Compliance Risk Assessment Tutorial

The following is a tutorial for the compliance risk assessment tool used by compliance officers and subject matter experts.

1. Use the link in the email sent by the Institutional Compliance Staff. Then click at the bottom “Continue to the UTXXX Risk Assessment”.
2. Use the username and password provided for you in the email from the Institutional Compliance Staff. Note: Most common error is to use your netid.
3. The first page is a list of compliance officers. Find your name and click on the ID link next to your name.
4. On the next page, the regulation list page contains a list of regulatory areas that are assigned to you. Click on “Select” next to the reg id that you wish to assess.
5. The risk list page contains a list of risk(s) associated with your regulation. You can edit or add risk. The instructions on this page, guide you to click on the “Edit” page next to risk number. Remember to click save at the bottom when you finish your modification to the risk.
6. When you are done with the risks, click “Finish with this Regulation List” and click on Yes. You can return to the Regulation List to continue if you have more regulation, or click “End Session”.

If you have additional questions, please contact your Institutional Compliance Staff or Leigh Cheek at (865) 974-4420.