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Executive Compliance Committee

Executive Compliance Committee

The Executive Compliance Committee (ECC) is responsible for providing advice and guidance to the President and the Chief Compliance Officer on the design and operation of the Institutional Compliance Program. The ECC is convened by the President and is composed of the following executive leadership positions:

  • President (Chair)
  • Senior Executive Vice President and Chief Operating Officer  
  • Executive Vice President, Student Affairs and Dean of Education, McGovern Medical School
  • Executive Vice President, Chief Academic Officer 
  • Senior Vice President of Academic and Senior Associate for Faculty Affairs 
  • Senior Vice President, UTHealth and Chief Operating Officer, Practice Plan
  • Senior Vice President, Finance & Business Services and Chief Financial Officer
  • Senior Vice President of Clinical Affairs and Strategy, McGovern Medical School 
  • Vice President and Chief Human Resources
  • Vice President and Chief Information Officer
  • Dean, Cizik School of Nursing
  • Title IX Coordinator and Vice Dean for Admissions and Student Affairs, McGovern Medical School
  • Associate Vice President of Faculty Affairs and Development and Associate Dean for Professional Development and Faculty Affairs, School of Dentistry
  • Assistant Dean of Students and ADA/504 Coordinator, School of Public Health
  • Deputy Title IX Coordinator and Associate Vice President of University Relations and Equal Opportunity
  • Chief Information Security Officer

Ex Officio Members:

  • Senior Vice President and Chief Legal Officer
  • Vice President and Chief Audit Officer
  • Chief Compliance Officer

The ECC is responsible for the following:

  • Reviewing and approving policies and procedures that govern the Institutional Compliance Program, including plans for communicating the policies and procedures to the UTHealth community;
  • Ensuring that appropriate compliance education and training (both general and specific) is provided to all members of the University community on a regular basis;
  • Ensuring that the Institutional Compliance Program is designed to prevent and/or detect non-compliance with applicable laws, regulations, and policies, including regular review of the confidential reporting function;
  • Ensuring that an annual compliance risk assessment is conducted, compliance risks are prioritized, and the highest risks to the University are identified and designated as Institutional High Risks;
  • Ensuring that appropriate processes are in place to control or manage the Institutional High Risks;
  • Reviewing and approving the UTHealth Institutional Compliance Plan and revisions to the Plan;
  • 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;
  • Ensuring the consistent enforcement of compliance standards, including the fair, equitable, and consistent disciplinary action of individuals responsible for non-compliance;
  • Evaluating the Institutional Compliance Program infrastructure on a periodic basis; and,
  • Support of the Institutional Compliance Program in ways the President deems appropriate.