The University of Texas System Institutional Compliance
Program was established to ensure that the entire U.
T. System (including its 15 institutions, System Administration,
and UTIMCO) operates in compliance with all applicable
laws, policies and regulations governing higher education
institutions.
In order to achieve this assurance, the
institutional compliance offices at System Administration
and each institution:
- Perform annual compliance risk assessments;
- Provide campus-wide compliance training and promote
compliance awareness;
- Provide specialized training and promote compliance
awareness;
- Continuously monitor and inspect the institution’s
high-risk areas;
- Manage the institution’s confidential reporting
mechanisms;
- Report compliance activities and significant compliance
issues to executive management;
- Actively engage an Institutional
Compliance Advisory Council (ICAC) that meets at least quarterly
The System-wide Compliance Officer, Mr.
Charles Chaffin, is responsible
for apprising the Chancellor and Board of Regents of the status and
activities of the institutional compliance function. Overall, approximately
116 employees system-wide provide direct support to the Institutional
Compliance Program.
In 2001, the IIA published Effective Compliance
Systems: A Practical Guide for Educational Institutions (Crawford, Chaffin, Scarborough),
which describes the program’s early methodology and serves as
a guide for implementing the core activities of an institutional compliance
program.
In 2003, the University of Texas System-wide Compliance Program received
a “Best Practice” Award from the Southern Association
of College and University Business Officers (SACUBO) recognizing the
program as a model that other colleges and universities can adopt
in order to improve their business and administrative functions.
The System-wide Compliance Program has hosted five national conferences
on “Effective Compliance Systems in Higher Education.”
Governing Documents
2008 Spring Compliance Conference
