Institutional Compliance Committee

The Institutional Compliance Committee (ICC) was established by and reports to the Enterprise Risk Management Committee. As operational owners, the ICC will assist the University in maintaining an effective compliance and ethics program by ensuring compliance activities are reasonably designed, implemented, and generally effective in preventing and detecting risks or compliance violations. Through engagement in regular meetings and sub-committee participation, committee members will work collaboratively to ensure the coordination of compliance activities across the institution. The committee will further take or recommend necessary actions to promote a culture of ethical conduct and commitment to compliance with laws, policies and regulations.

Members

Members of the ICC are appointed by the Enterprise Risk Management Committee and include designees who have responsibility for key compliance areas including, but not limited to:

  • Executive Director of ERM, Compliance & Safety - Michael Humes - Chair
  • General Counsel - Maureen Redeker (as advisor)
  • Director of Internal Audit - Steve Carpenter
  • Athletic Compliance Officer - Alex Mena
  • Director of Human Resources - David McGuire
  • Director of Equal Opportunity and Clery Compliance - Jake Johnson
  • Director of IT Security - Jim Shakespear
  • AVP for Finance & Administration - Mitch Bealer
  • Director of Purchasing - Brad Brown
  • Associate Provost - James Sage
  • Director of Financial Aid & Scholarships - David Hughes
  • University Registrar - Andrew Burroughs
  • Associate Vice President of International Affairs - Stephen Allen
  • AVP Enrollment Management - Brandon Wright
  • Director of SPARC - Sylvia Bradshaw
  • Deputy Executive Director of Aviation - David Dyches
  • Director of Disability Services - Carmen Alldredge
  • Coordinator of Health & Wellness - Jessie Mineer
  • Director, Veteran Resource and Support Center - Michael Miller
  • Executive Director of Development - Janet Borg
  • Legal Services Administrator - Support Staff - Gina Marston

Roles & Responsibilities

Members of the ICC will be knowledgeable about the content and operation of the University’s compliance program and will further exercise day-to-day oversight of the implementation and effectiveness of program activities, including:


  • Participating in discussions aimed at identifying, prioritizing, and remediating institutional risks. This includes evaluating risks associated with emerging compliance issues, and enhancing accountability by ensuring that all aspects of compliance are assigned to specific responsible offices and individuals.
  • Preparing annually for review by the Enterprise Risk Management Committee a University Compliance Matrix and compliance risk assessment.
  • Ensuring that university policies and procedures are effectively communicated across the university and that training resources are in place.
  • Identifying areas where university policies and procedures need to be established or enhanced, including developing a response to new or revised regulatory requirements.
  • Analyzing the effectiveness and efficiency of existing compliance processes.
  • Ensuring that the university has exercised due diligence with respect to its efforts to establish compliance standards and procedures that identify and prevent wrongdoing.
  • Communicating and promoting a culture of compliance at the University.

Operations

The committee strives to meet quarterly, or more frequently as circumstances dictate, and regularly report (through the Executive Director of ERM, Compliance and Safety) to the Enterprise Risk Management Committee.