Compliance means abiding by applicable laws, regulations, policies and procedures. In a university setting, compliance is less about regulating individual behavior than it is about understanding applicable regulatory requirements that apply to university activities as an institution and ensuring that we meet them. There are many policies, procedures, laws, regulations, etc. that guide activity at the University of Colorado. Individuals are responsible for ensuring they are staying current on relevant guidelines.

Review the Fiscal Policies & Procedures webpage for a view of how the various levels of policies impact the University, and links to the related policy search tools. 

Compliance at the University of Colorado is a job done by many people. There are many subject matter compliance experts on various topics who help to facilitate compliance with the range of obligations we face. Ultimately, compliance is the responsibility of every University of Colorado community member – we each have a personal responsibility for making sure our activities comply with any applicable regulatory requirements, policies, and standards.

Review the APS #2027 Code of Conduct for more information on the University's commitment to upholding the highest ethical, professional, and legal standards. 

Below are some questions to help identify compliance or integrity concerns. If the answer to any of these questions is "no" there may be a concern:

• Are these actions legal?
• Do these actions comply with University policy?
• Do these actions seem fair and honest?

When in doubt, we encourage you to reach out with questions or to seek guidance. Fiscal Compliance is here to help.

Speaking up can take courage. You have options if you think there may be a compliance or integrity issue. For example, you can:

• Review policy. If you have observed potentially illegal or unethical behavior, you may wish to review related policies for guidance. While you do not need to investigate the issue yourself, it may be helpful to understand how policies may apply to the situation.

• Discuss concern with your supervisor. Your supervisor or a department leader may be a good initial contact to discuss your concern and seek guidance on other appropriate steps depending on the specific circumstance.

• Discuss concern with a compliance expert. 

• Submit a Report to the University's Hotline, CU EthicsLine, either online or via phone (1-800-677-5590). This service is provided by EthicsPoint, an independent company that provides similar services for hundreds of companies and universities. The service provides a communication options available seven days a week, 24 hours a day. This service allows people the option to identify themselves or remain anonymous. Reports are independently reviewed by system administrators in the University's Internal Audit department who will engage responsible officials to investigate and take action as appropriate.