University of Connecticut University of UC Title Fallback Connecticut

COC Charter


The Compliance Officers Committee is appointed by the Corporate Compliance Integrity Officer (CCIO) for UCHC to assist the UCHC Compliance Office in fulfilling its responsibilities. This committee reports to the UCHC Executive Compliance Committee.


The committee fulfills its responsibilities by:

  • Developing the UCHC Compliance Plan including other key supporting documents to the Program such as monitoring plans, educational needs, activities to address those needs and compliance policies and procedures for each of the 5 Domains of Compliance.
  • Providing a forum for communication among the 5 Domains of Compliance within the UCHC for issues relevant to audit, compliance and ethics;
  • Ensuring awareness of changing laws, regulations and practice;
  • Ensuring coordination and follow through on compliance inquiries and investigations across domains;
  • Reporting to the committee on concerns within their Domains.


The Compliance Officers Committee shall be comprised of seven (7) members and one (1) alternate member. Members serve on the Committee by virtue of their compliance roles within the institution. The representatives are:

  • Administrative/Educational Domain – represented by the Associate Compliance Officer -Administration/Education
  • Clinical Domain – represented by the Associate Compliance Officer -Clinical
  • Finance Domain – represented by the Associate Compliance Officer -Finance
  • Research Domain – represented by the Director of Research Compliance (an alternate member for the research domain is the Research Compliance Monitor working in the Office of Research Compliance)
  • Compliance Education Director/Faculty Liaison
  • CCIPO – chairperson
  • The University of Connecticut Chief Audit, Compliance and Ethics Officer shall serve on the committee as ex officio as a non-voting member.

The University of Connecticut Chief Audit, Compliance and Ethics Officer has appointed the Corporate Compliance Integrity Officer to be the Chair of the Committee. The members shall serve on the committee for the duration of their office.

Each member is a voting member. A quorum for any meeting will be 4 members. Because members of the committee serve on the committee as a requirement of their role, each is expected to have a working familiarity with basic principles of compliance and ethics in their assigned domain.


The committee shall meet at least four times per year, or more frequently as circumstances dictate.


To fulfill its duties, the Committee shall:

  • Annually review and discuss the Compliance Plan for UCHC, which includes:
  • Risk assessment,
  • Compliance training plan,
  • Monitoring Program,
  • Compliance Policies and Procedures.
  • Identify the ongoing activities of the Compliance Program;
  • Report on concerns, risks and trends;
  • Respond to verbal and written reports of concerns or reported compliance violations within their domains;
  • Maintain accountability for compliance activities and support activities of liaison staff in compliance within their domains;
  • Develop monitoring plans addressing risk areas in their domains;
  • Complete regular internal reports to management on investigations, control systems, and risk areas for compliance;
  • Discuss concerns during the conduct of formal investigations, regarding significant difficulties encountered, such as lack of cooperation, access to required information and/or significant disagreement with management;
  • Perform any other activities consistent with this Charter and University, Schools, Hospital and Medical Staff By-laws and governing laws, as this Committee or the Joint Audit and Compliance Committee of the Boards deem necessary or appropriate;
  • Review and update this charter, as conditions dictate, but no longer than every five years.

Approved by Executive Compliance Committee on 11/07/07