History of the Program

In the 1990s, the federal government created sentencing guidelines for organizations found guilty of offenses. One section of these Guidelines outlines how organizations can reduce the severity of sentences by implementing effective compliance and ethics programs. The Guidelines list seven essential requirements of an effective compliance program. For more information please visit, Seven Elements of an Effective Compliance Program. To address the need for compliance and ethics programs in the UT System, in April 1998, the UT System Board of Regents approved the Action Plan to Ensure Institutional Compliance PDF, which created the institutional compliance program at UT Dallas. The 2003 Action Plan to Enhance Institutional Compliance PDF is an updated version of the original 1998 Action Plan to Ensure Institutional Compliance. The official policy governing the Institutional Compliance Program is The University of Texas System Systemwide Policy UTS 119.

Institutional Compliance Program

The University of Texas at Dallas Institutional Compliance Program is intended to demonstrate in the clearest possible terms the commitment of UT Dallas to the highest ethical standards and compliance with all applicable laws, policies, rules and regulations. The Program direction is provided by a system-wide, executive-level Compliance Committee representing all major compliance areas. The UT System Compliance Officer is responsible for the execution of the program. Each UT System component institution has a compliance officer and a Compliance Committee. At UT Dallas, the Compliance Officer is Sanaz Okhovat.

Our Goals

The goals of the Compliance Program are to partner with UT Dallas administration, staff, and faculty 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.