Frequently Asked Questions

The University of Texas Systemwide Compliance Program began in 1998 with The UT System's Action Plan to Ensure Institutional Compliance.

 

Under this plan, each institution is required to report quarterly to the University of Texas Systemwide Compliance Program Officer and is required to have a:

  • Compliance Officer
  • Compliance Committee
  • General Compliance Training Program
  • Risk Inventory
  • High-Risk Monitoring Plan
  • Confidential "Hotline"

 

FAQs:

 

Question:

What if I see something that is wrong? What should I do?

 

Answer:

If you are concerned that another employee's conduct may not be in compliance with applicable laws, rules, regulations, and policies, or you believe products or services which the organization provides are not in line with those laws, rules, regulations, or policies, please report your concern to your institution's Compliance Office, the affected department or other appropriate official, or your institution's toll-free compliance hotline. When you call the hotline at your institution, you remain anonymous. A trained professional will ask you questions and provide a confidential report to the Compliance Officer within one business day of your call.

 

The telephone number for the hotline is posted and readily available at your institution, or you can address your concern to the compliance mailbox: systemwidecomp@utsystem.edu.

 

 

Question:

What are the elements of a good compliance program?

 

Answer:

For an organization to have an effective compliance program, the following elements are required:

  1. Existence of written standards
  2. Effective oversight
  3. Due care in delegation of authority
  4. Training
  5. Monitoring
  6. Discipline
  7. Corrective Action
  8. Periodic assessment of risks

These elements have come about as a result of the United States Sentencing Guidelines, revised in November 2011.

 

 

Question:

What type of risk is the University of Texas System concerned about?

 

Answer:

While we often associate risk with financial matters, there are many types of risk. The UT System broadly defines risk as any issue that could impact the University's ability to meet its business objectives. In other words, risk applies to many aspects of our work.

Specifically, risks include:

  • Strategic risks - risks that affect an organization's ability to achieve its goals
  • Financial risks - risks that may result in a loss of assets
  • Operational risks - risks that affect ongoing management processes, such as when new administrative systems are installed
  • Compliance risks - risks that affect compliance with externally imposed laws and regulations and internal policies and procedures
  • Reputational risks - risks that affect the University's reputation

 

Question:

With all of the concerns about risk, who is responsible for resolving the risks?

 

Answer:

First, we are all risk managers. We are all presented with risk in the workplace. For example, we all have resources at our discretion, such as staff, finances, property, and information. What we do or do not do with those resources can either cause risk or mitigate risk. In an environment where many functions are decentralized, it is generally effective to utilize a risk-based approach to handling risks.

 

Here at UT System, each individual operational department is responsible for the risk. However, there are other departments that assist in identifying and overseeing risks. The Internal Audit Department identifies risks in the course of doing audits and brings those concerns to our attention. The Compliance Officer at the institution manages risks by helping identify risks to the institution. You should share your concern for risks with your supervisor and the Compliance Officer at your institution.

 

 

Question:

Who is my compliance officer?

 

Answer:

A complete listing of Institutional Compliance Officers is maintained by the University of Texas Systemwide Compliance Program.

 

 

Question:

How and to whom does the Systemwide Compliance Officer report?

 

Answer:

The Systemwide Compliance Officer reports to the Chancellor of the University of Texas System. Additionally, the Systemwide Compliance Officer is a member of the Executive Compliance Committee..

 

The Systemwide Compliance Officer has many avenues to report and resolve your concerns and bring about constructive change at the University of Texas System.

 

 

 

 

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