Committees

Compliance is a shared responsibility. Partnership across campus is therefore key to ensuring compliance at the University of Colorado Boulder. Through the Executive Compliance Committee, Compliance Advisory Committee, and the Compliance Community of Practice, individuals across the University work together to model a culture of compliance and collaboratively develop processes to identify and fulfill legal and policy responsibilities.

Compliance Committees at the University of Colorado Boulder

The Executive Compliance Committee (ECC) is composed of the Chancellor, COO and Provost to advance the University’s values and provide consistent, coordinated, and proactive oversight to emerging compliance issues affecting higher education. The ECC works to:

Review and approve the risk assessment and the Annual Compliance Plan
Review and approve compliance priorities which are the minimum requirements and/or best practices developed by the compliance advisory committee for high-risk and emerging compliance areas
Provide oversight over compliance with university rules and policies, and laws and regulations
Monitor the progress of the Compliance Advisory Committee regarding the execution of the Annual Compliance Work Plan
Proactively mitigate university-level risks
Model a Culture of Compliance

Participants:

Name	Title
Philip P. DiStefano	Chancellor
Catherine Shea	Chief of Staff to the Chancellor
Russell Moore	Provost
Mark Kavanaugh	Chief of Staff to the Provost
Patrick O'Rourke	Executive Vice Chancellor and Chief Operating Officer
Jennifer McDuffie	Deputy Chief Operating Officer
Catherine Oja	Director of Compliance
Elvie Stehle-Henson	University Counsel

Frequency of Meetings: Quarterly

Purpose: The purpose of the Executive Compliance Committee is ensure awareness and alignment with the campus leadership on critical campus wide compliance, policy, and ethics practices.

Outcomes:

Awareness from Executive Leadership
Direction and Decisions on Policy and Compliance matters
This may include SMEs invited to participate
Effective Risk Mitigation

The Advisory Committee provides advice and recommendations to the Executive Compliance Committee based upon the members’ expertise and knowledge of activities across campus.

Compliance Advisory Committee:

Responsible for operational level implementation of the Chancellor’s charge, including the Enterprise Risk Management process for the campus.
Ensure appropriate elevation, accountability, and decision-making of urgent risk and compliance issues
Study and make recommendations with regard to best practices for high risk areas and monitor activities and report periodically to the ECC
Implements the vision, mission and goals for the campus operational “integrity” program.
Identify and prioritize resource needs.
Identify educational and training needs.
Champion and identify other champions of the culture of operational integrity within the sphere of influence.
Coordinate, review and implement compliance communications plan and activities including Chancellor messaging, compliance website, etc.
Model a Culture of Compliance

Participants:

Name	Title
Catherine Oja	Chair, Director of Compliance, Ethics and Policy
Jennifer McDuffie	Deputy Chief Operating Officer
Holly Gates-Mayer	Assistant Vice Chancellor, Environmental Health and Safety
Erin Frazier	Senior Director of Campus Communications and Engagement, Strategic Relations
Jill Keegan	Senior Associate Athletic Director for Compliance and the Senior Woman Administrator
Kenny Nelson	Assistant Vice Chancellor, HR Shared Services and Employee Relations
Alex Loyd	Associate University Counsel, Advisory Role
Elizabeth McVeigh	Assistant Vice Chancellor for Enrollment Business Solutions
Megan Clark	Director of Case Resolutions, OIEC
Vacant	Campus Controller
Jon Reuter	Assistant Vice Chancellor, Research Integrity and Compliance
Brian Lindoerfer	Assistant Vice Chancellor, Facilities Management
Cheryl Barbour	Assistant Director of Policy & Compliance, Student Affairs
Alexa Van Dalsem	Deputy Director, Office of Contracts and Grants
Chadd Medina	Risk Management
Cindy Thill	Assistant Vice Chancellor, Health and Wellness Services

A community where compliance professionals across campus, or those with a passion for compliance can gather to promote a culture of compliance through the implementation of compliance initiatives. To learn more send an email to compliace@colorado.edu.

Participants: Limitless, but compliance specific professionals

Meeting Frequency: Quarterly (virtual) and in person annually

Purpose:

Sharing information on what is upcoming in their respective units
Challenges with policy and compliance
Providing alignment with compliance efforts on campus

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Committees

Compliance Committees at the University of Colorado Boulder