advisory Committee is comprised of subject matter experts who are responsible for compliance in their respective areas, as well as representatives from the Faculty Senate and Staff Council, Office of the Provost, Office of the General Counsel, and University Audit. The compliance committee advises the vice president for compliance, ethics, and risk, chief compliance and ethics officer on the implementation of the comprehensive compliance and ethics program and the mitigation of compliance and ethical risks at UCF. In addition, the purpose of the committee is to ensure effective and consistent communication and that the elements of the Plan are implemented at all levels of the institution. The committee members are charged with promoting a culture of ethics, accountability, and compliance at UCF.
Compliance Partners
The key to the Program's success is fostering a culture of ethics, compliance, and accountability that weaves compliance into everyday business processes at UCF. To achieve this goal, the Accountability Matrix identifies the compliance and ethics requirements, the individuals responsible for those areas, and the vice president accountable for compliance and ethical conduct, as well as for ensuring that those areas are appropriately staffed and supported.
These individuals, referred to as compliance partners, play an important role in ensuring that the Program is effectively implemented and that risks are mitigated. Each compliance partner has a dotted line of responsibility to the vice president for compliance, ethics, and risk, chief compliance and ethics officer. They are required to report any incidents of noncompliance or unethical conduct, external requests related to compliance and ethics activities, or any imposed restriction or barrier to the effectiveness of their function or the Program to the vice president for compliance, ethics, and risk, chief compliance and ethics officer. The compliance partners annually report the effectiveness of compliance and ethics initiatives within their area of responsibility to University Compliance and Ethics.