Compliance Aids

Topics & Owners

Compliance owners are those individuals who, based on their responsibilities and subject matter expertise, oversee compliance efforts in certain topic area. Compliance owners may develop and implement policy, conduct risk assessments, provide training for personnel, and monitor activities related to regulations under their purview. The Compliance Matrix provides detailed information about each regulatory requirement, including who acts as the compliance owner and who provides additional expertise as a compliance partner when multiple subdivisions of the university are impacted by the regulation. This document provides a listing of broad compliance areas and the compliance owners involved in those areas.

Work Plan

USU develops a compliance work plan each year to guide the overall development and maintenance of USU’s compliance program and framework. The work plans facilitate the maturation of USU’s compliance efforts, and communicate to the USU community, the Board of Trustees and the public the compliance and ethics goals and objectives USU is pursuing.

Matrix Life Cycle

The Compliance Matrix is a living document in the sense that it is constantly changing as the compliance environment develops. In order to maintain the matrix, a process has been established that allows compliance owners and responsible executives throughout the university to update regulations and the personnel who work on them, and to provide new resources as they are developed. The Compliance Office works with compliance owners to make sure that the matrix accurately reflects the regulations USU responds to and the compliance leaders that provide oversight.

Documentation Review

Similar to USU’s Contract Review process, the Compliance Documentation Review Form is available as a guide for verifying for third parties that USU is compliant with US Government regulations and has assigned appropriate personnel, when required, to provide review and oversight of regulatory requirements. The Chief Compliance Officer is responsible for coordinating efforts to provide necessary certifications and representations using the Compliance Review process.

 

Working Group

The president and the executive committee provide oversight of USU’s compliance activities. This leadership team ensures that the “tone is set at the top” with regard to establishing a culture of compliance and integrity. A second group of compliance leaders – the Compliance Working Group (CWG) – has also been identified to guide the development and implementation of USU’s Compliance Framework and Code of Conduct. These are foundational documents that will make USU’s compliance program more robust. The CWG will be involved in developing work plans, implementing training and outreach programs, and identifying USU compliance risk portfolio.