Committee Site on SharePoint

(for committee members only; requires netid)

Risk Assessment

(for compliance officers and committee; requires login)

Draft Committee Charter

Mission [DRAFT]

The University of Tennessee Institute for Public Service (IPS) provides a supportive environment for scholars and students to engage in teaching, research, and public service. Integrity in our work and compliance with applicable laws and regulations are critical to our academic enterprise and the university’s operations. The primary locus of compliance with applicable laws and regulations is in the UT academic and administrative units that are responsible for policy development and implementation of compliance issues. The mission of the campus Institutional Compliance Committee (ICC) is to promote excellence in all our compliance efforts to ensure integrity and compliance with our legal, regulatory, and ethical responsibilities.

Composition [DRAFT]

The chairman of the ICC is appointed by the chancellor. The committee should include a representative from each member of the chancellor’s staff. The chairman has the discretion to include any university employee who is relevant to the issues being addressed. The committee will be assisted by a member of the UT System Institutional Compliance Office, who will serve as an ex officio member of the committee, and the Office of General Counsel will be consulted as needed.

Mandate [DRAFT]

  • Identify the significant compliance risks facing the institute and facilitate potential solutions for those risks.
  • Serve as an open avenue of communication among the various institute compliance officers and senior management.
  • Advise the chancellor on the institute’s compliance priorities and potential corrective actions.
  • Follow up on corrective actions that have been approved by the chancellor.

Responsibilities [DRAFT]

  • Identify the laws and regulations that present the most compliance risk for the institute.
  • Ensure that an individual is assigned institute-level responsibility for compliance for each significant law and regulation and understands his or her institute-level responsibilities.
  • Perform a compliance risk assessment, with the assistance of the Institutional Compliance Office.
  • Review the results of the institute risk assessment and determine the priorities for corrective actions.
  • Facilitate the development of corrective action plans with the appropriate institute compliance officers and university officials.
  • Present recommended plans of corrective action to the chancellor.
  • Report to the chancellor the progress of corrective actions that he has approved.