Role
The University of Louisville Institutional Compliance Committee (ICC) assists and supports the Compliance Oversight Council (COC) in fulfilling its oversight responsibilities. The ICC is the keystone to the structure for implementing the University of Louisville’s compliance program. The ICC is charged by the COC to oversee the University’s compliance activities and programs and to ensure they are reasonably designed, implemented, enforced and generally effective in detecting and minimizing risk of violations of university policies, regulations or laws.
Membership
The membership of the ICC consists of a combination of responsible parties for current compliance high risks (or their designees) and representatives from other stakeholder groups across the University of Louisville. The Institutional Compliance Officer acts as chair. The structure is divided into a leadership team and the full committee. The Leadership team will work to determine the strategic agenda for the ICC on a yearly basis.
Meetings
The ICC meets quarterly or more frequently at the request of the COC or the Institutional Compliance Officer. Evidence of the discussions of the ICC and the actions taken by the ICC should be reflected in recorded summary of the meeting. A majority of voting members constitutes a quorum and attendance should be recorded in the meeting summary.
Responsibilities
The ICC’s specific responsibilities are as follows:
(1) Serves as the working committee of the COC to assist the Council in fulfilling its responsibilities.
(2) Review the results of institutional compliance risk assessments to identify emerging risk areas and high risk activities within the institution and recommend to the COC those high risks which require executive oversight.
(3) Review summary report of confidential reporting and investigation activity and recommend institutional process modifications to address operational issues.
(4) Provide guidance to the COC in the development of policies and standards related to compliance awareness, training, monitoring, and response (including corrective action, sanctions and enforcement) to identify, avoid and/or minimize non-compliance with applicable laws, regulations and policies.
Leadership Team:
1. Institutional Compliance Officer, Chair
2. Research
3. Business Affairs
4. Finance
5. Information Security
Additional Full ICC Members:
6. Privacy
7. Human Resources
8. Athletics
9. Health Affairs
10. Human Subjects
11. Environmental Health and Safety
12. Research Resources Facility
13. Technology Transfer
14. Clinical Contracts Division & Office of Industry Engagement
15. Sponsored Programs Administration
16. Purchasing
17. Information Technology
18. Enrollment Management
19. Student Affairs
20. Faculty Representative
21. Faculty Representative
22. Export and Secure Research
23. University Counsel (Ex Officio)
24. Faculty Senate (Ex Officio)
25. Staff Senate (Ex Officio)
26. Student Government (Ex Officio)
27. Graduate Student Council (Ex Officio)
28. Audit Services (Ex Officio)
Effective Date: November 15, 2010
Last Revised: November 18, 2013