UT Dallas Faculty Handbook

Audit and Compliance

Reporting to the President, the Office of Audit and Compliance helps UT Dallas accomplish its mission in learning, research, and public service by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of operations, and by promoting and supporting a culture of compliance and control consciousness. For a detailed explanation of the specific roles of the Internal Audit function and the Compliance function, please see the website at http://www.utdallas.edu/audit-compliance/.

Internal Audit is responsible for providing an objective assurance and consulting activity designed to add value and improve the University’s operations, and to help the University accomplish its mission in learning, research and public service by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Internal Audit is responsible for providing executive management with information about the adequacy and effectiveness of the university's system of internal administrative and accounting controls and the quality of operating performance when compared with established standards.

Compliance is responsible for partnering with UT Dallas administration, staff and faculty to develop and sustain a comprehensive compliance program. Compliance works with key high-risk area managers to ensure compliance with applicable laws and regulations. As part of the compliance program, Compliance facilitates training for all benefit-eligible employees. The training program provides basic information about laws and regulations with which employees must comply. In addition, the training provides references regarding who employees can talk to, and websites they can visit for more information.

Also as part of the compliance program, UT Dallas uses an outside service to provide a hotline. The hotline provides a confidential way for employees to obtain information about compliance issues and report instances of suspected non-compliance outside the normal chain of command in a manner that preserves confidentiality and assures non-retaliation. Information about the Compliance Hotline is available at http://www.utdallas.edu/audit-compliance/hotline/index.html.