1. Compliance Officers Working Group Composition: The University Compliance Steering Committee (UCSC) has appointed Compliance Officers who have executive responsibility for key compliance areas, as well as other representatives to participate in a Compliance Officers Working Group (COWG). This group will provide compliance leadership in the University’s academic and administrative units and ensure effective communication and collaboration among those responsible for compliance. The UCSC may appoint additional Compliance Officers and representatives to the Working Group from time to time as it determines is necessary and appropriate to sustain and enhance the University’s Compliance Program.
2. Mission Statement: The University recognizes that the primary locus of its Compliance Program is in the University’s academic and administrative units, where the authority for University policy development and the responsibility for implementation of the Compliance Program reside. Accordingly, the mission of the Compliance Officers Working Group is to assist the UCSC in promoting a culture and understanding of and adherence to applicable federal, state, and local laws and regulations, as well as University policies.
3. Specific Responsibilities of the COWG: The Compliance Officers Working Group will meet regularly throughout the year. The University’s Chief Compliance Officer will coordinate and chair these meetings. The Compliance Officers' Working Group will help ensure that the University implements and maintains an effective Compliance Program by:
a. Reviewing and monitoring ongoing compliance activities, and reporting to the UCSC on progress being made, or recommending corrective actions whenever deficiencies are identified, in the University’s Compliance Program;
b. Reviewing and approving agendas and materials prepared for presentation to UCSC and to the Audit and Compliance Committee of the Board of Trustees;
c. Identifying new and emerging areas of compliance risk relevant to the University’s academic and administrative units for the UCSC;
d. Discussing, planning and recommending to the UCSC coordinated compliance initiatives designed to address identified compliance risks;
e. Identifying and discussing new and/or improved compliance best practices; and
f. Engaging School Liaisons, where appropriate, to disseminate information, receive input based on School experience, and respond to queries.