Institutional Compliance provides independent oversight of the University of Tennessee’s compliance programs to assure that the University is compliant with all federal, state, and local laws and regulations as well as University policies. The office was established in 2008 to continue the University’s commitment to meeting the highest standards of ethics, integrity, and responsibility.
If you have a question or a compliance issue to report, please visit the Report Concerns page. Also, Compliance Resource Information provides links to University policies and a listing of UT campus/institute compliance officers.
To serve and safeguard our University community from the regulatory risks we face and promote a cultural environment of high ethical standards by:
- Identifying compliance risk faced by the University community.
- Promoting an awareness of compliance risks and the objectives of our compliance activities through communicating with and educating the University community.
- Developing innovative and effective ways to mitigate compliance risk through collaboration with the University community.
Institutional Compliance is responsible for designing, implementing, and monitoring the UT system-wide compliance program.
The office’s primary responsibilities include the following:
- Develop and implement the University compliance risk assessment process.
- Assist the campus/institute compliance committees in their various duties.
- Help functionally responsible offices overcome barriers to compliance by recommending improved controls or providing independent services such as communicating the need for new procedures, resources, or stronger enforcement or working as a liaison between multiple parties.
- Independently investigate and act on matters related to compliance.
- Collaborate with the University community to develop innovative and effective ways to mitigate compliance risk.
- Report regularly to UT executive management and the Audit and Compliance Committee.
- Promote the University’s Code of Conduct and Compliance Hotline.