The functions as an Independent and Objective Body whose main role is to ensure effective compliance with all applicable laws and regulations, as well as with internal rules, policies and procedures that safeguard the institution.
The Compliance Department's services reflect the Institution's commitment to the highest standards in all of its activities. The department's services include the following key activities:
Advice and partner with Management to identify and/or mitigate risk areas and proactive involvement with senior management on strategic compliance initiatives.
Assist Management in the development and delivery of compliance related training; development of communication strategies to increase awareness of internal controls, compliance requirements and risk.
Assist Management by gathering and quantifying best practice alternatives for process improvement, team facilitation and integration of new requirements.
Provide advisory services at the request of management, faculty or staff regarding compliance with applicable laws, regulations, agreements and internal procedures.
Assist Management in the development of policies and procedures to help ensure compliance with national, local and third party laws and regulations, and contract/grant provisions.
The department has full, free and unrestricted access to properties, functions, activities, records, reports, files, information systems, premises, personnel and other information in any and all areas and auxiliary areas within the Institute necessary for the performance of compliance functions.
The general scope of compliance audit coverage is DLSHSI-wide and no function, activity or department is exempt from compliance audit and review. No officer, administrator or staff member may prohibit the compliance officer from examining any record or interviewing any employee or student that the officers think are relevant to their compliance audits and reviews.
The Compliance Department has no authority or responsibility over the activities it reviews or assesses and may not perform additional operational duties, direct disciplinary or remedial actions, or establish policy outside the Office's area of responsibility except as directed by the administration.
Participation in planning, development, implementation, or modification of Institutional systems or processes is limited to an advisory or consulting role and is managed so as to provide independence when conducting future assessments. The Compliance Department does not develop and install procedures, prepare records, make management decisions or engage in any other activity that could be reasonably construed to compromise their independence. Therefore, Compliance audits and reviews, do not, in any way, substitute for or relieve other Office personnel from their assigned responsibilities.
The Compliance Department has the right to start investigations at its own initiative, when deemed necessary. In such case, the Compliance Department may use the expertise from other units within the organization (e.g. Legal consultant and Information Technology Center); the Compliance function remains, however, responsible for coordinating the investigation and for presenting the outcome of the analysis to Executive Management and/or the Board of Trustees, if appropriate.
The Compliance Department has the right to recourse to the expertise or technical means of third parties outside the Institution or within the same group, for certain specific or technical aspects, but retains responsibility for outsourced or co-sourced assignments.
In carrying out our mission, we share certain beliefs and values. We are committed to:
provide excellent professional service to the De La Salle Health Sciences Institute;
maintain our independence and objectivity;
conduct ourselves with the highest degree of fairness and integrity, and complying with the Code of Ethics established by Compliance Officers Group;
maintain relationships with the DLSHSI community characterized by respect, helpfulness, sharing, patience and openness;
demonstrate a high level of personal productivity and timeliness;
achieve continuous professional improvement through the pursuit of professional certifications and educational goals in the profession; and
perform sufficient compliance work to provide reasonable assurance.
Quality in a review is achieved when:
The review results in a positive impact on processes where such opportunity exists.
There is good communication between the Compliance officer and the concerned department under review.
The Compliance audit objectives, scope and procedures are constantly reassessed to ensure efficient use of review resources.
Compliance audit objectives are achieved in an efficient and timely manner.
