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The ¶¶Òõ¶ÌÊÓƵ is dedicated to upholding the highest standards of integrity and to conduct all business in compliance with all local, state, and federal laws and regulations. Compliance is the responsibility of every member of the UM System community and is not limited to the compliance office. However, one of the roles of the compliance office is to assist with these responsibilities. The objective of the office is twofold—first, to maintain a comprehensive overview of compliance requirements and activities system-wide, and second, to provide support to all university compliance endeavors by collaborating with UM offices and administrators tasked with overseeing specific compliance areas.

Laws, rules, and regulations govern nearly every aspect of institutional life in the United States and higher education is not exempt. It is one of the most heavily regulated industries in the U.S., along with sectors like healthcare, banking, financial services, and utilities. One of the most effective measures for ensuring compliance with all these rules is through well-designed and implemented compliance programs. The diagram below depicts the ¶¶Òõ¶ÌÊÓƵ model for compliance program design and implementation. It was designed based on federal and professional guidance and has nine activities and two elements.

"Effective compliance programs are in place to prevent compliance issues from happening, to find them when they do, and to fix them once they are found. Prevent. Find. Fix."
- Gerry Zack, former CEO of HCCA/SCCE 1

Nine Element Compliance Model

Based on guidance from the U.S. Sentencing Commission Guidelines, §8B2.1, Effective Compliance and Ethics Programs, U.S. Department of Justice, Evaluation of Corporate Compliance Program; COSO Internal Control - Integrated Framework Principles; and U.S. Department of Health and Human Services Office of the Inspector General, General Compliance Guidance.

1 Quoted in "Embracing simplicity in compliance with prevent, find, and fix," CEP Magazine, October 2024, emphasis added.

Resources and Tools

To support the University's commitment to maintaining the highest standards of compliance, the following resources are available. These resources provide guidance on the structure and activities required for a compliance program to be considered effective within the ¶¶Òõ¶ÌÊÓƵ:

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The following documents will automatically download when the link is selected: 

• Compliance Program Basic Template 1 (checklist style)
• Compliance Program Basic Template 2 (prose style) 
• Compliance Self-Audit Template
• High-Level Compliance Program Gap Assessment
• Policy and Procedure Review Log
• Risk Template

In addition, the resources below provide further guidance and assistance in understanding and fulfilling the various compliance requirements within the ¶¶Òõ¶ÌÊÓƵ:  

• Clery Compliance Guidance
• Youth Protection

Please do not hesitate to contact us if you have any compliance questions or need compliance assistance.