University Compliance Group

Compliance is the responsibility of all faculty, staff, students, and guests at Southern Utah University (SUU).  However, certain employees have additional compliance duties because of the nature of their position containing specific compliance-related roles and responsibilities. These personnel have been assigned as compliance owners because of their responsibilities at SUU and the SUU Compliance Program. Together, these owners make up the University Compliance Group (UCG).

The UCG  gives input, suggestions, and was formed by the Enterprise Risk Management Committee (ERMC) to help manage compliance and ethics obligations throughout campus and connect various compliance areas across campus. The UCG helps to promote and maintain the compliance obligations of the compliance topics defined in the SUU Compliance Matrix. The UCG is essential in maintaining an effective compliance and ethics program through implementing the six-part framework of the SUU Compliance Program. The UCG assists in each part of the framework as described below:

1. BUILD: The UCG plays a role in the BUILD component through each member  assuming roles of compliance owners, assigning designees, or creating sub-groups for compliance obligations in their respective departments. Members of the UCG promote and implement a compliant and ethical culture throughout campus.
2. UNDERSTAND: The UCG works together on the UNDERSTAND component to  identify, assess, analyze compliance obligations, and mitigate risk through regular meetings and discussions. This includes communicating the needs and requirements of each compliance obligation as defined in the SUU Compliance Matrix.
3. ESTABLISH: In the ESTABLISH component, the UCG collaboratively works in helping employees at SUU be aware of and understand the plans, standards, policies, and procedures that are established at SUU.
4. COMMUNICATE: The UCG participates in the COMMUNICATE component to suggest, develop, and implement training and education plans for campus community members about compliance obligations.
5. OBSERVE: The UCG contributes to the OBSERVE component by monitoring the compliance in their own respective areas which contributes to the overall compliance climate at SUU. Also, the UCG appropriately reports and promotes the  reporting of any compliance and ethics related concerns by contacting the appropriate institutional leader, department, supervisor, or institutional hotline as soon as possible. Further, the UCG endeavors to help develop and implement institution-wide incentives, after appropriate administrator approval, for compliant and ethical behavior.
6. REFINE: The UCG assists ERMC and Campus Compliance Services in the REFINE component by suggesting and implementing necessary modifications to the SUU Compliance Program.

Members

Members of the UCG are designated by the nature of their job duties and coordinated by Campus Compliance Services. The UCG functions as a component of SUU’s ERM and Compliance Programs. Currently, members of the UCG include:

Operations

The UCG strives to meet semesterly, or more frequently as circumstances dictate, and provide information and input (through the AVP of ERM, Compliance, and Safety) to members of ERMC and campus decision makers/leadership.