Executive Compliance Committee

The University of Tennessee operates in a complex, dynamic, and highly regulated environment at both the federal and state level. To assist UT’s senior management in its responsibilities of reviewing the University’s operational compliance with applicable legal requirements and sound ethical standards, the Executive Compliance Committee has been established.

 

Primary Responsibilities

  • Provide vision for the institutional compliance program.
  • Provide oversight of the campuses’ compliance risk assessments and corrective actions.
  • Assist campuses in overcoming obstacles to compliance and defining acceptable levels of risk.
  • Provide oversight of the disciplinary and corrective actions.
  • Provide visible support for compliance efforts.

 

Composition

The Executive Compliance Committee is composed of the following positions:

  • Executive Vice President and Vice President for Research
  • Vice President, General Counsel, and Secretary
  • Senior Vice President and Chief Financial Officer
  • Chief Human Resources Officer
  • Chancellor or appointee, UT Knoxville
  • Chancellor or appointee, UT Health Science Center
  • Executive Director of Audit and Compliance
  • Director of Institutional Compliance

 

Meetings

The Executive Compliance Committee meets annually and as needed to address certain issues.


Campus Institutional Compliance Committees

Each University of Tennessee campus and institute has an institutional compliance committee responsible for general oversight of its compliance activities. The committee chair is appointed by the chancellor or vice president, and the committee members include campus compliance officers in key areas. The Campus Institutional Compliance Committee reviews the results of the periodic compliance risk assessments performed by the campus compliance officers and ensures that appropriate corrective action plans are developed and implemented where needed. The committee also determines the compliance priorities for the campus or institute and submits recommendations to the chancellor/vice president for corrective actions that need assistance, e.g., additional resources, administrative changes, or increased enforcement.

Listings of regulations and assigned compliance officers for each campus can be found on the Compliance Resource Information page.