Compliance and Ethics Program

Mission and Vision

The Office of Compliance and Ethics (OCE) leads RIT's Compliance and Ethics Program. Our mission is to serve the university and its community by promoting a culture that encourages ethical conduct and a commitment to compliance with applicable laws, regulations, and policies. We strive to fulfill our vision of creating a sustainable culture committed to the highest standards of ethics, transparency, accountability, and respect.

Compliance and Ethics Program

  1. Code of Ethical Conduct & Compliance 2.0

    Code of Ethical Conduct and Compliance

    2024 – Present

    The Compliance Policy and Code of Ethical Conduct (C00.0) serves as the foundation of the Compliance and Ethics Program. It sets the expectation that the RIT community will act ethically and comply with relevant laws and policies in all university-related activities. Alongside RIT’s Core ValuesHonor CodeDiversity Statement, and Commitment to Environmental Sustainability, Policy C00.0 establishes a framework for acceptable standards of behavior. It emphasizes that everyone at RIT, including university officials and the Board of Trustees, has a responsibility to ensure ethical, legal, and integral conduct in RIT's business and mission. The Code applies to all members of the RIT community, whether they are representing RIT, utilizing RIT resources, on RIT property, or attending RIT functions.

  2. Governance and Oversight 2.0

    Governance and Oversight

    2024 – Present

    An effective compliance program relies on senior leadership and management commitment to the goal of ensuring robust internal controls and upholding the highest ethical standards.

    RIT's Program demonstrates strong dedication from the President, Board, and senior and operational leadership to comply with laws and regulations and operate the university with utmost integrity and ethical conduct. Additionally, three internal risk and compliance committees guide and support the Program's implementation and operation. For further details on governance and oversight, see the Compliance Program Roles and Responsibilities.

  3. Risk Identification and Assessment 2.0

    Risk Identification and Assessment

    2024 – Present

    RIT conducts an annual enterprise-wide risk assessment, which includes a review of all legal and compliance risks, with a goal to identify, analyze, and prioritize top risks for the university. Top enterprise risks require the attention of senior leadership and documented risk response plans to ensure proper management. This process requires collaboration with and input from a wide variety of individuals on campus, including subject matter experts, operational management, senior leadership, and the Board of Trustees.

  4. Policies and Procedures 2.0

    Policies and Procedures

    2024 – Present

    In addition to the Compliance Policy and Code of Ethical Conduct (C00.0), RIT has policies and procedures to address legal and regulatory requirements. You can find these policies in the University Policies Manual, which is available online for easy access.

  5. Training and Communication 2.0

    Training and Communication

    2024 – Present

    Education and training clarify expectations and responsibilities and minimize legal, financial, and physical risks for employees and the university. RIT is committed to providing training that equips employees for their roles, with a focus on employees who work in control functions and high-risk areas. OCE oversees the university’s Policy on Mandatory Training (C.25).

  6. Confidential Reporting and Investigation 2.0

    Confidential Reporting and Investigation

    2024 – Present

    RIT provides multiple avenues for individuals to confidentially report misconduct without fear of retaliation. Internal departments conduct thorough reviews of all allegations, and qualified investigators ensure impartial investigations. Issues related to fraud, corruption, sexual misconduct, and allegations by protected groups receive special attention. Depending on the findings, corrective actions, up to and including termination, may result, and reports may be elevated to the appropriate senior leaders.

  7. Third-Party Management 2.0

    Third-Party Management

    2024 – Present

    RIT actively monitors interactions with external parties to ensure ethical and compliant business practices. Third-party management includes oversight of research partners and sponsors, vendors and suppliers, and business associate adherence to Information Security policies and standards. OCE also oversees Conflicts of Interest and Commitment for all staff and faculty, including ensuring management plans are documented as needed for third-party relationships.

