Policy, Compliance and Internal Controls

This department facilitates the integration of the activities, plans, attitudes, policies, systems, resources and efforts of the people of an organization working together to provide reasonable assurance that the organization will achieve its objectives and mission.  

Functional Services

This unit has the functional responsibilities to:

  • Ensure compliance with regulations, policies, and guidelines
  • Identify and remedy the absence of policies
  • Facilitate a university wide Risk Control Self-Assessment
  • Proactively manage risk
  • Consultative compliance, risk management and internal control services
  • Develop and maintain policies
  • Records management

The University at Buffalo uses the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control framework as the basis for a comprehensive internal control program.

Cube describing COSO framework.

Five components of the COSO framework