Overview of UVA Compliance Program

Mission and Purpose

The University of Virginia's compliance function supports the University’s fundamental commitment to the highest standards of ethics, integrity, and lawful conduct by promoting adherence to all applicable federal, state, and local laws and regulations, as well as standards and internal policies and protocols.

Program Overview

The University established a compliance program to prevent, detect, and respond appropriately to potential violations of law and to foster a corporate culture that promotes integrity and ethical behaviors in all matters relating to compliance. Institutional compliance promotes greater coordination of and consistency among individual University compliance programs, covering a wide variety of requirements related to academics, athletics, human resources, research, health care, information technology, and numerous administrative functions.

The University has established standards for individual compliance programs, based on the criteria identified in the U.S. Federal Sentencing Guidelines:

  1. Compliance standards and procedures to prevent and detect criminal activity;
  2. Oversight by high-level personnel, with periodic reporting to the board from individuals with operational responsibility;
  3. Due care in delegating substantial discretionary authority;
  4. Effective communication and training to all levels of employees;
  5. Systems for monitoring, auditing and reporting suspected wrong-doing without fear of reprisal and for periodically evaluating the effectiveness of the compliance and ethics programs;
  6. Consistent enforcement of compliance standards including disciplinary mechanisms and appropriate incentives to perform in accordance with the compliance and ethics program; and
  7. Reasonable steps to respond to and prevent further similar offenses upon detection of a violation.

UVA Compliance Charter

The University’s Compliance Charter, approved by the Board of Visitors in February 2016, summarizes: the mission and purpose of the University’s institutional compliance program; organization and reporting; relationship with the Audit, Compliance, and Risk Committee; professional standards; responsibilities of the compliance contacts and the Assistant Vice President for Compliance; and the interaction between compliance, audit, and enterprise risk management functions.

Compliance Charter

Functional compliance officers

The Office of Compliance is led by Assistant Vice President for Compliance Gary Nimax. If you need additional information, please contact him at Staff in the Office of Compliance work closely with subject-matter experts across the University, including members of the Compliance Network.