» Department of Institutional Compliance Overview

Elements of an Effective Compliance Program

Chapter 8 of the Federal Sentencing Guidelines provides guidance and direction for establishing and maintaining an effective ethics and compliance program.

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A compliance officer and other appropriate bodies (e.g. Compliance committee) are designated and charged with the responsibility for developing, operating and monitoring the compliance program, with authority to report directly to the Board.

View a full list of Institutional Compliance Committee members

Roles and responsibilities for compliance risk areas are clearly defined and documented. Individuals are adequately empowered to carry out their responsibilities.

Standards, practices and procedures are written, clearly established and reasonable designed to reduce the risk of non-compliance conduct. Clear standards of conduct are established and widely distributed.

Standards and procedures are effectively communicated, and the institution ensures that responsible individuals receive timely and appropriate education and training.

Chapman University has developed an Ethics and Compliance training course specific to Chapman University and higher education. Chapman University has mandated Ethics and Compliance training for all staff and faculty when the individual is hired and then annually.

If you are a Chapman employee, please click the link below to take the Ethics and Compliance training.

Ethics and Compliance Training (Academic Year: 2023-2024)

An effective method of communication is developed between the compliance function and all employees, including a “hot line” to receive complaints, as well as a mechanism to respond to questions.

Systems are in place to evaluate non-compliance conduct and identify problem areas.

Are consistently enforced through identification of non-compliance and appropriate consequences based upon clear and specific disciplinary policies.

The compliance program must evolve as the risks confronting the organization change.

Ethics Anonymous Reporting Helpline

Chapman University has contracted with an outside provider, Ethicspoint, Inc. to receive reports regarding concerns over financial irregularities (and similar ethics related matters).

For more information on when and how to report, refer to the Ethical Concerns Brochure.

Click below to file a report.

» Department of Institutional Compliance Overview

Elements of an Effective Compliance Program

Program Oversight

Responsible Parties and Roles

Standards of Conduct, Policies and Procedures

Awareness, Education and Training Compliance

Lines of Communication

Monitoring, Auditing and Risk Assessment

Enforcement and Discipline Standards

Ongoing Program Improvements

Ethics Anonymous Reporting Helpline