Compliance

In its strategic plan, The Richmond Promise, the University of Richmond commits to "operate as a model institution of higher education, sustaining superb faculty and staff and administering the institution with the highest standards of innovation and professionalism." The University has established a compliance program designed to foster the objectives of The Richmond Promise and the University's goal of operating in a manner consistent with the highest standards of ethics and integrity.

The compliance program is intended to better enable the University to organize its compliance activities and to monitor its compliance with existing and new laws and regulations. The scope of the program is limited to ensuring compliance with applicable laws and regulations and with University policies. It is not intended to intrude on areas of faculty governance and will not supersede the faculty handbook or other faculty and staff policies and procedures.

The University's compliance program includes four key elements:

Governance and Administrative Oversight

At the Board level, the compliance program is overseen by the Audit and Compliance Committee of the Board of Trustees. At the administrative level, the Compliance Oversight Committee is primarily responsible for the design, implementation, and operation of the compliance program. The committee comprises representatives from across the University who have significant compliance responsibilities.

Code of Organizational Ethics and Integrity

The University of Richmond's Code of Organizational Ethics and Integrity describes the commitment of the University to the highest ethical standards of honesty and integrity. This Code is an integral component of the University's compliance program and is designed to promote compliance with applicable laws and regulations, as well as the prevention and detection of violations of applicable laws and regulations.

The Compliance Matrix: Delegation of Compliance Responsibilities

While each member of the University community has a responsibility to ensure that the University conducts itself ethically and in compliance with the law, there are certain individuals throughout the University who are knowledgeable about and have the responsibility of maintaing compliance with specific laws and regulations. The University's Compliance Matrix identifies those individuals and their respective areas of responsibility. These individuals are available to assist members of the University community with compliance questions relating to their areas of expertise.

Confidential Reporting Mechanism

Members of the University community are encouraged to discuss compliance-related questions or concerns directly with their supervisor, department chairs, deans, directors, or other members of the University administration. The University has also established the Ethics and Compliance Helpline, a confidential reporting mechanism, operated by a third party.

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