Compliance Committee (UCC): Office for Audit and Advisory Services - Northwestern University

University Compliance Committee

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Mission

The University Compliance Committee (UCC) is an information-sharing and awareness-raising advisory group that provides leadership and helps ensure accountability for University compliance. The UCC accomplishes this by identifying and evaluating institutional risks and communicating recommendations to senior management to aid in remediation efforts.

Charter

• Members of the UCC are appointed by the Provost and Senior Vice President for Business and Finance. The Associate Vice President for Auditing and Compliance serves as the chair of the UCC.
• The UCC will meet at least quarterly or more frequently as determined by the chair.
• Efforts of the UCC are reported by the Chair to the Provost, Senior Vice President for Business and Finance, President, and Audit Committee of the Board of Trustees on a quarterly basis.
• Compliance remains the responsibility of operational and/or functional managers throughout the organization.

Objectives

• Identify all University functions involved in compliance activities
• Define the key components of an effective compliance program
  • Determine if key components are in effect and have been documented by each area of compliance jurisdiction
  • Critique the results of each unit’s determination
  • Assess and prioritize risks in each area of jurisdiction
  • Identify significant compliance risks not being adequately addressed within a unit’s organizational structure for elevation to senior management
• Compile universe of compliance matters (laws, regulations, or other binding rule/agreement) related to each area of jurisdiction
• Participate in discussions aimed at identifying, prioritizing, and remediating institutional risks
• Share information relevant to other compliance functions to seek remediation
• Aid in identification of cross-jurisdictional issues where exposures may not have been addressed
• Evaluate the institutional risk associated with emerging compliance issues and ensure accountability has been established