Roles and Responsibilities

Everyone throughout the Augusta University and Health System enterprise has a role in keeping the commitment to compliance with federal and state laws, regulations, and institutional policies.

Individual Employee:  Primary responsibility for compliance/risk management is vested in each individual, commensurate with that individual’s specific job title and responsibilities. A responsible employee will ensure he/she is familiar with policies and procedures, complete all required training assignments, and follow the rules of conduct and/or code of ethics. 

Responsible Functional Office and Officer:  Each responsible functional office/officer/unit manager shall take reasonable steps to ensure that all employees in the unit are familiar and compliant with all applicable rules, policies, regulations and laws. When applicable, it is also the functional officer’s responsibility to ensure that other individuals (employees, contractors, etc.) working/conducting Augusta University business are also familiar and in compliance with the rules, policies, regulations, and laws that fall under their governance.  It is also the functional officer’s responsibility to address non-compliance issues when discovered.  At least annually, the functional officer will be requested to submit risk assessments that will be used to compile a campus-wide compliance report.  If compliance issues occur that need immediate attention, the functional officer will direct their concerns through the responsible senior administrator, who will bring the issue to the Chief Integrity Officer.

Responsible Senior Administrator:  Responsibility for specific compliance duties will be assigned to the respective vice president and/or deans, directors or chairs who in turn may delegate functional responsibility to an individual (office and officer) who reports to them.  Each vice president/senior administrator is charged with coordinating compliance/risk management activities within the units reporting to him/her and for bringing any related concerns to the attention of the Chief Integrity Officer.  Delegation of functional responsibility does not relieve an administrator of his/her obligation to ensure compliance.

Compliance Officer:  The Chief Integrity Officer is designated as the position responsible for coordinating compliance throughout the Augusta University and Health System enterprise. This responsibility shall include chairing various compliance committees and maintenance of the Compliance Matrix, which is a work in progress.