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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.

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 collaborativley 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;
  • Coordinating an overseeing compliance training for their compliance area.  

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.