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Integrated CSU Administrative Manual

CSU POLICY

--DRAFT POLICY--

Section:  GENERAL

Section 1000 Policies

Policy Number:  1401.00

Policy Title: Campus Legal and Regulatory Compliance

Policy Effective Date: XX

Last Revision Date: XX
(see revision history)

POLICY OBJECTIVE

Campuses are responsible for ensuring adequate systems of compliance and control are established and maintained. Each campus must establish standards for designating responsibility as necessary to reduce the risk of misunderstandings related to the performance of duties and functions, inconsistencies in complying with requirements, and handling of issues.

POLICY STATEMENT

Administrators are responsible for ensuring compliance with laws and regulations impacting their areas of responsibilities. Campuses are responsible for the following:

  • Developing campus policies and procedures to ensure and monitor compliance 
  • Ensuring adequate resolution of compliance issues noted in internal audit reports or external agency reports
  • Reporting significant compliance deficiencies to the appropriate division within the Office of the Chancellor
  • Identifying campus subject matter experts for compliance related questions
  • Ensuring that employees receive appropriate compliance training
  • Analyzing compliance risks to ensure consistent application of regulations 

The Chancellor’s Office may when deemed necessary:

  • Develop systemwide compliance policies and procedures
  • Evaluate emerging compliance trends
  • Monitor complaints, litigation matters, and other actions
  • Provide opportunities to share best practices among campuses

Benjamin F. Quillian
Executive Vice-Chancellor/Chief Financial Officer

Approved: March XX, 2013

 

APPLICABILITY AND AREAS OF RESPONSIBILITY

 

REVISION HISTORY

 

RESOURCES AND REFERENCE MATERIALS

Useful Guidelines:

 

Related Principles:

 

Sound Business Practices:

 

Laws, State Codes, Regulations and Mandates:

 

COGNIZANT OFFICE(S)

CO Manager:

Michael P. Redmond
Senior Director, CO Budget & Special Initiatives
CSU Office of the Chancellor
mredmond@calstate.edu


Subject Expert:

 

Affinity Group:

Accounts Payable Managers and Financial Officers Association

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