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Institutional Compliance – Mission Statement and Charter

Compliance Mission Statement

To promote and support a culture at the University of Texas at San Antonio (UTSA) which builds compliance consciousness into the daily activities of the University and encourages all employees to conduct University business with the highest standards of honesty and integrity.

Goals

To partner with UTSA administration, staff and faculty to develop a comprehensive compliance program that:

  • Evaluates and identifies risks that are critical to the institution;
  • Ensures that critical institutional risks are being properly managed by the appropriate individuals;
  • Provides all employees with the training necessary to perform their jobs and understand the relevant compliance issues;
  • Provides ongoing positive assurance to managers, executive officers, and the Board of Regents regarding the status of critical institutional risks; and
  • Provides all employees with an opportunity to report issues of potential non-compliance in a manner that preserves confidentiality.

 


 

Compliance Charter

This Charter describes the mission, authority, independence, and principal responsibilities of the Office of Institutional Compliance and Risk Services (OICRS) at The University of Texas at San Antonio.

Mission

OICRS is dedicated to furthering UTSA’s mission and strategic plan by proactively partnering with faculty, staff and management to:

  • Ensure compliance risks are identified, prioritized and managed appropriately;
  • Establish a control environment, level of accountability, and ethical framework that promotes compliance with applicable laws, regulations, agreements and internal policies and procedures;
  • Foster strong stewardship and management accountability at all levels;
  • Provide general compliance training to employees and faculty and guidance to managers;
  • Provide an avenue for anonymous reporting of potential non-compliance or unethical behavior

Authority

OICRS activities are governed by policies established by the University of Texas System and the executive officers of this institution.  The Executive Compliance Committee provides oversight for the compliance related activities of OICRS and the scope of OICRS activities is subject to review by the Executive Compliance Committee but is not otherwise restricted.

To be effective, it is essential there be mutual cooperation between management, faculty, staff, and OICRS.  OICRS, with stringent regard for information safekeeping and confidentiality, and subject to the applicable policies of this institution, will have access to all institutional activities, records, property, and employees as may be necessary to fulfill its responsibilities.

Independence

The Director of OICRS reports functionally to the Executive Director of Audit, Compliance and Risk Services and indirectly to the President.  OICRS staff has no authority over the areas they provide services for and should not be the Institutional Risk Owner for compliance high risks. The Executive Director of Audit, Compliance and Risk Services serves as the Compliance Officer for this Institution and reports directly to the President.

Institutional Compliance and Risk Services

OICRS’ services reflect the institution’s commitment to the highest standards in all of its activities. OICRS services include, but are not limited to:

Compliance

  • Assisting management with the identification and prioritization of compliance risks.
  • Assisting management with the development of mandatory risk management plans for compliance high risks.
  • Ensuring that compliance high risks are being properly managed by the designated responsible parties.
  • Promoting compliance awareness.
  • Providing compliance advisory services to management, faculty, and staff.
  • Evaluating emerging compliance trends in higher education and government and implementing best practices.

Risk Assessment

  • Facilitating the identification and prioritization of risks (compliance and other) at the operational and institutional levels.
  • Facilitating the development of management plans to mitigate the high risks identified throughout the institution.

Assurance

  • Providing ongoing positive assurance to managers, executive officers, and the Board of Regents regarding the status of critical institutional compliance risks.
  • Administering management certifications based on the Management Responsibilities Guide.
  • Providing assurance regarding adherence to the practices outlined in the Management Responsibilities Guide.
  • Providing assistance to managers in identifying areas where improvement may be needed and providing suggestions regarding best practices.

Training

  • Assisting in the development and delivery of general compliance training necessary for employees to perform their jobs and understand the relevant compliance issues.
  • Confidential Reporting via Hotline.
  • Providing all employees with an opportunity to report issues of potential non-compliance in a manner that preserves confidentiality.
  • Coordinating awareness initiatives to ensure that the university community is aware of the UTSA Hotline.