- Institutional Compliance Committee Directory [Excel]
- Compliance Officers Directory [Excel]
- Assignment of Compliance Officers to Regulations [Excel]
(To Be Approved by the Chancellor)
The University of Tennessee Southern 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 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 Institutional Compliance Committee is to promote excellence in all of our compliance efforts to assure integrity and compliance with our legal, regulatory, and ethical responsibilities.
The committee chair is appointed by the chancellor. The chair has the discretion to include any university employee who is relevant to the issues being addressed. This typically includes the relevant compliance officer (who has institute-wide‐level responsibility for the regulatory area) and the individuals in the chain of command up to the chancellor’s senior level management. 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 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 risk mitigation plans.
- Follow up on risk mitigation plans that have been approved by the chancellor.
- 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 the appropriate institute 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.