Mission and Responsibilities

Mission

To serve and safeguard our university community from the regulatory risks we face and promote a cultural environment of high ethical standards by:

• Identifying compliance risk faced by the university community.
• Promoting an awareness of compliance risks and the objectives of our compliance activities through communicating with and educating the university community.
• Developing innovative and effective ways to mitigate compliance risk through collaboration with the university community.

Responsibilities

Institutional Compliance is responsible for designing, implementing, and monitoring the UT system-wide compliance program.
The office’s primary responsibilities include the following:

• Develop and implement the university compliance risk assessment process.
• Assist the campus/institute compliance committees in their various duties.
• Help functionally responsible offices overcome barriers to compliance by recommending improved controls or providing independent services such as communicating the need for new procedures, resources, or stronger enforcement or working as a liaison between multiple parties.
• Independently investigate and act on matters related to compliance.
• Collaborate with the university community to develop innovative and effective ways to mitigate compliance risk.
• Report regularly to the Executive Compliance Committee and the Audit and Compliance Committee.
• Promote the University’s Code of Conduct and Compliance Hotline.