  8. Continuous Improvement, Monitoring, and Review 2.0

    Continuous Improvement, Monitoring, and Review

    2024 – Present

    RIT actively oversees high-risk activities and consistently evaluates processes and procedures within the Compliance and Ethics Program. OCE collaborates closely with Internal Audit, Compliance, and Advisement (IACA) to ensure thorough reviews are regularly conducted of areas with elevated risk. Furthermore, the Program ensures ongoing adaptation and evolution through annual updated risk assessments to identify current enterprise risks.

  9. Compliance Partners Council 2.0

    Compliance Partners Council

    2024 – Present

    The Compliance Partners Council (referred to as the “Council”) consists of university employees who primarily handle compliance-related responsibilities. The Council's purpose is to create a platform for sharing best practices and ideas related to managing compliance and ethical issues, concerns, or challenges. The Council aims to foster continuous improvement and promote adherence to the university’s policies, procedures, and ethical standards across all levels.

  10. All RIT Employees 2.0

    All RIT Employees

    2024 – Present

    All RIT employees have a responsibility to comply with regulatory, legislative, and internal policies and procedures relevant to their roles. This includes identifying, managing, and reporting any compliance breaches. Additionally, employees must attend scheduled compliance training and promptly report and escalate any compliance concerns, issues, or failures in alignment with the policy.

University Compliance Contacts

 
Compliance Area Details Responsible Office Operational Leader Contact Information
Accounting and Financial Reporting Financial regulations and compliance with RIT's accounting transactions and financial reporting for a variety of internal and external stakeholders. Includes: General Accounting, Financial Reporting, Procurement and Travel Card Administrations, Property Accounting, and Non-Student Accounts Receivable. Office of the Controller Associate Controller, Financial Services Phone: (585) 475-2940
Email: kapcto@rit.edu
Athletics NCAA and conference rules and regulations. RIT Athletics Associate Director of Athletics/NCAA Compliance Phone: (585) 475-5599
Email: blsatl@rit.edu
Campus and Public Safety Safety on campus, including Emergency Response, Evacuation, and University Closing Procedures; Emergency Information; and coordination with state and local law enforcement agencies. Public Safety Executive Director, Public Safety

Emergency: 585-475-3333
Text: 585-205-8333
TigerSafe App

Non-Emergency: 585-475-2853
Email: cscps@rit.edu

Children and Youth Safety (Protection of Minors) Safety and well-being of non-matriculated minors engaged in academic and recreational activities and programming held on RIT campus and sponsored by RIT in the community. K-12 University Center Director, Youth Protection and Compliance Phone: 585-475-5605
Email: youth@rit.edu
Clery Act Compliance to the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (Clery Act), which requires institutions of higher education to disclose campus security information, including crime statistics for the campus and surrounding areas. Office of Compliance and Ethics Executive Director of Title IX and Clery Compliance Phone OCE: (585) 475-4648
Email OCE: complianceandethics@rit.edu

 

Emergency: 585-475-3333
Text: 585-205-8333
TigerSafe App

Non-Emergency: 585-475-2853
Email: cscps@rit.edu

Conflict of Interest Conflict of Interest and Commitment disclosure process, program oversight, and management. Office of Compliance and Ethics Compliance and Ethics Manager Phone: (585) 475-4648
Email: conflictofinterest@rit.edu
Discrimination, Harassment, and Retaliation RIT's reporting and investigations program, and compliance to legal regulations and internal policy requirements, prohibiting discrimination, harassment, gender-based harassment, sexual harassment, and retaliation. (Title IX, see below). Office of Compliance and Ethics Manager of Compliance Investigations Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Employee Benefits University employee benefit plan administration. Compliance to required benefit notifications and notices, short-term disability, long-term disability, workers' compensation, retirement, NYS Paid Family Leave, Family and Medical Leave (FMLA). Human Resources Director of Benefits and Wellness Phone: (585) 475-2424
Fax: (585) 475-7170
Email: hr@rit.edu
Employment and Labor Law General employment and labor law oversight, including RIT's hiring and labor practices, to ensure compliance to federal, state, and local regulations. Human Resources Assistant Director HR Operations Phone: (585) 475-2424
Fax: (585) 475-7170
Email: hr@rit.edu
Environmental Health and Safety Health and safety, environmental compliance, stewardship, and fire safety requirements and regulations. Environmental Health and Safety Director, EH&S Phone: (585) 475-2966
Text: (585) 475-7092
Email: sekehs@rit.edu
Export Control (Sponsored Research) Export control for sponsored research projects and Technology Control Plan oversight. Sponsored Research Services Director of Research Compliance Phone: 585-475-7983
Fax: 585-475-7990
Email: djcsrs@rit.edu

