合规委员会
执行合规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)
- Executive Vice President, Chief Academic Officer and Dean, Graduate School of Biomedical Sciences;
- Executive Dean ad Interim, McGovern Medical School;
- Executive Vice President, Student Affairs and Diversity;
- Senior Vice President and Chief Financial Officer;
- Dean, Cizik School of Nursing;
- Professor and Associate Dean, School of Dentistry;
- 副总裁兼首席法律官；
- 副总裁兼首席人力资源官；
- 副总裁兼首席信息官；
- Assistant Vice President and Chief Audit Officer;
- Vice President of Enterprise Risk Management and Chief Compliance Officer
The ECC is responsible for the following:
- 审查和批准管理机构合规计划的政策和程序，包括向Uthealth社区传达政策和程序的计划；
- 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;
- 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；
- 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;
- 审查首席合规官的报告，有关对材料/重大不合规的机密报告的调查和解决，并向首席合规官提供有关此类调查的指导，除非此类审查和指导会损害调查和/或其发现；
- 确保通过纠正措施和/或纪律处分来适当解决所有违规的发现，以防止将来再次复发类似的违规行为；
- 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,
- 总统认为适当的方式支持机构合规计划。
The ECC has established an Institutional Compliance Committee (ICC) which meets quarterly in a joint meeting with the ECC. The ICC is composed of:
- Dean of the School of Dentistry
- Dean of the School of Nursing
- 公共卫生学院院长
- Dean of the Graduate School of Biomedical Sciences
- Dean of the School of Health Information Sciences
- The University of Texas Harris County Psychiatric Center Administrator
- Any Risk Area Designated Responsible Party (DRP) not already listed
ICC审查了所有ECC活动的季度摘要，并将机构合规性信息传达给每个成员各个领域。