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Additional Compliance Information

To promote and support a culture at the University of Houston-Downtown which builds compliance consciousness into the daily activities of the University and encourages all employees to conduct University business with honesty and integrity.​


To develop an institutional compliance program that:

    • Identifies and evaluates risks that are critical to the institution.
    • Ensures that critical institutional risks are properly managed by the appropriate individuals.
    • Provides all employees with the training and or information necessary to do their jobs and understand the relevant compliance issues.
    • Provides communication to managers, executive officers, and the Board of Regents regarding the status of critical institutional risks.
    • Provides all employees with an opportunity to report issues of potential non-compliance in a manner that preserves confidentiality and protects against improper retaliation.​​


Roles and Responsibilities

Employees (Faculty and Staff)

Each employee is responsible for the following:

      • ​​​Maintaining high ethical standards,

      • Compliance with laws, regulations, policies, and procedures applicable to the performance of their job, and

      • Reporting instances of non-compliance in an appropriate manner.


​Every manager, regardless of their level in the organization, is accountable for compliance in their operational unit. 


Responsible Persons

​​These individuals are responsible and accountable for management of the institutional risks identified in risk assessments. Each risk must have one Responsible Person who meets the following criteria:
      • Exclusive responsibility for managing the risk,
      • Knowledge to manage the risk, and
      • Authority to manage the risk.

The Responsible Persons work with the Compliance Officer and members of the Compliance Committee to develop the necessary monitoring, training, and reporting plans to manage institutional compliance risks and may be asked to present information to the Compliance Committee or internal audit regarding their risk areas.​


Administers the day-to-day operations of the Compliance Program.  Some specific responsibilities include:

      • Conducting risk assessments for the Committee Member's assigned Compliance Area. Where others complete the assessments, the Committee members are responsible for the accuracy of the information within their compliance area.

      • Working with responsible persons to create monitoring, training, and reporting plans.

      • Developing and administering general compliance training for their Compliance Area and ensuring that specialized training is adequate.

      • Providing input and recommendations on Training issues that relate to the Institutional Compliance Program.

      • Ensuring oversight in areas with risk that are critical for the institution.

      • Providing input on policy and operational issues relevant to a successful compliance effort.

      • Working with the Compliance Officer to prepare reports which provide UHD and UH System administrators information concerning the status of the control of compliance risks.

The Compliance Committee Members are advocates for compliance. They are a communication avenue between the Compliance Committee and first line management and staff. They work within the University community to raise and maintain the compliance consciousness in daily departmental activities.

Compliance Officer

​Oversees the Compliance Program to ensure that the infrastructure of the program is adequate and that it is operating effectively. Some specific responsibilities include:

      • Establishing and maintaining a system that builds compliance consciousness into daily activities.

      • Monitoring the various compliance program activities to ensure that they are being performed as designed.

      • Communicating with the appropriate University of Houston-Downtown administrators regarding compliance program activities and issues of non-compliance.

      • Coordinating the Confidential Reporting Mechanism to ensure that concerns regarding non-compliance are reported and are handled appropriately​

Last updated 3/7/2022 11:23 AM