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Committees

The Office of Institutional Compliance supports and actively contributes to committees that fall into two groups: oversight and operational. Detailed information about these committees is provided below.

If you would like to contribute your ideas to a committee or have any questions please Contact Us.

> Compliance Oversight Committee
> Operational Committees

Compliance Oversight Committee

Purpose:

The Compliance Oversight Committee is charged by the President to oversee the University’s compliance activities and programs to ensure they are reasonably designed, implemented, enforced and generally effective in preventing and detecting violations of the law. The Committee oversees actions to promote an organizational culture that encourages a commitment to compliance and ethical conduct.

Responsibilities:

The Committee is responsible for assuring that the University’s compliance programs have the core elements of a model compliance program. These elements include, but are not limited to:

• Conducting regular risk assessments; reviewing risk assessments; and taking steps to reduce the compliance risks identified by risk assessments
• Assuring that compliance roles and responsibilities are clearly established across the University system
• Assuring that the University implements standards of conduct, policies, procedures and internal control systems reasonably capable of reducing misconduct
• Requesting and receiving information on the effectiveness of the compliance programs from individuals with day-to-day operational responsibility
• Assuring that individuals responsible for the compliance and ethics program have adequate resources, authority, and competencies to carry out their responsibilities

Membership:
The membership of the Compliance Oversight Committee consists of members of senior management selected by the University’s President, and other persons as deemed appropriate. The current membership is:

• Vice President & Vice Provost For Equity & Diversity
• Vice President for Human Resources
• Vice President for Research
• Vice President for University Services
• General Counsel
• University Auditor
• Director of Institutional Compliance

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Operational Committee

The Office of Institutional Compliance supports the Research Compliance Committee. This committee represents institutional risk areas which cross unit and departmental boundaries.

Purpose:
The purpose of this committee is to

• Identify emerging compliance risks,
• Identify and share best practices,
• Exchange information and resources,
• Assess compliance needs and opportunities
• Oversee and implement compliance initiatives.

Objective:

The Committee is structured to facilitate coordination among areas of the University with compliance responsibility and to assist the University in managing compliance responsibilities. The Committee also provides an institutional focus to compliance issues, cross-fertilize ideas, integrate compliance efforts, and cooperatively develop compliance best practices.

Research Compliance Committee Membership:
The committee is comprised of representatives from areas across the University that have compliance responsibilities for research. These areas include:

• Chairs: Sue Paulson, Director, Sponsored Financial Reporting
• Audits
• Environmental Health and Safety
• Privacy Office
• HIPAA
• Office for Equity and Diversity
• Office for the Vice President for Research
• Oversight, Analysis and Reporting
• Office for Technology Commercialization
• Regulatory Affairs
• Research Animal Resources
• Sponsored Financial Reporting
• Sponsored Projects Administration
• University’s Institutional Review Board
• University’s Institutional Animal Care and Use Committee

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Suggestions, Concerns, Ideas for the Compliance Committees

If you have a suggestion or concern about fiscal, safety, or research compliance process at the U, and you want to share it with a compliance committee please Contact Us.