Compliance and Ethics Program
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.
University Compliance Contacts
| 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 Non-Emergency: 585-475-2853 |
| 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 Non-Emergency: 585-475-2853 |
| 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 | Director of Research Compliance | 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 | Director of Research Compliance | 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 |