大学政策1003

弗吉尼亚法典第23条.第1-1301条，经修正, grants authority to the 参观委员会 to make 规则 and policies concerning the institution. 第六节.第01(a)(6)条 访客委员会章程 grants authority to the 总统 to implement the policies and procedures of the Board relating to University operations.

大学政策#1002 -道德准则，目标#1 -“我们会保持最高的道德标准, 遵守所有适用的法律法规和大学政策.

合规谘询委员会 - A University-wide group made up of key individuals knowledgeable of compliance issues, 主管行政和财务的副总统是谁, 或被任命者.

合规注册表 - A database of compliance requirements that includes a description of the activity, 报告要求, 法规或其他可引用的参考资料, 副总裁责任区, 负责办公室, 负责职位编号及职衔, 以及合规状态.

法规遵循需求 -联邦和州法律, 规则, 规定, 大学员工必须遵守的标准、制度政策和程序, 学生, 志愿者和供应商应了解并遵守.

这项政策适用于所有员工, 学生, 志愿者, 由大学支付报酬的附属机构雇员, 和供应商. 员工包括所有员工, 管理员, 教师, 全职或兼职, 以及由大学支付报酬的机密或非机密人员. Students include all persons admitted to the University who have not completed a program of study for which they were enrolled; student status continues whether or not the University's programs are in session. Volunteers include individuals who perform services in support of the University's mission without promise, 期望, 或收到提供服务的补偿. Affiliated organizations are separate entities that exist for the benefit of the University through an operating agreement and include the Foundations, 社区发展公司, 及校友会. 供应商 are those individuals who have a relationship with the University by virtue of a contract.

遵守法律, 规则, and 规定 that govern the University is an ever growing responsibility of the University and is mandated by a number of oversight agencies and organizations that impose requirements on the University. 不遵守规定的风险可能很大, 可能包括, 但不限于, 丧失认证资格, 声誉, 和/或融资, 经济和非经济处罚, 以及潜在的刑事起诉.

This policy outlines the University's compliance structure and responsibilities in its commitment to fostering an institutional culture of ethical conduct and adherence with compliance requirements. 遵守大学规定是所有员工的共同责任, 学生, 志愿者, 供应商和合规咨询委员会, 下面描述了谁的职责.

副总统 are responsible for promoting compliance awareness and responsibilities within their respective organizations; maintaining an inventory of all compliance requirements for units within their organizations; and developing programs, 流程, 以及内部控制，以确保合规要求得到满足.

所有大学员工, 学生, 志愿者 和供应商 are expected to be aware of and comply with any compliance requirements that are applicable to their respective status and responsibilities within the University. They are also responsible for being cognizant of any changes in the compliance environment that may impact these responsibilities and, 在适用情况下, cooperating with other affected units of the University in order to ensure compliance requirements are met for the University as a whole.

The role of the 合规谘询委员会 is to promote compliance awareness among the University's academic and administrative units. 这些职责包括:

• Promoting effective communication and collaboration among those responsible for compliance;
• Monitoring emerging compliance trends and disseminating information as needed;
• 作为开发或改进合规相关流程的资源;
• Working with the University's Policy 审查 Committee to ensure development of policies and procedures required for current or future compliance requirements; and
• Making recommendations to senior management as to any resources or actions required for University compliance.

1. The Vice 总统 for 政府 and Finance (或被任命者) will chair the 合规谘询委员会 and will consult with the other 副总统 to appoint members of the Committee. The chair determines the scope and frequency of meetings of the Committee in the fulfillment of its duties as outlined in this policy.

2. The 副总统 will maintain an inventory of all compliance requirements for the units within their organizations. The inventory should include the position number and title of the employee(s) responsible for each compliance requirement and any associated 报告要求. The inventories will be submitted to the 合规谘询委员会 at the request of the chair, 或者随着全年的变化而变化. The lists submitted by the 副总统 will be used to update the 合规注册表 maintained by the Committee. 副总统 should ensure that position descriptions for those employees who have been identified as responsible for meeting compliance requirements include compliance as a core responsibility that is evaluated during the annual evaluation process. 每年一次，由合规咨询委员会决定, 副总统 will be required to submit a current status report on each compliance requirement within their organizations.

3. The Vice 总统 for 政府 and Finance (或被任命者) will report on the activities of the 合规谘询委员会 to the 参观委员会 Audit, 合规, 和人力资源委员会定期汇报.

适用的记录必须保留，然后按照 联邦记录保留时间表.

行政和财务办公室特别项目主任

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