UT System Institutional Compliance Committee
- Institutional Compliance Committee Directory [Excel]
- Compliance Officers Directory [Excel]
- Assignment of Compliance Officers [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 mission of the UT System Institutional Compliance Committee is to promote excellence in all of our compliance efforts to ensure integrity and compliance with our legal, regulatory, and ethical responsibilities.
The committee should include a representative from the Office of Audit and Compliance, who will also serve as the committee chair. The committee members should include representatives from the Office of General Counsel and Treasurer’s Office. In addition, the chair has the discretion to include any other university employee who is relevant to the issues being addressed. The committee will be assisted by a member of the Office of Institutional Compliance, who will serve as an ex officio member of the committee.
- Identify the significant compliance risks facing the university system and facilitate potential solutions for those risks.
- Exercise oversight of the activities of the various campus and institute institutional compliance committees.
- Serve as an open avenue of communication among the various campus compliance officers and senior management.
- Advise the UT System Administrative Council on system-level compliance priorities and potential risk mitigation plans.
- Follow up on risk mitigation plans that have been approved by the management.
- Identify the laws and regulations that present the most compliance risk for UT System.
- Ensure that an individual is assigned system-level responsibility for compliance for each significant law and regulation and understands his or her system-level responsibilities.
- Perform a compliance risk assessment on UT System assigned regulations, with the assistance of the Institutional Compliance Office.
- Review the results of the system risk assessment and determine the priorities for plans to mitigate risks.
- Facilitate the development of risk mitigation plans with the appropriate system compliance officers and university officials.
- Present recommended risk mitigation plans to the UT System Administrative Council.
- Verify the progress of approved risk mitigation plans and report their status to the UT System Administrative Council.
- Review the activities of all of the campus and institute institutional compliance committees and identify and resolve system-wide compliance issues that need to be addressed.