What is a High Risk?
A high risk is an activity (can be a process, department or function) on campus in which there are uncertainties that can impact the ability of the institution to achieve its goals and objectives; specifically, its goals and objectives to comply with all laws, rules, and regulations, and policies and procedures that govern its operations. The Office of Institutional Compliance, Compliance Advisory Committee and Executive Compliance Committee (ECC) work together to identify high-risk areas at UT Dallas. Once a high-risk area has been identified, the ECC assigns a person on campus to be responsible for the management of that particular high-risk area. To see a listing of the high-risk areas, please refer to the Risk Area Contacts page.
High-Risk Area Responsible Persons:
- Exclusively responsible and accountable for management of the institutional risks identified and assigned to them by the ECC.
- Must have appropriate knowledge to manage the risk.
- Must have necessary authority to manage the risk.
- Develop necessary monitoring, training and reporting plans to manage high risks.
- May be asked to present information to the ECC regarding their risk areas.
- Develop Risk Management Plans for the high-risk areas assigned to them.
- Prepare quarterly reports for the Office of Institutional Compliance regarding the status of monitoring, training, reporting, and instances of noncompliance.
For Advisory Committee Members
- Higher Education Compliance Alliance — Tools and best practices for compliance in higher education.
- Case In Point: Lessons for the pro-active manager — Fresh reports every month on incidents of fraud and other compliance violations in higher education.
- Federal sentencing guidelines — Explains the standards our compliance program must meet.
- UT Dallas high risk list — Please contact us to receive a copy.
- Office of Internal Audit fraud prevention program — Links to UT Dallas fraud-related policies and resources.
- List of Compliance Advisory Committee members.
|Due Date||Time period covered by report|
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