UT System Administration 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)
Corrective Action Plans
(for compliance officers and committee; requires login)
- Current version of all plans (best display for viewing)
- Corrective Action Plan entry screen for Level 1 (significant risks)
- Corrective Action Plan entry screen for Level 2 (low controls)
- Risk Assessment
The mission of the System Administration 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, and representatives from the Treasurer’s Office, as appointed by the chief financial officer. 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 Office of 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 President’s staff on system-level compliance priorities and potential corrective actions.
- Follow up on corrective actions that have been approved by the President’s staff.
- Identify the laws and regulations that present the most compliance risk for UT System Administration.
- 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, with the assistance of the Institutional Compliance Office.
- Review the results of the system risk assessment and determine the priorities for corrective actions.
- Facilitate the development of corrective action plans with the appropriate system compliance officers and university officials.
- Present recommended plans of corrective action to the President’s staff.
- Verify the progress of approved corrective actions and report their status to the President’s staff.