Welcome to Utah State University's Office of University Ethics & Compliance

The Office of University Ethics & Compliance facilitates collaborative efforts among USU compliance owners and partners to identify laws, regulations and policies that impact university operations. Integration of regulatory expectations into our governance and management activities builds trust and sustains excellent programs in a safe and ethical environment. University Ethics & Compliance focuses on ensuring equity, transparency and integrity for all members of our community.  Key elements of USU’s compliance program include:

  1. Oversight by the President and USU's Executive Committee of compliance efforts across the USU system;
  2. Development and Implementation of compliance activities - including policies and procedures - in accordance with the Compliance Framework ; and
  3. Accountability established through the Compliance Matrix, which lists all major regulatory requirements that affect USU, and identifies senior leadership, compliance owners and a network of compliance partners that collaborate to meet regulatory requirements.

Executive Committee & Compliance Coordination Working Group

The USU Executive Committee oversees compliance activities such as policy development, training and monitoring throughout USU’s programs and activities. Members of this committee include the responsible executives who provide leadership in the key operational areas listed in the Compliance Matrix.

A Compliance Coordination Working Group (CCWG), made up of compliance owners and partners with responsibilities in regulated areas of university operations, work together to assess USU's Compliance Framework and compliance responsibilities and identify gaps in USU's policies, procedures and practices that represent compliance risks to the organization. See the Compliance Topics and Owners list for information about compliance owners at USU.

The Compliance Framework

USU’s Compliance Framework combines concepts from the US Federal Sentencing Guidelines and the Council on Sponsoring Organizations (COSO) Internal Controls Guidance – the two most common models for compliance programs in higher education – to provide a strong foundation for USU’s compliance activities.

The five components of USU’s Framework include:

The Compliance Matrix

USU’s Compliance Matrix organizes the compliance requirements USU faces into topic areas that are each overseen by a Responsible Executive.   Each regulation and requirement is identified, and a compliance owner is named who has the necessary content knowledge to lead USU’s efforts related to the listed requirement. Partners throughout USU are also listed who will be able to contribute discipline-specific content for those requirements that impact multiple operational areas.