Compliance and Ethics Program

Mission and Vision

The Office of Compliance and Ethics (OCE) leads RIT's Compliance and Ethics Program. Our mission is to serve the university and its community by promoting a culture that encourages ethical conduct and a commitment to compliance with applicable laws, regulations, and policies. We strive to fulfill our vision of creating a sustainable culture committed to the highest standards of ethics, transparency, accountability, and respect.

Code of Ethical Conduct and Compliance
2024 – Present
The Compliance Policy and Code of Ethical Conduct (C00.0) serves as the foundation of the Compliance and Ethics Program. It sets the expectation that the RIT community will act ethically and comply with relevant laws and policies in all university-related activities. Alongside RIT’s Core Values, Honor Code, Diversity Statement, and Commitment to Environmental Sustainability, Policy C00.0 establishes a framework for acceptable standards of behavior. It emphasizes that everyone at RIT, including university officials and the Board of Trustees, has a responsibility to ensure ethical, legal, and integral conduct in RIT's business and mission. The Code applies to all members of the RIT community, whether they are representing RIT, utilizing RIT resources, on RIT property, or attending RIT functions.
Governance and Oversight
2024 – Present
An effective compliance program relies on senior leadership and management commitment to the goal of ensuring robust internal controls and upholding the highest ethical standards.

RIT's Program demonstrates strong dedication from the President, Board, and senior and operational leadership to comply with laws and regulations and operate the university with utmost integrity and ethical conduct. Additionally, three internal risk and compliance committees guide and support the Program's implementation and operation. For further details on governance and oversight, see the Compliance Program Roles and Responsibilities.
Risk Identification and Assessment
2024 – Present
RIT conducts an annual enterprise-wide risk assessment, which includes a review of all legal and compliance risks, with a goal to identify, analyze, and prioritize top risks for the university. Top enterprise risks require the attention of senior leadership and documented risk response plans to ensure proper management. This process requires collaboration with and input from a wide variety of individuals on campus, including subject matter experts, operational management, senior leadership, and the Board of Trustees.
Policies and Procedures
2024 – Present
In addition to the Compliance Policy and Code of Ethical Conduct (C00.0), RIT has policies and procedures to address legal and regulatory requirements. You can find these policies in the University Policies Manual, which is available online for easy access.
Training and Communication
2024 – Present
Education and training clarify expectations and responsibilities and minimize legal, financial, and physical risks for employees and the university. RIT is committed to providing training that equips employees for their roles, with a focus on employees who work in control functions and high-risk areas. OCE oversees the university’s Policy on Mandatory Training (C.25).
Confidential Reporting and Investigation
2024 – Present
RIT provides multiple avenues for individuals to confidentially report misconduct without fear of retaliation. Internal departments conduct thorough reviews of all allegations, and qualified investigators ensure impartial investigations. Issues related to fraud, corruption, sexual misconduct, and allegations by protected groups receive special attention. Depending on the findings, corrective actions, up to and including termination, may result, and reports may be elevated to the appropriate senior leaders.
Third-Party Management
2024 – Present
RIT actively monitors interactions with external parties to ensure ethical and compliant business practices. Third-party management includes oversight of research partners and sponsors, vendors and suppliers, and business associate adherence to Information Security policies and standards. OCE also oversees Conflicts of Interest and Commitment for all staff and faculty, including ensuring management plans are documented as needed for third-party relationships.
Continuous Improvement, Monitoring, and Review
2024 – Present
RIT actively oversees high-risk activities and consistently evaluates processes and procedures within the Compliance and Ethics Program. OCE collaborates closely with Internal Audit, Compliance, and Advisement (IACA) to ensure thorough reviews are regularly conducted of areas with elevated risk. Furthermore, the Program ensures ongoing adaptation and evolution through annual updated risk assessments to identify current enterprise risks.
Compliance Partners Council
2024 – Present
The Compliance Partners Council (referred to as the “Council”) consists of university employees who primarily handle compliance-related responsibilities. The Council's purpose is to create a platform for sharing best practices and ideas related to managing compliance and ethical issues, concerns, or challenges. The Council aims to foster continuous improvement and promote adherence to the university’s policies, procedures, and ethical standards across all levels.
All RIT Employees
2024 – Present
All RIT employees have a responsibility to comply with regulatory, legislative, and internal policies and procedures relevant to their roles. This includes identifying, managing, and reporting any compliance breaches. Additionally, employees must attend scheduled compliance training and promptly report and escalate any compliance concerns, issues, or failures in alignment with the policy.

