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About Us


Led by the University's chief compliance officer, the Office of Compliance & Ethics is responsible to oversee and monitor the university’s overall compliance and ethics program, which includes administering its confidential compliance hotline. The office assists management in facilitating institutional compliance and promoting a culture of compliance. Specifically, the office provides the following services (among others):

  • Assessing institutional compliance risks and risk mitigation strategies;
  • Communicating compliance requirements;
  • Coordinating meetings and task forces to address campus-wide compliance issues and facilitate management decision-making;
  • Creating compliance assessment tools to evaluate compliance with specific areas of the law;
  • Facilitating training programs;
  • Identifying emerging laws and regulations, including documenting their requirements and analyzing their applicability to the university;
  • Managing and promoting an anonymous compliance hotline to facilitate reporting of compliance concerns; and,
  • Publishing templates and guidance for creating compliance program documents.

BYU–Hawaii’s compliance program is centrally coordinated by the Office of Compliance & Ethics, but responsibility for complying with federal and state laws and regulations and university policies is distributed across campus. As such, university compliance issues are managed in coordination with unit experts or compliance coordinators and compliance committees. Responsibility for implementation of compliance policies, procedures, and practices resides with management.

The BYU–Hawaii chief compliance officer is supported by several student compliance associates and by the BYU Office of the General Counsel. Members of the compliance team work closely with university leaders and others across campus to identify legal requirements, establish policies and procedures, communicate compliance information, conduct training, monitor compliance with applicable laws, and keep governance groups informed about the state of compliance. In overseeing the university’s compliance program, the Office of Compliance & Ethics coordinates regularly with BYU Risk Management and Safety and the Office of the General Counsel.

History


As defined by the U.S. Department of Justice, “Compliance programs are established by corporate management to prevent and to detect misconduct and to ensure that corporate activities are conducted in accordance with all applicable criminal and civil laws, regulations, and rules. The Department encourages such corporate self-policing. . . [1]

Under the direction of President Eric B. Shumway, BYU–Hawaii instituted its compliance program in 2006 to create a cohesive compliance effort on campus within the various existent compliance activities. From 2006 to 2019, the director of the Office of Compliance and Internal was designated as the university’s compliance officer. In 2019, the Office of Compliance & Ethics was formed and the chief compliance officer was designated to lead the compliance function. The chief compliance officer is responsible to facilitate the oversight provided by the university’s Executive Risk Management and Compliance Committee and to evaluate the effectiveness of the overall university compliance program.

The Office of Compliance & Ethics reports to the university's vice president of administration. Located in the Lorenzo Snow Administration Building #130, the Office of Compliance & Ethics works to identify legal requirements, define standards, and assist university administrators in complying with the law.

The BYU–Hawaii Executive Risk Management and Compliance Committee (made up of the university's vice-presidents, the director of University Communications, and the university information officer, and chaired by the vice president of administration) directs the university's compliance program. Together, the Executive Risk Management and Compliance Committee and the Office of Compliance & Ethics are committed to maintaining BYU–Hawaii’s high reputation for institutional and personal integrity through compliance with federal regulations and enforcement of university policy.

[1] Larry D. Thompson, Deputy Attorney General, Department of Justice, Memorandum, January 20, 2003.

Brigham Young University–Hawaii, Laie, HI 97672. Copyright 2019. All Rights Reserved.