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Roles and Responsibilities

In It Together

We all play a role in assisting the university in its adherence to the complex web of legal, regulatory, and ethical expectations. 

All staff, faculty, and students

  • Follow the university Code of Conduct, Code of Academic Integrity, Standards of Ethical Behavior, and university policies and procedures
  • Report concerns (add link to Reporting section)
  • Make decisions based on doing the right thing

Unit-based Compliance Owners

  • Identify critical personnel, regulatory reporting dates, and compliance issues

  • Articulate the verification processes and single points accountable for regulatory reports at the Federal, State, and Local levels

  • Identify, assess risks, mitigate and facilitate gap closures

  • Identify and reduce duplicative processes

  • Articulate how university policies apply to the various compliance areas

University Compliance Office

  • Develop a matrix of compliance partners and a regulatory compliance reporting calendar
  • Develop assessment tools and system to rate compliance risks
  • Central repository for compliance-related documents
  • Website with accountability matrix, assessment tools, compliance calendar, who to call
  • Integrate with institutional risk management (IRM) program
  • Provide regular status reports to senior leadership, Institutional Risk Committee, and the Audit, Risk, and Compliance Committee

Chief Compliance Officer

The Cornell University Chief Compliance Officer (CCO) oversees the University’s Compliance Office, chairs the University Compliance Committee, and serves as the University Policy Manager. The CCO reports to the Executive Vice President, with a dotted line to the Audit, Risk, and Compliance Committee of the Board of Trustees, and provides regular reports to the President and the Audit Committee as to the status of the Compliance Program.

The primary responsibility of the CCO, in conjunction with the Audit Committee, is to help assure the trustees and senior management that:

  • All necessary compliance activities have been identified and appropriately assigned
  • Necessary policies and procedures are in place
  • By supporting training, partners are maintaining appropriate levels of awareness and expertise
  • Compliance responsibilities are being monitored and actions are taken to strengthen compliance and mitigate risk as necessary
  • A culture of compliance and ethical behavior is being fostered and supported across campus

By working across departments and in close collaboration with compliance partners in all areas, the CCO supports a culture that leverages best practices and provides assurances that the University is meeting our commitments.