Principles and Process


The Institutional Compliance Program will adhere to the following principles in its work:

  1. Compliance is the responsibility of each employee at the Health Science  Center.
  2. The Compliance Program will implement its activities in a top-down/bottom-up manner.  The Compliance Council members will be responsive to each employee’s actions, and each employee shall hold the Council responsible for ensuring the success of the program.
  3. The Council will encourage open and frequent communication from employees regarding compliance matters.
  4. The Council will document its actions, and then be responsible for effective implementation.


  1. Goals/Objectives – Each year, the Council will identify the objectives/tasks it will pursue during the year.  Formation of these tasks will be based on the Council’s review of the Program’s achievements to-date, and an assessment of those activities that have not been completed.  Input will be invited from administration and staff to help identify areas of need. The President will review and approve the Council’s yearly assessment and their tasks for the following year.
  2. Tasks will be assigned to the appropriate division or to the Compliance Office as appropriate.  Tasks identified as part of the bi-annual risk assessment process shall be prioritized and addressed accordingly in a subsequent risk reduction plan.
  3. By adhering to a mandatory quarterly and annual Board of Regents reporting process, continued evaluation of program progress will be maintained.
  4. As is the practice for each institutional program, each division shall assess whether its current resources are adequate to ensure compliance at a reasonable level within its authority.  Additional resources shall be requested accordingly as well as through the yearly budget process.

Decision Making and Communication

The Institutional Compliance Program will conduct its affairs by staff activities according to the program’s written policies and procedures, and by majority vote of the members of the Compliance Council.  Quarterly and annual reports shall be produced in summary accord with the division reports, and communicated by the Chief Compliance and Enterprise Risk Management Officer to the President, and then to the Board of Regents.  Communication of Compliance responsibilities to each employee shall be the responsibility of the Compliance Office and of each Compliance Division Director.