About our Office
This is why Loyola is committed to holding ourselves and our community members to the highest standards of ethical and lawful conduct in all our academic and business activities. Loyola is governed by an extensive and complicated collection of laws, rules and regulations. Compliance with this higher-education regulatory landscape is simply non-negotiable; indeed, compliance is everyone's responsibility.
That means we are each responsible for:
- Knowing and understanding the policies, standards, laws, rules and regulations that apply to our area.
- Reporting concerns in a timely manner.
- Working together to resolve concerns.
The Chief Compliance Officer (CCO) exists to help leadership, faculty, staff and students in successfully navigating their responsibilities on behalf of Loyola.
Compliance Program
Loyola’s Compliance Program (“Program”) is designed to proactively identify, address and mitigate compliance risk with a focus on a continuous improvement of its processes and controls. The Program continues to evolve based on regulatory guidance (e.g., the Department of Justice elements of an effective compliance program, federal and state regulations and administrative guidance), and lessons learned from compliance reviews and investigations. The Program is anchored by the following 6 elements:
1) Governance and Oversight
Effective leadership and functional committee structures are in place, with regular reporting to the Board of Trustees and the President of Loyola.
2) Policies and Procedures
Clear expectations and practical guidance regarding behavior and decision-making are available and accessible.
3) Training and Education
Reasonable steps are taken to provide appropriate, relevant, and comprehensive training and education about compliance requirements.
4) Reporting and Investigation
Clear avenues exist to seek guidance or report violations of policy and relevant laws/regulations. Investigations follow appropriate processes and emphasize non-retaliation.
5) Review and Monitoring
Program adherence to compliance requirements is monitored. Emerging and changing laws are tracked. Corrective action plans are developed to address any deficiencies identified through audits and reviews.
6) Risk Assessment and Response
Risk assessments to identify areas of potential risk are periodically conducted. Systemic issues are identified, root causes determined, and solutions implemented to prevent recurrence.
Compliance Matrix
Higher education is highly regulated, with requirements spanning across operations and activities related to research, health and safety, information security and privacy, financial, civil rights, employment, global activities, and athletics.
The following Matrix provides a listing of key compliance areas and the responsible leaders and departments.
The matrix is intended to identify responsibility for compliance with the appropriate individuals and departments.
It is a resource for the Loyola community in locating the appropriate individuals to contact with questions or concerns.
The areas and laws listed are intended as general guidance and not as an exclusive or definitive listing.
The accountable department and leadership listed on each section of the matrix is responsible for ensuring compliance in that particular area.
The Chief Compliance Officer is responsible for periodically reviewing each area, including related procedures and training, making recommendations to the process owner, and reporting as needed.
A new and updated matrix will be released Q4 2026.
Please direct questions about this Matrix to the Chief Compliance Officer.
Reporting
There are multiple avenues that you may pursue to make a report of suspected or actual wrongful conduct, depending on what makes you feel the most comfortable.
Regardless of which method you choose to use, it is important to speak up when you see wrongdoing or have concerns that someone has violated the law or university policies.
Reporting at Loyola
Whom do I tell if I have a concern?
- Your immediate supervisor or manager
Whom do I contact if it is inappropriate to report a concern to my immediate supervisor?
- Department chair or dean of your school
- For any concern, the Associate Vice President, Chief Compliance Officer, or the General Counsel
- For financial misconduct concerns, the Director of Finance or Controller.
- For areas relating to violations of university policies, the General Counsel or Chief Compliance Officer
- For employment-related matters, the Director of Human Resources or the General Counsel.
- For faculty-specific concerns, the appropriate dean or the Vice Provost for Academic Affairs
- For research misconduct, the appropriate dean or the Vice Provost for Research.
- For safety and environmental concerns, the Director of Environmental Health and Safety.
- For equality or nondiscrimination concerns (including sexual harassment), the Director of the Office for Accessible Education, the Title IX Coordinator, or the Director of Human Resources,
- For athletic concerns, the Associate Athletic Director or the Athletic Director.
- For any alleged sexual misconduct that involves a student, the Title IX coordinator, the Director of Student Conduct, the Dean of Undergraduates, the Dean of Graduate and Postdoctoral Studies, or the Counseling Center.
- For immediate help, contact the Loyola University Police Department.
Anonymous Whistleblower Reporting
You may report any concern anonymously using the Loyola reportline, which is managed by the third-party vendor Ethics Point.
Reports may be submitted anonymously and confidentially in English.
Reports will be directed to the appropriate university official for investigation. Reports will not be directed to any individual who is named within the report.
After you complete your report, you will be assigned a unique code called a "report key." Write down your report key and password and keep them in a safe place. This key will allow you to log in at any time, from any place, and follow up on your report. It will also allow you to anonymously access and answer follow-up questions from Rice (if you are comfortable doing so).
Below is the link to Loyola reportline: https://www.loyno.edu/anonymous-whistleblower-reportline
Whistleblower Protection
Loyola prohibits retaliation in any form against a person for reporting in good faith.
Further, it is expected that all personnel will cooperate fully with any investigation by Loyola or law enforcement
Government Reporting
You may also report concerns related to government grants or contracts directly to the government
National Science Foundation (NSF) - Fraud Hotline
U.S. Department of Health & Human Services - Office of Inspector General
U.S. Department of Education - Office for Civil Rights - Complaint Assessment System
Policies
Policy Management
Loyola will take all appropriate and necessary action to deal with a violation of its policy (add reference to policy).
Clear and well organized policies and procedures are an essential resource to guide behavior and decision making, as well as uphold accountability. They communicate responsibilities and expectations for our faculty and staff as members of a non-profit institution of higher education.
Policy management is an integral part of maintaining an effective ethics and compliance program, and achieving our mission as an institution.
Loyola has adopted a Policy Management Program to:
- Promote and shepherd adoption and maintenance of necessary policies to perform the mission and meet legal obligations
- Provide an accurate, up to date, and useful resource to the campus community
- Maintain consistency, transparency and inclusion in the policy creation and revision process
- Help manage the necessary balance between risks and workload burden
The General Counsel and Deputy General Counsel are also a resource for you if you have questions or concerns.
Additional Resources
The following are additional compliance resources and publications:
- Higher Education Compliance Alliance (HECA) provides the higher education community with a centralized repository of information and resources for compliance with federal laws and regulations, including their HECA News and Updates.
- Society for Corporate Compliance and Ethics (SCCE) is a member-based organization that supports compliance and ethics across different industries, including higher education. The SCCE offers many compliance-focused trainings, conferences, and publications.
- Institute of Internal Auditors Three Lines Model looks at the Three Lines of Defense and provides a framework to explain how key organizational roles work together to facilitate strong governance and risk management.
- US Department of Justice (DOJ) Evaluation of Effective Compliance Programs (March 2023) is the Federal framework to evaluate the adequacy and effectiveness of compliance programs.
- Federal Sentencing Guidelines §8B2.1 Effective Compliance and Ethics Program (2021) establish the seven elements of an effective compliance and ethics program used to determine sentencing of organizations. The manual is established by the United States Sentencing Commission.