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Institutional Compliance

» Department of Institutional Compliance Overview

Institutional Compliance comprises of activities that support coordination, management, and monitoring of the risks associated with federal, state and local laws and regulations.

While Chapman has individuals responsible for monitoring compliance with specific laws and regulations in various areas of operations, Institutional Compliance comprises the collective university activities that help to ensure all significant compliance risks are addressed and effectively managed.

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.

+ - Program oversight

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.

+ - Responsible Parties and Roles

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

+ - Standards of Conduct, Policies and Procedures

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.

+ - Awareness, Education and Training Compliance

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

+ - Lines of Communication

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.

+ - Monitoring, Auditing and Risk Assessment

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

+ - Enforcement and Discipline Standards

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

+ - Ongoing Program Improvements

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

Ethics Anonymous Reporting Hotline

Chapman University has contracted with an outside provider, Ethicspoint, Inc. to receive reports regarding concerns over financial irregularities (and similar ethics related matters). Click below to see how to file a report.