Mission Statement: To promote and support a culture at the University which cultivates compliance awareness into the daily activities of the University and encourages all members of the University community to conduct University business with the highest standards of honesty and integrity.
Background: The University operates in an increasingly complex environment with numerous laws, regulations, and agencies that govern and monitor institutional activities. The penalties for violating laws and regulations, even when they involve a good faith effort, are often severe. Therefore, the Compliance Program is designated to encourage members of the University community to comply with laws and regulations, and to engage in personal accountability, and ethics in performing their duties at the University.
The Compliance Program's principal functions include:
- Coordinating, monitoring, and, when appropriate, improving, the University's various compliance functions; and
- Ensuring the institutional perspective is always present when managing the University's compliance risks.
The Compliance Program's goals are:
- Improving the University's coordination, dissemination and communication of compliance information, while identifying compliance gaps by building on existing University structures;
- Fostering an organizational culture that encourages a commitment to compliance and ethical conduct in the University community and improving communication within the University regarding compliance challenges;
- Assisting the University community with compliance related processes, identifying emerging compliance trends, providing compliance support activities, and coordinating and managing compliance risks;
- Promoting compliance awareness by assisting in the development and delivery of compliance related training; and
- Serving as a resource for the University community by providing the means for the community to obtain assistance with compliance issues and report concerns related to compliance.
Applicability: The Illinois State University community is responsible for maintaining the highest ethical standards and complying with applicable laws and regulations.
Roles and Responsibilities: The following is a description of the roles and responsibilities for each member of the University community in building and developing the Compliance Program.
Compliance Committee: This group is comprised of representatives from the Office of the President, each Vice Presidential division, and faculty. The Compliance Committee is charged with at least once per academic year to:
- Review existing University policies and procedures to ensure they are based on University values, are consistent with other policies, reflect the University's commitment to good practices, and follow the law;
- Identify priorities for the Compliance Program that support the University's mission using risk management principles;
- Recommend activities to promote an organizational culture that encourages a commitment to compliance and ethical conduct;
- Discuss emerging compliance issues and identify University-wide coordination issues;
- Assess and report progress regarding key compliance areas;
- Provide guidance and feedback regarding compliance program implementation items to the appropriate Associate Vice President(s) or administrative unit(s);
- Exercise reasonable oversight of the Compliance Program and provide timely reports on the Compliance Program and particular compliance matters to the Vice Presidents;
- Make recommendations to improve the Compliance Program, including coordination with Compliance Partners; and
- Assist supervisors and members of the University community to become familiar with compliance responsibilities when performing their University business or obligations.
Compliance Partners: Compliance Partners are the University personnel assigned with the day-to-day responsibilities of managing compliance activities for specific departments/units. For a list of Compliance Partners and their designated areas of oversight, please visit the Compliance Matrix at https://compliance.illinoisstate.edu/resources/. Compliance Partners will:
- Recommend institutional policies to the appropriate Vice President(s) and develop procedures relevant to their compliance areas that are designed to ensure the University complies with applicable laws, regulations, University policies, and other applicable standards;
- Ensure training and support is available to University community members regarding compliance responsibilities;
- Monitor compliance efforts and emerging issues within their compliance area and develop appropriate plans to address such issues;
- Respond to reports of potential non-compliance and ensure corrective measures are implemented; and
- Coordinate with the Compliance Committee, the Office of the General Counsel, Internal Audit, and other University departments on University compliance priorities.
Office of General Counsel / Internal Audit Offices/Ethics Office/Equal Opportunity and Access: These Offices will:
- Serve as resources for the Compliance Committee, Compliance Partners, and other members of the University community engaged in compliance activities;
- Assist Compliance Partners to identify emerging compliance issues;
- Develop institutional compliance program elements including: a Compliance Program Website, a mechanism for members of the University community to report non-compliance, and a system where University community members can request and receive compliance guidance;
- Identify policy concerns that impede compliance and support Compliance Partners to address such issues in a timely manner; and
- Evaluate the effectiveness of the Compliance Program, including auditing the high-risk compliance areas.
University Community: The members of the University community are responsible for ensuring awareness and compliance with applicable laws, policies, and other standards. Community members must also report incidents of non-compliance or concerns.