The creation of a U.T. System-wide Compliance Committee and parallel Compliance Committees at System Administration and each component institution which meet at least quarterly. The mandate for a continuous and proactive compliance function which reports to the Institutional Compliance Officer at System Administration and each component institution. The requirement that the Institutional Compliance Officers and Committees at System Administration and the component institutions report their activities to the U. T. System-wide Compliance Officer at least quarterly. The U.T. System-wide Compliance Officer is responsible and will be held accountable for apprising the Chancellor and the Board of Regents of the institutional compliance functions and activities at System Administration and at each of the component institutions. Responsibility for actual compliance with laws, regulations, policies, and procedures rests with each individual employee.
Accountability resides primarily with the department head of each operating unit.
The Chancellor and each Chief Administrative Officer are responsible and will be held accountable for the sufficiency of resources allocated to compliance activities and the appropriateness of corrective and disciplinary action taken in the event of non-compliance. Internal Audit is responsible and will be held accountable for independently evaluating the design and effectiveness of the compliance function at System Administration and each component institution on both an annual and an ongoing basis and for making recommendations for improvements to the Institutional Compliance Officers at System Administration and at each component institution. The Ad Hoc Committee believes that the implementation of this Compliance Action Plan will significantly improve U. T. System compliance. As such, we respectfully submit this Compliance Action Plan to the Chancellor for his review and approval. Due Date 1.