Compliance

Committees

Section 1

Committees

Campus Ethics and Compliance Risk Committee (CECRC)

Campus Ethics and Compliance Risk Committee (CECRC) comprises senior campus leadership responsible for the various areas of compliance risk and is advisory to the UCOP Senior Vice President and Chief Compliance and Audit Officer. It is co-chaired by the Provost/Executive Vice Chancellor and Campus Ethics and Compliance Officer. CECRC is charged with communicating and identifying potential areas of compliance vulnerability and risks in all aspects of campus operations, developing risk assessment tools for campus use in identifying and mitigating high-risk compliance areas, and monitoring the effectiveness and consistency of compliance practices throughout the campus.

Standing CECRC members are the individuals assigned to the following roles. The co-chairs may amend the membership from time to time, as needed.

Campus Ethics and Compliance Risk Committee (CECRC) members:

  • Provost and Executive Vice Chancellor – Co-Chair
  • Associate Chancellor, Equal Opportunity and Compliance – Co-Chair/Campus Ethics and Compliance Officer (CECO)
  • Vice Provost for Academic Personnel, Academic Affairs
  • Vice Chancellor, University Advancement and Alumni Relations
  • Chief Campus Counsel
  • Associate Chancellor and Chief of Staff
  • Executive Director, Environmental Health and Safety
  • Director of Compliance, Equal Opportunity and Compliance
  • Chief Financial Officer and Vice Chancellor, Division of Finance and Administration
  • Associate Vice Chancellor, Campus Operations, Division of Finance and Administration
  • Director, Internal Audit Services, Division of Finance and Administration
  • Risk Manager, Division of Finance and Administration
  • Associate Chancellor & Chief Human Resources Executive, Human Resources
  • Chief Information Officer and Associate Vice Chancellor, Office of Information Technology
  • Chief Information Security Officer, Technology & Operations, Office of Information Technology
  • Director, Intercollegiate Athletics
  • Chief Compliance & Privacy Officer, School of Medicine
  • Senior Vice President and Chief Compliance & Audit Officer, UCOP
  • Chief of Staff, Ethics, Compliance & Audit Services, Office of the President
  • Associate Provost and Executive Vice Chancellor
  • Vice Chancellor for Research, Office of Research
  • Vice Chancellor, Student Affairs
  • Assistant Compliance Officer, Whistleblower Office

The Risk Intelligence Committee (RIC)

The Risk Intelligence Committee (RIC) is a team of subject matter experts that work to ensure the campus has a current and comprehensive understanding and management of risks. It is co-chaired by the Risk Manager and Director of Compliance. RIC reports to the CECRC and supports and advises CECRC on all matters related to the University’s enterprise-level risks and the effectiveness of their controls. RIC contributes to the risk assessment process by continuously identifying, assessing, and evaluating risk across the campus and health system.

Standing RIC members are individuals assigned to the following roles. The co-chairs may amend the membership from time to time, as needed.

Risk Intelligence Committee (RIC) members:

  • Risk Manager, Risk Services – Co-Chair
  • Director of Compliance, Equal Opportunity and Compliance – Co-Chair
  • Manager, Administrative Policies
  • Principal Analyst, Budget Office
  • Campus Counsel, Office of Campus Counsel
  • Compliance Analyst, Human Resources
  • Director, Emergency Management
  • Executive Director, Environmental Health and Safety
  • Assistant Director, Academic Safety Coordinators & Fire Safety (in Environmental Health and Safety)
  • Assistant Director, Safety and Injury Prevention (in Environmental Health and Safety)
  • Associate Vice Chancellor, Division of Finance and Administration
  • Chief Compliance & Privacy Officer, Health Affairs
  • Senior Director, Enterprise Infrastructure, Office of Information Technology
  • Director, Internal Audit Services
  • Director, Human Research Protections, Office of Research
  • Senior Loss Control Analyst, Risk Services
  • Assistant Dean, Social Ecology
  • Executive Director, Student Health
  • Assistant Vice Chancellor, Student Life & Leadership Dean of Students
  • Assistant Compliance Officer, Whistleblower Office