Compliance

What is Compliance?

Compliance at the individual employee level is knowing and doing what is right in conducting UNT System and campus  business.  As far as at the institutional level, it is applying sound management practices in conducting UNT System and campus business to achieve our organizational goals and objectives, while maintaining the highest standards of ethics and compliance.  Compliance is accurately identifying what UNT System and campus risks are and ensuring that UNT system and campus resources are allocated in such a manner that provides reasonable assurance to executive management that UNT Dallas' most damaging risks are adequately controlled.  

Institutional Compliance Program objectives include:

  • Promoting compliance with all applicable regulatory requirements, policies and procedures.
  • Ensuring the program is risk-based and considers all aspects of the institution's operations.
  • Ensuring the program includes effective monitoring that prevents accidental or intentional noncompliance with applicable laws and regulatory requirements; detecting such noncompliance; when it occurs, ensuring that the noncompliant behavior is appropriately addressed; and, preventing future noncompliance.
  • Providing leadership to the Institutional Compliance Workgroup Committee which results in appropriately addressing any campus-wide compliance concerns, issues, and challenges.
  • Facilitating ethical conduct.
  • Educating as necessary and providing guidance to faculty and staff.

Some Principle Functions of the Program Include:

  • Assisting in identifying and evaluating the institution’s highest compliance risks.
  • Assessing and monitoring the effectiveness of pre-existing internal controls.
  • Establishing when absent and/or revising inadequate pre-existing internal controls.
  • Reporting instances of non-compliance.
  • Following-up on all reported instances of non-compliance to ensure management has taken appropriate corrective action.
  • Management and resolution of complaints or concerns received via the applicable Trust Line, chain-of-command, or by direct communication with Institutional Compliance.

Compliance Monitoring Includes:

  • A comprehensive effort.
  • A commitment towards compliance with applicable laws, regulations, policies and procedures.
  • Institutional Compliance working directly with management to monitor the highest-institutional risks on a quarterly basis.
  • Institutional Compliance coordinating with UNT System and campus management to ensure that lower-level risks are appropriately managed.