Compliance Advisory Committee

The Compliance Advisory Committee (CAC) is a standing internal committee that has the responsibility to provide guidance, coordination, insight, and subject matter expertise, as needed, to implement and maintain the enterprise-wide Compliance Program at Indiana University.  This responsibility includes the review and approval of Compliance Program Plan, Annual Work Plan and related policies, as needed, to address potential and existing compliance concerns.

CAC Membership

Standing members of the commitee are the individuals assigned the following roles:

  • Chief Compliance Officer (OVPGC) (Chair)
  • Associate General Counsel (OVPGC)
  • Associate Vice President & Chief Audit Officer (OVPGC)
  • Associate Vice President for Human Resources (OSVPCFO)
  • Chief Policy Officer (OEVPUAA)
  • Chief Privacy Officer (OEVPUAA /OVPIT)
  • Chief Student Welfare and Title IX Officer (OVPGC)
  • Chief Risk Officer (OEVPUAA/ERMC)
  • Chief Security Officer (OEVPUAA /OVPIT)
  • University Director of Environmental Health and Safety (OEVPUAA)
  • University Director, Office of Affirmative Action and Equal Opportunity (OVPGC)
  • University Treasurer (OSVPCFO)

The CAC’s activities serve as an enhancement to any established compliance related processes, policies, and procedures.  While members of the CAC may be individually responsible for major compliance related areas at the University, the role of the CAC is designed to bring their combined extensive experience and expertise to assist the Compliance Office in addressing enterprise-wide challenges, issues, and barriers related to compliance.

University Assurance Council

The University Assurance Council (UAC) is a key component of the University Compliance Program. The role of the UAC involves several other assurance areas in addition to compliance. The UAC promotes a collaborative and consistent approach to ensuring that university operations are performed properly. In this context, the term properly involves a very broad range of activities, functions, and disciplines, the collective of which we have termed assurance, and which includes as their goals such states: safe; secure; ethical; equitable; responsible; accurate; conforming with university policies, standards and procedures, applicable laws and regulations, and with applicable industry standards; and within risk parameters acceptable to the university community and leadership.

UAC Membership

Standing members of the council are:

  • Chief Compliance Officer (OVPGC) (co-chair)
  • Chief Risk Officer (OEVPUAA/ERMC) (co-chair)
  • Associate General Counsel (OVPGC)
  • Associate Vice President and Chief Audit Officer (OVPGC)
  • Chief Policy Officer (OEVPUAA)
  • Chief Privacy Officer (OEVPUAA /OVPIT)
  • Chief Security Officer (OEVPUAA /OVPIT)

While members of the council are individually responsible for a major aspect of the university assurance arena, the council is designed to bring their combined extensive experience and expertise to bear on common challenges, issues, and barriers. They have the collective authority to report on, and, in consultation with a variety of other university entities, cause change where necessary to rectify serious and even dangerous gaps in university performance in the variety of assurance areas identified above.