Frequently Asked Questions
What is compliance?
Compliance is a systematic approach designed to ensure an institution meets its obligations under applicable laws, standards, contractual obligations and institutional policy. Accountability and transparency are integral to compliance at the University of Wisconsin-Platteville.
Who Is Responsible for Compliance Oversight at UW-Platteville?
Compliance accountability at the institutional level is found in the compliance matrix. The matrix links compliance areas with compliance owners (chancellor and vice chancellors) and operational owners (deans, department chairs, directors, managers, and identified staff) who oversee day-to day activities, ensuring UW-Platteville meets its obligations.
What is the role of the director of ethics and compliance?
The director of ethics and compliance will provide guidance and centralized oversight to UW-Platteville’s decentralized compliance function. Emphasis will be placed on developing communication, documentation, and education to build and support a culture of right doing.
What if I want to report a compliance concern?
How should I think about compliance when considering a new or unfamiliar activity?
Ask yourself the following questions:
- Is it governed by a law or other requirement?
- Is there a risk to the university?
- Are there policies that govern the activity?
- Is there a university or UWS process that must be followed?
- Who has expertise that can provide me with guidance?
If you answered yes or were unsure how to respond, contact the director of ethics and compliance to gather information and discuss options.
The area I manage will be audited by UW System Internal Audit. What should I do?
- Familiarize yourself with the audit process and feel free to contact US System Internal Audit with questions.
- Review the audit notification and the policies/processes to be audited.
- Meet with key stakeholders who work within the areas to be audited.
- Contact the director of ethics and compliance with questions.
As a new employee, how can I learn about compliance areas and obligations that impact my work?