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"
What if I see something that is wrong? What should I
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:
What are the elements of a good compliance
For an organization to have an effective
compliance program, the following elements are required:
of written standards
- Effective oversight
- Due care in delegation
- Corrective Action
- Periodic assessment of risks
elements have come about as a result of the United
States Sentencing Guidelines, revised in November 2011.
What type of
risk is the University of Texas System concerned about?
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
- Financial risks - risks that may result in a loss
- 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
risks - risks that affect the University's reputation
With all of the concerns about risk, who is responsible
for resolving the risks?
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.
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.
Who is my compliance officer?
A complete listing
of Institutional Compliance Officers is maintained
by the University of Texas Systemwide Compliance
How and to whom does the Systemwide
Compliance Officer report?
Compliance Officer reports to the Chancellor
of the University of Texas System. Additionally, the Systemwide
Compliance Officer is a member of the Executive Compliance
The Systemwide Compliance Officer has many avenues
to report and resolve your concerns and bring
about constructive change at the University of Texas System.