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Compliance

RIT Compliance Policy and Code of Ethical Conduct

RIT provides educational and research opportunities for its students to prepare them for successful careers in a global society. As part of this educational and research mission, RIT has developed the RIT Compliance Policy and Code of Ethical Conduct to help guide students, faculty, staff, and trustees in their conduct. In particular, this Policy references other applicable RIT policies and procedures, ethical and legal obligations, the responsibility to seek guidance when questionable conduct is witnessed, and the obligation to report potential violations of this Policy and its incorporated code standards, free of any fear of retaliation.

This Policy will be administered by RIT's Compliance Officer. Audit and monitoring activities conducted by the Institute Audit, Compliance & Advisement Office will be utilized to assist in compliance with this Policy. 

Compliance Program and Procedure

A comprehensive institutional compliance program is one that integrates and coordinates all significant requirements with which the institution must comply by law, regulation or other binding rule or agreement. Organizational compliance programs are increasingly present in higher education after the passage of the Sarbanes-Oxley Act and the Federal Sentencing Guidelines. One objective of an institutional compliance program is to inventory and consolidate operative principles and policies so that all members of the community have easy access to general principles and detailed policies and procedures. The Compliance Program and Procedure is a means to implement the Compliance Policy and Code of Ethical Conduct and to promote ethical conduct and compliance across the entire RIT community.

Compliance Committee

The Compliance Committee is constituted pursuant to the Compliance Policy and Code of Ethical Conduct and the Compliance Program and Procedure to assist the Chief Risk and Compliance Officer ("CRCO") and the Audit Committee of the Board of Trustees in fulfilling their oversight responsibilities with regard to compliance and ethics at RIT.

The Compliance Committee is chaired by the Senior Vice President of Finance and Administration, and the Vice President of Research, and complemented by a committee comprised of other administrators having responsibilities in the major compliance areas of employment, student affairs, academic affairs, research and finance. The structure of the Compliance Committee recognizes that administrators are in a better position than a single compliance officer to maintain the necessary understanding and oversight of regulations and requirements in areas under their direction, as well as emerging issues in the regulatory environment. The Compliance Committee is responsible for ensuring that the Compliance Program meets its objective activities by providing advice, guidance, and support in the operation of the Compliance Program. The CRCO will oversee and use the resources and knowledge of the members of the committee to accomplish this end. The Compliance Committee will work together with the CRCO with all aspects of the implementation of the Compliance Program.

Chief Risk and Compliance Officer

The Chief Risk and Compliance Officer (CRCO) is responsible for the day-to-day operation and implementation of the Compliance Program. The CRCO, along with the Compliance Committee, will work collaboratively to, among other things:

  • Develop institutional compliance program elements.
  • Promote compliance awareness through education and training programs.
  • Develop compliance monitoring programs working with IACA and Compliance Partners to ensure that all relevant laws and regulations are being monitored and that appropriate policies and processes have been established and communicated to members of the RIT community.
  • Identify policy concerns that impede compliance.
  • Keep apprised of emerging compliance issues and share best practices.

The Chief Risk and Compliance Officer will not assume the duties of the various substantive compliance areas, and all ongoing compliance activities will continue in their existing reporting structures. Rather, the role will be to coordinate and monitor these efforts and assess university-wide performance.

Compliance Calendar

The Compliance Calendar is an online resource that sets forth the schedule of compliance chores and regulatory deadlines for the Institute, and is intended to aid in the orderly administration of compliance reporting regulations.

Individual Conflict of Interest and Commitment

The integrity of RIT’s research, teaching and learning, outreach and public service activities is paramount. While the university encourages its faculty and staff to engage in relationships with business entities to further RIT’s mission, inherent in these relationships is the potential for professional judgment to be influenced by the existence of such relationships.

RIT is committed to ensuring that relationships between its faculty and staff and business entities are transparent, grounded in objectivity, and do not improperly influence any individuals’ professional judgment, the exercise of university responsibilities, or the performance of university-related activities. Thus, RIT has adopted a comprehensive Individual Conflict of Interest and Commitment (ICIC) policy that requires employees to disclose any potential, real, or perceived conflict.

Export Control

RIT is conscious of the fact that it is of utmost importance to the university, its students and faculty to be able to provide education and research for the public good. However, export regulators have placed the responsibility on the university to understand and comply with export controls. RIT is committed to maintaining the public trust in its compliance with the laws and regulations that govern its conduct of research and scholarly activities, including those governing the export and import of physical/tangible items, information, and software.

Accordingly, RIT has developed an Export Compliance Program, which will require each employee to continually scrutinize his or her activities to ensure that all teaching and research are conducted pursuant to the appropriate regulatory requirements. Any questions concerning this Export Compliance Program should be directed to the University Compliance Officer.

Compliance Policies & Procedures Library

The Compliance Policies and Procedures Library is a compilation of the general compliance policies and procedures of the Institute.

Education and Training

The CRCO will assist in identifying educational and training needs and will work with members of the Compliance Committee and others to ensure that the educational and training needs of the Institute are met. Information on compliance issues will be placed, updated, and maintained on this website.

Compliance By Division

The following links feature a list of divisions, and various departments within those divisions that that are responsible for monitoring the laws and communicating procedures and policies to faculty and staff.