UChicago Compliance

Compliance at the University of Chicago: A Collective Responsibility for Excellence

 The overall mission of the Office of Compliance is to promote an organizational culture and support a formal compliance program that encourages ethical conduct, a commitment to compliance with the law and University policies, and accountability for these obligations in furtherance of the University’s values and pursuit of eminence.

The University of Chicago is committed to maintaining a culture of responsibility in which its community members conduct themselves in accordance with the highest standards. As part of this commitment, the University seeks to maintain an effective Compliance Program in which University community members are aware of, understand and comply with applicable laws, rules, regulations, policies, and procedures, including University policies and procedures. To promote excellence in, and otherwise support, University compliance efforts the University has established an Office of Compliance and also has convened a Compliance Committee consisting of senior University leaders.

While compliance is the collective responsibility of everyone at the University, the University recognizes an effective compliance program requires coordination, support and sharing of resources. To this end, there are a number of resources available to you to ask questions, raise concerns, or seek assistance with respect to specific compliance areas. These resources include:

• Your supervisor or other management
• The University’s Assistant Director, Internal Audit, Enterprise Risk Management, and Compliance is Evonne Thompson
• The University’s Chief Financial Officer, Ivan Samstein
• The University’s Office of Legal Counsel, Elizabeth Shanin, Interim Vice President and General Counsel
• The University’s Compliance Matrix, which identifies the University community members that have primary responsibility for coordinating and supporting specific compliance areas
• The University’s Whistleblower Hotline (anonymously if desired) 1-800-971-4317 or by an online Web Reporting Hotline System. Additional information about the Whistleblower Hotline can be found at https://rmia.uchicago.edu/page/whistleblower.

By utilizing these resources, University community members will not only help ensure compliance in their own day-to-day activities, but also will help sustain and protect the University’s status as a preeminent educational and research institution.