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 |
|---|---|
| Justin Schwartz | Chancellor |
| Russell Moore | Provost and Executive Vice Chancellor for Academic Affairs |
| Mark Kavanaugh | Associate Vice Chancellor and Chief of Staff to the Provost - Ex Officio |
| Patrick O'Rourke | Executive Vice Chancellor and Chief Operating Officer |
| Jennifer McDuffie | Deputy Executive Vice Chancellor and Senior Compliance and Policy Officer |
| Catherine Oja | Director of Compliance, Ethics and Policy |
| Elvie Stehle-Henson | University Counsel - Ex Officio |
Frequency of Meetings:ϳܲٱ
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, Compliance, Ethics and Policy |
| Jennifer McDuffie | Senior Compliance and Policy Officer, Strategic Resources and Support |
| Holly Gates-Mayer | Assistant Vice Chancellor, Environmental Health and Safety |
| Erin Frazier | Assistant Vice Chancellor of Constituent Engagement, Strategic Relations and Communications |
| Jill Keegan | Senior Associate Athletic Director for Compliance and the Senior Woman Administrator, Athletics |
| Kenny Nelson | Assistant Vice Chancellor of HR Shared Services and Employee Relations, Human Resources |
| Alex Loyd | Associate University Counsel |
| Elizabeth McVeigh | Assistant Vice Chancellor of Enrollment Business Solutions, Enrollment Management |
| Megan Clark | Assistant Vice Chancellor of Case Resolutions and Deputy Title IX Coordinator, Office of Institutional Equity and Compliance |
| Julie deFalco | Assistant Vice Chancellor and Campus Controller, Finance and Business Strategy |
| Jon Reuter | Associate Vice Chancellor of Research Integrity and Compliance, Research & Innovation Office |
| Brian Lindoerfer | Associate Vice Chancellor for Facilities Management, Infrastructure and Sustainability |
| Cheryl Barbour | Assistant Director of Policy & Compliance, Student Affairs |
| Alexa Van Dalsem | Director, Office of Contracts and Grants |
| Chadd Medina | Director, University Risk Management |
| Cindy Thill | Assistant Vice Chancellor, Health and Wellness Services |
| Sarah Braun | Information Security Officer, Office of Information Security |
| Marlon Lynch | Associate Vice Chancellor for Public Safety, Integrity, Safety & Compliance |
A community for compliance professionals across campus and those with a passion for compliance to promote a culture of compliance through the implementation of compliance initiatives. To learn more send an email to compliace@colorado.edu.
Participants: Limitless, compliance professionals
Meeting Frequency:ϳܲٱ (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