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The Office of Institutional Compliance

Risk Assessment

The UTHealth Institutional Compliance Program identifies the institution’s highest risks through compliance risk assessments of high risk areas each fiscal year. The purpose of a compliance risk assessment is to:

  • Identify high-risk compliance issues;
  • Establish a priority for these issues;
  • Assign a responsible party to manage the issues; and,
  • Establish monitoring activities that ensure compliance.

For the highest risks identified, the responsible party must ensure that monitoring activities are developed and implemented as appropriate and that training is developed and implemented as appropriate.