Compliance Committees
执行合规委员会(ECC)负责向总统和首席合规官提供有关机构合规计划的设计和运营的建议和指导。ECC由总统召集,由以下执行领导职务组成:
- 总裁(主席)
- 执行副总裁,首席学术官兼生物医学研究生院院长;
- 麦戈文医学院执行院长AD Interim;
- 学生事务和多样性执行副总裁;
- 高级副总裁兼首席财务官;
- Cizik护理学院Dean;
- 牙科学院教授兼副院长;
- Vice President and Chief Legal Officer;
- Vice President and Chief Human Resources Officer;
- Vice President and Chief Information Officer;
- 助理副总裁兼首席审计官;
- 企业风险管理副总裁兼首席合规官
ECC负责以下内容:
- Reviewing and approving policies and procedures that govern the Institutional Compliance Program, including plans for communicating the policies and procedures to the UTHealth community;
- 确保定期向大学社区的所有成员提供适当的合规教育和培训(一般性和特定);
- 确保机构合规计划旨在预防和/或检测违规的适用法律,法规和政策,包括定期审查机密报告功能;
- 确保进行年度合规风险评估,优先考虑合规风险,并确定并指定为大学的最高风险;
- 确保对控制或管理机构高风险进行适当的过程;
- 审查和批准UTHealth机构合规计划和对计划的修订;
- Reviewing reports from the Chief Compliance Officer, regarding the investigation and resolution of confidential reports of material/significant non-compliance and providing guidance to the Chief Compliance Officer on such investigations, unless such review and guidance would compromise the investigation and/or its findings;
- Ensuring that all findings of non-compliance are appropriately resolved through corrective action and/or disciplinary action to prevent recurrence of similar non-compliance in the future;
- 确保持续执行合规标准,包括负责违规的个人的公平,公平和一致的纪律处分;
- 定期评估机构合规计划基础设施;和,
- Support of the Institutional Compliance Program in ways the President deems appropriate.
ECC已经建立了一个机构合规委员会(ICC),该委员会在与ECC的联合会议上每季度开会。ICC由:
- 牙科学院院长
- 护理学院院长
- Dean of the School of Public Health
- 生物医学研究生院长
- 健康信息科学学院院长
- 德克萨斯大学哈里斯县精神病中心管理员
- 尚未列出的任何风险区域指定负责方(DRP)
The ICC reviews quarterly summaries of all ECC activities and communicate institutional compliance information to each members respective area.