Resources and Information

Compliance and Ethics Program

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Roles and Responsibilities

DOJ Enforcement, Compliance, and Policy

University Compliance Contacts

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Compliance Area	Details	Responsible Office	Operational Leader	Contact Information
Accounting and Financial Reporting	Financial regulations and compliance with RIT's accounting transactions and financial reporting for a variety of internal and external stakeholders. Includes: General Accounting, Financial Reporting, Procurement and Travel Card Administrations, Property Accounting, and Non-Student Accounts Receivable.	Office of the Controller	Associate Controller, Financial Services	Phone: (585) 475-2940 Email: kapcto@rit.edu
Athletics	NCAA and conference rules and regulations.	RIT Athletics	Associate Director of Athletics/NCAA Compliance	Phone: (585) 475-5599 Email: blsatl@rit.edu
Campus and Public Safety	Safety on campus, including Emergency Response, Evacuation, and University Closing Procedures; Emergency Information; and coordination with state and local law enforcement agencies.	Public Safety	Executive Director, Public Safety	Emergency: 585-475-3333 Text: 585-205-8333 TigerSafe App Non-Emergency: 585-475-2853 Email: gdmcps@rit.edu
Children and Youth Safety (Protection of Minors)	Safety and well-being of non-matriculated minors engaged in academic and recreational activities and programming held on RIT campus and sponsored by RIT in the community.	K-12 University Center	Director, Youth Protection and Compliance	Phone: 585-475-5605 Email: youth@rit.edu
Clery Act	Compliance to the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (Clery Act), which requires institutions of higher education to disclose campus security information, including crime statistics for the campus and surrounding areas.	Office of Compliance and Ethics	Executive Director of Title IX and Clery Compliance	Phone OCE: (585) 475-4648 Email OCE: complianceandethics@rit.edu Emergency: 585-475-3333 Text: 585-205-8333 TigerSafe App Non-Emergency: 585-475-2853 Email: cscps@rit.edu
Conflict of Interest	Conflict of Interest and Commitment disclosure process, program oversight, and management.	Office of Compliance and Ethics	Compliance and Ethics Manager	Phone: (585) 475-4648 Email: conflictofinterest@rit.edu
Discrimination, Harassment, and Retaliation	RIT's reporting and investigations program, and compliance to legal regulations and internal policy requirements, prohibiting discrimination, harassment, gender-based harassment, sexual harassment, and retaliation. (Title IX, see below).	Office of Compliance and Ethics	Manager of Compliance Investigations	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Employee Benefits	University employee benefit plan administration. Compliance to required benefit notifications and notices, short-term disability, long-term disability, workers' compensation, retirement, NYS Paid Family Leave, Family and Medical Leave (FMLA).	Human Resources	Director of Benefits and Wellness	Phone: (585) 475-2424 Fax: (585) 475-7170 Email: hr@rit.edu
Employment and Labor Law	General employment and labor law oversight, including RIT's hiring and labor practices, to ensure compliance to federal, state, and local regulations.	Human Resources	Assistant Director HR Operations	Phone: (585) 475-2424 Fax: (585) 475-7170 Email: hr@rit.edu
Environmental Health and Safety	Health and safety, environmental compliance, stewardship, and fire safety requirements and regulations.	Environmental Health and Safety	Director, EH&S	Phone: (585) 475-2966 Text: (585) 475-7092 Email: sekehs@rit.edu
Export Control (Sponsored Research)	Export control for sponsored research projects and Technology Control Plan oversight.	Sponsored Research Services	Interim Director of Sponsored Research Services	Phone: 585-475-7983 Fax: 585-475-7990 Email: djcsrs@rit.edu
