USC Office of Ethics and Compliance
Elements of an Effective Compliance Program
The following principles have been recognized as important elements for an effective compliance program:
- Effective compliance oversight, including the designation of a compliance officer to oversee compliance efforts;
- Periodic risk assessments;
- Policies and procedures;
- training and education;
- Internal monitoring and auditing;
- Internal disclosure mechanism (e.g., help and hotline);
- Prompt investigation and appropriate enforcement and corrective action.
Compliance at USC
We each have an obligation to be aware of and comply with the rules and regulations that impact our job responsibilities. At an institutional level, our office assists our faculty and staff with this responsibility by:
- Building/maintaining an effective compliance program in high risk compliance areas that impact multiple units/functions on campus but that do not otherwise fall within the responsibilities of a specific office or function. For example, the compliance office directly manages the implementation of a compliance program for: healthcare, research, data privacy, conflict of interest, ACA employer mandate, and regulations related to export controls and international collaborations.
- Coordinating with/assisting units that have or are responsible for a specific compliance function to ensure that they have the resources and expertise to meet their compliance obligations. These offices include: Financial Aid, Department of Public Safety, Office for the Protection of Research Subjects, Environmental Health & Safety, Transportation Services, Student Disabilities, Office for International Services, among others.