UTS119 Institutional Compliance Program

Sec. 1 Source of Program.

The University of Texas System Institutional Compliance Program is documented in the Action Plan to Ensure Institutional Compliance (Action Plan) approved by the Chancellor and presented to the Business Affairs and Audit Committee of the Board of Regents on April 24, 1998.

Sec. 2 Impact of Sentencing Guidelines.

A proactive program to maximize compliance with applicable laws, rules, regulations, policies, and procedures became an essential part of every organization's internal control infrastructure after the passage of the United States Sentencing Guidelines (Sentencing Guidelines).

Sec. 3 Program Requirements.

A mission statement, including Goals and Objectives for the program (Exhibit A) has been developed to reflect the requirements of the Sentencing Guidelines.

Sec. 4 Mission Statement Required.

U. T. System Administration and each institution must have an institutional compliance mission statement modeled after the Systemwide mission statement.

Sec. 5 Local Control.

U. T. System Administration and each institution have the authority to determine the appropriate compliance infrastructure and policies and procedures for their respective institutions.

Sec. 6 Accountability.

Responsibility and accountability of the parties in the institutional compliance infrastructure are detailed in the Action Plan and are reproduced in The Responsibility and Accountability for Compliance (Exhibit B).

Sec. 7 Systemwide Compliance Committee.

The Systemwide Executive Compliance Committee provides oversight and direction for the Systemwide compliance function. The Committee is comprised of the Chancellor; the Executive Vice Chancellors for Business Affairs, Health Affairs, and Academic Affairs; the Vice Chancellor and General Counsel; the General Counsel to the Board of Regents; and the Systemwide Compliance Officer. The Chancellor is the chairman of this Committee. The Committee meets on a quarterly basis.