Directories

Committee Site on SharePoint

(for committee members only; login required, use netid@utk.edu and netid password)

Risk Assessment

(for compliance officers and committee; requires login)

Draft Committee Charter

Mission [DRAFT]

The University of Tennessee Space Institute 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.

Composition [DRAFT]

The committee chair is appointed by the executive director. 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 executive director’s senior level management. The Institutional Compliance Committee also includes representatives from UT’s general counsel and the Institutional Compliance Office, who serve in an advisory role.

Mandate [DRAFT]

  • 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 executive director on the institute’s compliance priorities and potential corrective actions.
  • Follow up on corrective actions that have been approved by the executive director.

Responsibilities [DRAFT]

  • 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 Office.
  • Review the results of the institute risk assessment and determine the priorities for corrective actions.
  • Facilitate the development of corrective action plans with the appropriate institute compliance officers and university officials.
  • Present recommended plans of corrective action to the executive director.
  • Verify the progress of approved corrective actions and report their status to the executive director.