Compliance should facilitate an ongoing and meaningful conversation between students, faculty, and staff about legal and ethical behavior to foster a sense of purpose and ensure that the university has an effective program in place to prevent, detect and mitigate significant compliance and ethics risks. The wheel-based model reflects the perpetual nature of this process.
Perform Risk Assessment: Develop and manage a process to identify and prioritize compliance risks
Develop Policies: Help others draft policies and develop and manage the policy process
Deliver Education: Help others develop training and other controls; Manage a training program
Enable Reporting: Develop and manage a reporting process to capture issues and help monitor effectiveness
Conduct Investigations: Help others investigate allegations and develop and manage the investigation process
Take Corrective Action: Help management determine appropriate corrective action