Compliance Awareness, Education, and Training

Compliance education and training is a critical element of an effective compliance program. Â鶹´«Ã½ provides general and specific compliance education and training so that Â鶹´«Ã½ employees understand their obligations and responsibilities in accordance with applicable laws, regulations, and policies.  

Â鶹´«Ã½ Required Training (all Â鶹´«Ã½ employees)

Employees are expected to complete required compliance education and training within the time frames and frequencies established by the university or department requiring and/or providing compliance training. Employees may have additional training requirements of their specific university and/or department. See the required employee training on the HR Website.

Specific Compliance Education & Training Content and Delivery

It will be the responsibility of the individual, department or committee having regulatory compliance oversight to develop the content and deliver specific compliance education and training related to their area of regulatory oversight responsibility. The content of these educational and training programs should include those areas mandated by law, regulation and/or policy and may include a review of relevant compliance requirements applicable to that regulatory compliance area, identified or potential risk areas, responsibilities, and methods to improve compliance. 

Training Materials

Records of completion of required compliance education and training shall be maintained by the department or committee responsible for delivery of the education and training in accordance with institutional/regulatory guidelines. Summary reports of compliance with mandatory compliance education and training requirements shall be compiled by the department responsible for the education and training at least annually or more often as necessary and be made available for review, upon request, to university leadership.

Supervisor Responsibilities

The promotion of and adherence to compliance with applicable laws and regulations is an integral part of a university leader’s role. Supervisors can exemplify this by:

  • Completing all required compliance education and training for their respective position.
  • Informing employees of required compliance requirements specifically related to their job function and appropriately monitoring employees to verify compliance with those requirements.

Â鶹´«Ã½ Compliance Leadership for Supervisors Training - Slide presentation

Ethics Act Compliance

All Â鶹´«Ã½ employees are required to complete an annual Ethics Act Compliance & Annual Disclosure of Employment or Services Outside Â鶹´«Ã½ to disclose any work Â鶹´«Ã½ employees perform outside of University employment, including any self-employment, independent contracting, or consulting. All compensated outside activities are to be disclosed, and even volunteer outside work, if the employee is reimbursed for anything in connection with that volunteer work or if the volunteer work might involve the same issues or people as the employee’s University duties, or interfere with our University responsibilities. Employees with no outside activities are not required to submit the attestation.

Additional ethics information can be found on the General Counsel website.

Standards of Ethical Conduct

All Â鶹´«Ã½ employees, full or part-time, are subject to the  and its implementing  published by the Department of Law.  

Applicable policy and regulation related to employee’s compliance responsibilities includes but is not limited to: