UT Knoxville Institutional Compliance Committee
- Institutional Compliance Committee Directory [Excel]
- Compliance Officers Directory [Excel]
- Assignment of Compliance Officers [Excel]
- UTK list of contacts for department heads [Excel]
Committee Site on SharePoint
(for committee members only; requires netid)
Risk Mitigation Plans
(for compliance officers and committee; requires login)
- Current version of all plans (best display for viewing)
- Risk Mitigation Plan entry screen for Level 1 (significant risks)
- Risk Mitigation Plan entry screen for Level 2 (low controls)
- Risk Assessment
The University of Tennessee, Knoxville 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.
The chair of the ICC is appointed by the chancellor. The committee should include a representative from each member of the chancellor’s staff and the Faculty Senate. The chair 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.
- Identify the significant compliance risks facing the campus and facilitate potential solutions for those risks.
- Serve as an open avenue of communication among the various campus compliance officers and senior management.
- Advise the chancellor on the campus’ compliance priorities and potential risk mitigation plans.
- Follow up on risk mitigation plans that have been approved by executive management.
- Identify the laws and regulations that present the most compliance risk for the campus.
- Ensure that an individual is assigned campus-level responsibility for compliance for each significant law and regulation and understands his or her campus-level responsibilities.
- Perform a compliance risk assessment, with the assistance of the Institutional Compliance.
- Review the results of the campus risk assessment and determine the priorities for plans to mitigate risks.
- Facilitate the development of risk mitigation plans with the appropriate campus compliance officers and university officials.
- Present recommended risk mitigation plans to the chancellor.
- Verify the progress of approved risk mitigation plans and report their status to the chancellor.