Compliance and Ethics at UT

Compliance and Ethics Program

UT Austin established the Compliance and Ethics Program (CEP) to promote and support a working environment which reflects the University’s commitment to maintaining the highest level of integrity and ethical standards in the conduct of its operations. URCS oversees this effort and provides advice and services related to:

  • Training and general education: Help faculty and staff identify and understand relevant legal, regulatory and policy constraints, emphasizing the personal responsibility of all employees to eliminate misconduct and other wrongdoing and to conduct University business in an ethical and legal manner.
  • Operational support: Help faculty and staff having management responsibilities develop and implement practical strategies to avoid compliance and ethics failures using risk-based and other appropriate methodologies.
  • Effort  coordination: Serve as a liaison between and among employees of the various University divisions having compliance responsibilities and executive management to better associate their CEP related activities.
  • Assurance: Provide assurance to the Executive Compliance Committee (ECC) that compliance and ethics risks are being managed and mitigated to acceptable levels. URCS will conduct such other activity as reasonably calculated to achieve the goals and objectives of the CEP.

University Risk and Compliance Services coordinates the Executive Compliance Committee and the Compliance Leadership Group in support of these efforts.   

University Compliance Services has dotted-line-reporting to UT System, the ECC, the CLG, and the UT community as a whole.

Executive Compliance Committee

The Executive Compliance Committee (ECC) is composed of the President of the University who serves as the chair, the VPs, and other members of the university’s faculty and staff identified in the ECC Charter. The ECC is responsible for providing leadership and oversight of the Compliance and Ethics Program.

Compliance Leadership Group

The Compliance Leadership Group (CLG) is composed of individuals on campus with subject-matter expertise and/or significant compliance responsibilities. The group meets regularly to discuss current compliance risks, significant events, and best practices. The group then reports any significant compliance activity or need to the Executive Compliance Committee (ECC).

Designated Officials

Certain individuals have been designated by the university to carryout specific duties as related to their university appointment.

UT System Compliance

In addition, The University of Texas System’s Systemwide Compliance Program supports the eight academic and six health institutions as they work to promote a culture of ethical behavior and to ensure compliance with all applicable policies, laws, and regulations governing higher education, research, and healthcare. UCS works with the Systemwide Compliance Program to ensure the University of Texas at Austin has the most accurate, concise, and up-to-date information needed to maintain an effective compliance and ethics program.