At Brown, many different departments and offices are responsible for monitoring applicable laws, regulations and governing standards, and developing, maintaining, and communicating related policies and procedures to the community. While each of these departments operates as the subject matter expert in laws and policies, University Compliance raises awareness of ethics and compliance issues and collaboratively works with compliance functions and liaisons throughout campus, to coordinate, assess and improve compliance processes, while ensuring the University perspective is always present.
Specifically, University Compliance assists University senior management, staff, faculty and students to identify and manage compliance risks for which they are responsible by:
- Serving as a resource to help identify compliance requirements and best practices;
- Assisting in developing, clarifying and interpreting University policies;
- Assessing and providing education and training on compliance-related topics and issues;
- Implementing programs to help identify emerging compliance issues;
- Bringing stakeholders together to address compliance issues;
- Developing compliance workplans;
- Carrying out specific compliance support activities;
- Assessing existing compliance programs against requirements and best practices; and
- Reporting periodically to senior leadership and the Corporation Committee on Risk and Audit on progress towards University compliance goals.
University Compliance’s work is based on federal guidance on the elements of an effective ethics and compliance program.