Committees
Compliance is a shared responsibility and partnership across campus is key to ensuring compliance at the 勛圖厙 of Colorado Boulder. Through the Executive Compliance Committee, Compliance Advisory Committee, and the Compliance Community of Practice, individuals across the 勛圖厙 work together to model a culture of compliance and collaboratively develop processes to identify and fulfill legal and policy responsibilities.
Compliance Committees at the 勛圖厙 of Colorado Boulder
The Executive Compliance Committee (ECC) is composed of the 勛圖厙, COO and Provost to advance the 勛圖厙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 | 勛圖厙 |
| Ann泭Schmiesing | Senior Vice 勛圖厙 for Strategic Initiatives泭 |
| Ann Stevens | Provost and Executive Vice 勛圖厙 for Academic Affairs |
| Mark Kavanaugh | Associate Vice 勛圖厙 and Sr. Executive Advisor to the Office of the Provost - Ex Officio |
| Janel Forde | Senior Vice 勛圖厙 for Operations |
| Catherine Oja | Director for the Office of Compliance, Ethics and Policy |
| Vacant | 勛圖厙 Counsel -泭Ex Officio |
Frequency of Meetings:泭Quarterly
Purpose:泭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 勛圖厙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 勛圖厙 messaging, compliance website, etc.
- Model a Culture of Compliance
Participants:
| Name | Title |
|---|---|
| Catherine Oja | Chair | Director, Office of Compliance, Ethics and Policy泭 |
| Janel Forde | Senior Vice 勛圖厙 for Operations |
| Holly Gates-Mayer | Assistant Vice 勛圖厙, Environmental Health and Safety |
| Erin Frazier | Assistant Vice 勛圖厙 of Constituent Engagement, Strategic Relations and Communications |
| Paul Pierce II | Senior Associate Athletic Director for Compliance |
| Carla Anthony | Assistant Vice 勛圖厙 for Employee Relations, Compliance and Performance Management, Human Resources |
| Alex Loyd | Associate 勛圖厙 Counsel |
| Elizabeth McVeigh | Assistant Vice 勛圖厙 of Enrollment Business Solutions, Enrollment Management |
| Megan Clark | Assistant Vice 勛圖厙 of Case Resolutions and Deputy Title IX Coordinator, Office of Institutional Equity and Compliance |
| Julie deFalco | Assistant Vice 勛圖厙 and Campus Controller, Finance and Business Strategy |
| Jon Reuter | Associate Vice 勛圖厙 of Research Integrity and Compliance, Research & Innovation Office |
| Brian Lindoerfer | Associate Vice 勛圖厙 for Facilities Management, Infrastructure and Sustainability |
| Cheryl Barbour | Assistant Director of Policy & Compliance, Student Life |
| Alexa Van Dalsem | Senior Director, Office of Contracts and Grants |
| Chadd Medina | Director, 勛圖厙 Risk Management |
| Cindy Thill | Assistant Vice 勛圖厙, Health and Wellness Services泭 |
| Sarah Braun | Information Security Officer, Office of Information Security |
| Gabby Wright | Senior Executive Advisor, Integrity, Division of Public Safety |
| Katherine Eggert | Vice 勛圖厙 and Senior Vice Provost for Academic Planning and Assessment, Academic Affairs |
| Burke Hilsabeck | Director, Faculty Relations & Community |
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泭compliace@colorado.edu.
Participants:泭Limitless, compliance professionals
Meeting Frequency:泭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