Ethics and Compliance Program

As part of our commitment to our values and standards of conduct, Rice University is establishing a university-wide Ethics and Compliance Program. This program is managed by the Chief Compliance Officer, who reports to the Vice President of Finance and the Audit Committee of the Board of Trustees.

The scope of the program includes creating and updating the Compliance Matrix, performing gap analysis, reviewing policies and procedures, ensuring accountability through training, and promoting a culture of ethics and compliance across campus. A key component of the program is the University Compliance Committee, comprised of members of senior leadership with compliance responsibilities.

Overview of the University Compliance Committee

The Compliance Committee meets at least quarterly, and regularly reports (through the Chief Compliance Officer) to the President and the Audit Committee of the Board of Trustees. The key objectives of the Ethics and Compliance Committee are:

  1. Strengthen accountability by ensuring that all aspects of compliance are assigned to specific responsible individuals. Clearly defined accountability is critical
  2. Ensure that university policies and procedures are effectively communicated across the university and that training resources are in place. Educate staff on compliance matters that are cross-cutting across the university
  3. Identify areas where university policies and procedures need to be established or strengthened. This will include developing a response to new or enhanced regulatory requirements
  4. Analyze current processes to look for ways to reduce the administrative burden of compliance (without compromising full compliance with the law)
  5. Inform the university risk management process and ensure that non-compliance issues are reported appropriately
  6. Ensure that the university has exercised due diligence with respect to its efforts to establish compliance standards and procedures that identify and prevent wrongdoing
  7. Help to communicate and promote a culture of compliance at the university.

    The Compliance Committee charter signed by President Leebron may be accessed here.

Membership of the University Compliance Committee

  • Vice President for Finance*
  • Vice President for Public Affairs*
  • Vice President for Administration*
  • Vice President for Information Technology and CIO*
  • Vice President and General Counsel*
  • Vice Provost for Research*
  • Vice Provost for Academic Affairs*
  • Dean of Undergraduates*
  • Dean of Graduate & Postdoctoral Studies*
  • Chief Compliance Officer*
  • Director of Internal Audit
  • Director of Risk Management
  • Information Security Officer
  • Director of Technology Transfer
  • Director of Sponsored Research
  • Controller
  • Chief of Police
  • Registrar
  • Director of Disability Support Services
  • Director of Procurement
  • Assoc. VP - Housing & Dining
  • Director - Environmental Health & Safety
  • Assoc. Vice President - FE&P
  • Assoc. Vice President - Human Resources
  • Director - EEO Program/Affirmative Action
  • Director of Athletics
  • Vice President for Development & Alumni Relations
  • Director of Financial Aid
  • Assistant Vice Provost for Research

(*denotes Executive Committee Member)