Skip to Main Content.

Skip to Main Navigation.

Office of Audit and Compliance

Why We Are Here

The UT Dallas Internal Audit and Institutional Compliance programs have their origins in federal law, state law, and UT System policy. This page contains links to the documents describing the purpose and origins of our audit and compliance functions.

Internal Audit

Texas state law requires that UT Dallas have internal auditors regularly audit the university’s operations.

UT System policy goes into greater detail about what is required of UT Dallas regarding internal audits.

In accordance with these two mandates, UT Dallas formally approved the Internal Audit Charter (below) on March 1, 2010.

Internal Audit Charter

Mission and Scope of Work

The mission of the Office of Internal Audits (Internal Audit) is to provide independent, objective assurance and consulting services designed to add value and improve UTD's operations. Internal Audit helps the University accomplish its objectives by bringing a systematic, disciplined approach to evaluating and improving the effectiveness of risk management, control mechanisms, and operational and governance processes.

The scope and nature of Internal Audit work includes:

Accountability

The Director of Internal Audit (Chief Audit Executive) shall be accountable to the UT Dallas President and the UT Dallas Audit and Compliance Committee, and ultimately to the UT System CAE, the UT System Chancellor, and the Audit, Compliance, and Management Review Committee of the UT System Board of Regents to:

Independence

To provide for the independence of the Office of Internal Audit, the Chief Audit Executive reports to the President. The CAE also has a dotted line reporting to the CAE at UT System Administration who reports administratively to the General Counsel to the Board of Regents and functionally to the Audit, Compliance, and Management Review Committee (ACMR) of the Board and the Chancellor.

Responsibility

The CAE and staff of the Office of Internal Audit have responsibility to:

Authority

Internal Audit staff is authorized to:

Internal Audit staff is not authorized or expected to:

Standards of Audit Practice

The Internal Audit Activity will conform with The Institute of Internal Auditors' International Professional Practices Framework that includes the Definition of Internal Auditing, The International Standards for the Professional Practice of Internal Auditing, and the Code of Ethics; Generally Accepted Government Auditing Standards; The Texas Internal Auditing Act; and UTS129, Internal Audit Activities, as applicable.

Charter

The Internal Audit Charter was formally approved by the UT Dallas Audit and Compliance Committee on March 1, 2010. Periodic reviews of the charter will be performed by the Committee.

Institutional Compliance

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.

To address this 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, which created the institutional compliance program at UT Dallas.

Last updated: November 7, 2013