The Office of Compliance and Ethics coordinates and manages the Institutional Compliance and Ethics Program and works with compliance area stakeholders and the University’s senior leadership to evaluate and improve compliance activities. In doing so, OCE emphasizes the following core compliance functions:
- Policies and Procedures – do applicable policies and procedures effectively communicate compliance obligations?
- Training and Education – is there appropriate training and education of those who are responsible for compliance activities and of those who are affected by policies?
- Investigation and Response to Compliance Problems – are mechanisms for identifying, investigating, and responding to problems prompt and effective?
- Regulatory Tracking and Internal Monitoring – do compliance stakeholders keep abreast of legal and regulatory changes and monitor internal compliance activities?
- Culture, Communication and Awareness – is communication and outreach about compliance topics effective in creating awareness and generating a culture of integrity?
In addition to coordinating, supporting and monitoring the operation of the Program and the work of compliance area stakeholders, OCE distributes and provides training on the University’s Code of Ethical Conduct, operates the Compliance Helpline (the reporting hotline), manages the Protection of Minors Policy, provides leadership in the administration and oversight of the Financial Conflict of Interest Policy, is a key contributor to the University’s enterprise risk management (ERM) system, and provides leadership, advice and assistance on a range of matters.
Code of Ethical Conduct
Georgetown University Compliance Helpline