UT Institute for Public Service Institutional Compliance Committee

Directories

Committee Site on SharePoint

(for committee members only; requires netid)

Risk Assessment

(for compliance officers and committee; requires login)

Committee Charter

Mission

The University of Tennessee Institute for Public Service’s (IPS) mission is to serve business and government to improve the lives of Tennesseans. IPS accomplishes this by providing technical consulting and training for state and local government, law enforcement and business.

The primary focus 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

The chairman of the ICC is appointed by the vice president. The committee should include a representative from each member of the vice president’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, who will serve as an ex officio member of the committee, and the Office of General Counsel will be consulted as needed.

Mandate

  • 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 vice president on the institute’s compliance priorities and potential risk mitigation plans.
  • Follow up on risk mitigation plans that have been approved by the vice president.

Responsibilities

  • 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.
  • Review the results of the institute risk assessment and determine the priorities for plans to mitigate risks.
  • Facilitate the development of risk mitigation plans with appropriate institute compliance officers and university officials.
  • Present recommended risk mitigation plans to the vice president.
  • Report to the vice president the progress of risk mitigation plans that he has approved.