Seven Elements & Campus Partners

The United States Department of Justice outlines seven essential elements of effective compliance programs in Chapter 8 of the Federal Sentencing Guidelines. These guidelines direct compliance efforts at Texas Tech:

Standards, Policies, and Procedures

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The university will establish written standards of conduct and ethical behavior. System Regulations and university Operating Policies will facilitate compliance with relevant federal, state, and local law. Policies will be kept up to date.

Compliance Program Administration

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At Texas Tech, many of our compliance functions reside in individual departments, with content area experts. However, TTU established a university-wide compliance oversight function with the launch of The Office of Institutional Compliance (OIC) in May 2024. Executive leadership is committed to a culture of compliance and has dedicated significant resources to set an effective organizational structure, oversight, and governance.

The university designated Chief Compliance Officer, Dr. Kimberly Simón to coordinate compliance efforts for OIC. For questions regarding other compliance areas, please contact the individual or office responsible for that function.

The Institutional Compliance Committee also serves a vital role in ensuring compliance at the university.

Communication, Education, and Training

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Texas Tech will communicate expectations of ethical standards and adherence to policies and procedures. OIC and other campus partners provide training, education, and outreach year round to maintain a culture of compliance.

Compliance training is provided to meet federal and state requirements with other university stakeholders. Training is provided online and in-person upon request. Requests for individualized training programs may be submitted through this page.

Reporting Systems

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Texas Tech Operating Policy 10.14 outlines our community’s shared responsibility in ensuring compliance with all applicable laws, rules, regulations, policies and procedures by reporting any suspected wrongdoing. The university offers several avenues for reporting concerns or potential misconduct. For questions or assistance in reporting, please contact the OIC.

Monitoring and Auditing

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OIC utilizes several methods to monitor compliance efforts:

1. Internal audits
2. Compliance inspections
3. Peer review
4. External audits

A central component of reporting and monitoring is ensuring students, faculty, staff and visitors to campus can report concerns and seek guidance in addressing potential noncompliant conduct without fear of retaliation.

Enforcement of Standards

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1. Enforce will be transparent through standards in publicized guidelines, including:
1. System Regulations
2. Texas Tech Operating Policies
3. Faculty Handbook
4. Student code of conduct
5. Office or department protocols
2. Consequences for noncompliance applied consistently, regardless of employee status within the university

Response to Issues: Investigation and Remediation Measures

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The university will respond promptly to concerns and take corrective action utilizing the reporting and monitoring systems described here. Continuous monitoring allows for timely attention to risks facing the institution.

Texas Tech will also make any needed improvements to reduce the risk of future issues.