Administrative Affairs

Audit, Risk, Compliance & Ethics Program

What is Audit, Risk, Compliance, and Ethics (ARCE)?

UW-Whitewater is committed to compliance with UW System policy and Wisconsin state policy, as well as federal policies, laws, and regulations that govern its many activities. Our campus also strives to incorporate general audit, risk, compliance and ethics-related best practices, and is passionate about fostering a safe, inclusive and welcoming environment for our students, staff, faculty and visitors. These efforts are often complex and require coordination among several departments across the University.  This is why we formed ARCE – as a way to leverage our people and resources to accomplish related goals and create a space for conversation around how Warhawks Do The Right Thing!

 

ARCE is a committee with participation from subject matter experts (SMEs) across the Whitewater campus who share risk and internal control data, information, knowledge and solutions to achieve optimal and best practice-driven results in support of our University's mission. 

 

Our Mission: Collaborate to identify and manage our full range of ARCE-related challenges.

The ARCE Committee will champion resultant successful strategies and will be charged with communicating them to the campus for broader application.

 

Why is it Important?

Monitoring and maintaining compliance is one of the most important ways for an organization to maintain its ethical health, support its long-term prosperity, and preserve and promote its values. 

 

Steps of an Effective Governance/Compliance Program

The Seven Elements of an Effective Governance/Compliance Program guides the ARCE and its work. 

The Seven Elements of an Effective Governance/Compliance Program

 

Tools and Resources 

 

User Friendly Principles (English)

User Friendly Prinicples (Spanish)

Overview: The User Friendly Principles poster expresses our campus commitment to positive interpersonal communication in which we treat everyone with respect and appreciation, regardless of our differences.

Click on the links to the left to download a printable 8.5" x 11" size poster in English and Spanish.

If you would like to request this poster in another language, or would like a larger, printed copy you can contact the Quality Assurance Improvement Manager for more information at stokesa@uww.edu.

How to Conduct a Self-Evaluation of Your Compliance and Ethics Program

Overview: This resource offers guidelines for evaluating general compliance and ethics standards and best practices.

Self Assessment Tool

Overview: This tool allows departments and/or divison to assess their own control environment.

Risk Assessment Tool

Overview: This tool allows departments to identify and assess potential risks and their  impact. Users can also track control effectiveness and determine risk ratings for mitigation plans and procedures.

Management Response Review

Overview: This spreadsheet contains three (3) years of audit findings, with a total of seventy-eight (78) management responses.

Title IX Overview

Overview: This document lists recent Title IX trainings, initiatives, and other resources for reference.

2018 Ethics Presentation

Overview: This is a PDF version of UW System's 10/01/18 Ethics Presentation slide deck.

Employee Assistance Program

Overview: This notice provides infomation petaining to our Employee Assistance Program (EAP), which offers services for employees, their dependents, and anyone living in their household.

Employee Ethics and Public Records Management Memo and Handout

Overview: This Memorandum highlights ethics-related best practices for employees, as well as expectations related to proper public records management. 

Financial Services-Internal Control Memo

Overview: This doucment provides information on our internal control project, which strives to achieve a strong internal control environment.