Roles and Responsibilities

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 UHD Compliance Matrix identifies the appropriate individual(s) to contact with questions or concerns related to specific compliance functions. It is not intended to be a comprehensive list of all compliance activities. The listed department and senior administrator are responsible for ensuring compliance within their designated areas. 

This information is housed within our Institutional Compliance and Ethics SharePoint page (login required). Please contact the Institutional Policies and Compliance office at compliance@uhd.edu with any questions or concerns.  

Administers the day-to-day operations of the Compliance Program. Responsibilities include:

• Serving as a liaison to their department/division to communicate and implement relevant compliance and ethics initiatives and risk mitigation strategies;
• Providing input to the Compliance Committee regarding operation of the Program;
• Overseeing the completion of the periodic risk assessments for their assigned compliance area and working collaboratively with the Responsible individual(s) to establish monitoring activities designed to review processes and strengthen compliance;
• 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; and
• Coordinating an overseeing compliance training for their compliance area.

View the Compliance Committee Members list.

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.