Export Control (General Program)

Export control program, training, broad questions, and licensing. Office of Compliance and Ethics

Associate Vice President, OCE

Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Food Safety and Dining Compliance Federal, state, local, and RIT-required food and dining safety training and compliance oversight. Office of Compliance and Ethics

Director, Policy & Compliance

Safety, Compliance, and Training Manager

Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Government and Community Relations RIT's government relations activities at the federal, state, and local level. Primary liaison between campus community and local, state, and federal officials and agencies. Government and Community Relations Associate Vice President Phone: 585-475-6509
Email: mctgrl@rit.edu
Human Subjects Research Protect the rights, safety, and welfare of the people who take part in research. Human Subjects Research Office Associate Director Email: hsro@rit.edu
Immigration/Employment of Foreign Nationals Manages the hiring of foreign nationals and maintenance of eligibility for employment in the United States. Office of Compliance and Ethics Compliance and Ethics Manager Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Information Security Federal and state data and information protection regulations, and industry best practices, including account management, cybersecurity, disaster recovery, HIPAA compliance, network security, and information access and protection. Information Security Office Chief Information Security Officer Phone: 585-475-6972
Email: aldwin.maloto@rit.edu
Medical or Disability Accommodations for Employees RIT's medical or disability accommodation request process and compliance with the Americans with Disabilities Act (ADA). Office of Compliance and Ethics Compliance and Ethics Manager Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Medical or Disability Accommodations for Students Facilitating equitable access to the full RIT experience for students with disabilities. Disability Services Office Director for Disability Services Phone: (585) 475-2023
Email: dso@rit.edu
Privacy Regulatory and internal policy requirements and industry standards for personal information and data collection, use, disclosure, and retention. Office of Legal Affairs Privacy Officer Email: dataprivacy@rit.edu
Research Compliance RIT research project compliance with regulations, including externally sponsored projects, ethical research, human subject research, intellectual property, hazardous waste and laser safety, animal care, conflicts of interest, and research misconduct. Sponsored Research Services Director of Research Compliance Phone: 585-475-7983
Fax: 585-475-7990
Email: djcsrs@rit.edu
Sponsored Programs Accounting Fiscal administration of externally funded projects including grants, contracts, and special projects. Office of the Controller Executive Director, Sponsored Programs Accounting Phone: (585) 475-6431
Email: trsspa@rit.edu
Sustainability RIT's sustainability programming and commitment to a goal of carbon neutrality by 2030. Compliance to federal, state, and local regulations (ex: NYS Climate Act). Sustainable Campus Senior Advisor to the President for Strategic Planning and Sustainability Email: sustainability@rit.edu
Title IV Administration of Title IV of the Higher Education Act of 1965 (HEA) covering United States federal student financial aid programs. Office of Financial Aid and Scholarships Assistant Vice President, Financial Aid and Scholarships Phone: (585) 475-2186
Fax: (585) 475-7270
Email: ritaid@rit.edu
Title IX Investigates allegations of sex and gender-based discrimination on campus, enforces non-discrimination policies concerning sex-based discrimination, investigates employee allegations of sex-based discrimination. Ensures RIT's adherence to federal and state laws regarding sex-based discrimination. Office of Compliance and Ethics Executive Director of Title IX and Clery Compliance/Title IX Coordinator Phone: (585) 475-4648
Email: complianceandethics@rit.edu
Training (Mandatory) Manages mandatory compliance training for employees. Office of Compliance and Ethics Compliance and Ethics Manager Phone: (585) 475-4648
Email: complianceandethics@rit.edu