Export Control (General Program)	Export control program, training, broad questions, and licensing.	Office of Compliance and Ethics	Associate Vice President, OCE	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Food Safety and Dining Compliance	Federal, state, local, and RIT-required food and dining safety training and compliance oversight.	Office of Compliance and Ethics	Director, Policy & Compliance Safety, Compliance, and Training Manager	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Government and Community Relations	RIT's government relations activities at the federal, state, and local level. Primary liaison between campus community and local, state, and federal officials and agencies.	Government and Community Relations	Associate Vice President	Phone: 585-475-6509 Email: mctgrl@rit.edu
Human Subjects Research	Protect the rights, safety, and welfare of the people who take part in research.	Human Subjects Research Office	Associate Director	Email: hsro@rit.edu
Immigration/Employment of Foreign Nationals	Manages the hiring of foreign nationals and maintenance of eligibility for employment in the United States.	Office of Compliance and Ethics	Compliance and Ethics Manager	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Information Security	Federal and state data and information protection regulations, and industry best practices, including account management, cybersecurity, disaster recovery, HIPAA compliance, network security, and information access and protection.	Information Security Office	Chief Information Security Officer	Phone: 585-475-6972 Email: aldwin.maloto@rit.edu
Medical or Disability Accommodations for Employees	RIT's medical or disability accommodation request process and compliance with the Americans with Disabilities Act (ADA).	Office of Compliance and Ethics	Compliance and Ethics Manager	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Medical or Disability Accommodations for Students	Facilitating equitable access to the full RIT experience for students with disabilities.	Disability Services Office	Director for Disability Services	Phone: (585) 475-2023 Email: dso@rit.edu
Privacy	Regulatory and internal policy requirements and industry standards for personal information and data collection, use, disclosure, and retention.	Office of Legal Affairs	Privacy Officer	Email: dataprivacy@rit.edu
Research Compliance	RIT research project compliance with regulations, including externally sponsored projects, ethical research, human subject research, intellectual property, hazardous waste and laser safety, animal care, conflicts of interest, and research misconduct.	Sponsored Research Services	Interim Director of Sponsored Research Services	Phone: 585-475-7983 Fax: 585-475-7990 Email: djcsrs@rit.edu
Sponsored Programs Accounting	Fiscal administration of externally funded projects including grants, contracts, and special projects.	Office of the Controller	Executive Director, Sponsored Programs Accounting	Phone: (585) 475-6431 Email: trsspa@rit.edu
Sustainability	RIT's sustainability programming and commitment to a goal of carbon neutrality by 2030. Compliance to federal, state, and local regulations (ex: NYS Climate Act).	Sustainable Campus	Senior Advisor to the President for Strategic Planning and Sustainability	Email: sustainability@rit.edu
Title IV	Administration of Title IV of the Higher Education Act of 1965 (HEA) covering United States federal student financial aid programs.	Office of Financial Aid and Scholarships	Assistant Vice President, Financial Aid and Scholarships	Phone: (585) 475-2186 Fax: (585) 475-7270 Email: ritaid@rit.edu
Title IX	Investigates allegations of sex and gender-based discrimination on campus, enforces non-discrimination policies concerning sex-based discrimination, investigates employee allegations of sex-based discrimination. Ensures RIT's adherence to federal and state laws regarding sex-based discrimination.	Office of Compliance and Ethics	Executive Director of Title IX and Clery Compliance/Title IX Coordinator	Phone: (585) 475-4648 Email: complianceandethics@rit.edu
Training (Mandatory)	Manages mandatory compliance training for employees.	Office of Compliance and Ethics	Compliance and Ethics Manager	Phone: (585) 475-4648 Email: complianceandethics@rit.edu

Compliance and Ethics Program

Mission and Vision

Compliance and Ethics Program

Code of Ethical Conduct and Compliance

Governance and Oversight

Risk Identification and Assessment

Policies and Procedures

Training and Communication

Confidential Reporting and Investigation

Third-Party Management

Continuous Improvement, Monitoring, and Review

Compliance Partners Council

All RIT Employees

Resources and Information

University Compliance Contacts