University Compliance & Ethics
The Office of Compliance is committed to upholding the highest standards of ethical conduct and regulatory compliance across all areas of university operations. Compliance officers residing within various university departments help manage a vast array of activities in which the university engages, many of which involve legal and policy obligations. The Office of Compliance coordinates the compliance efforts, providing an independent compliance function that reports directly to the Chancellor and regularly updates the Audit, Risk and Compliance Committee of the Board of Trustees.
Aligned with the Federal Sentencing Guidelines for Organizations, the University's compliance program is structured to proactively prevent, detect, and respond to potential violations of law, policy, or ethical standards. Key components of the University's compliance program, reflecting the seven elements of an effective compliance program as outlined in the Federal Sentencing Guidelines, include:
- Leadership and Oversight: The Compliance Office is supported by the Chancellor's Cabinet and overseen by the Audit, Risk and Compliance Committee of the Board of Trustees, ensuring clear accountability and authority for program oversight.
- Standards and Procedures: University policies and procedures promote ethical conduct and compliance with applicable laws and regulations.
- Education and Training: Ongoing training programs provided to faculty, staff, and students fosters compliance awareness and supports a culture of integrity.
- Monitoring and Auditing: Regular assessments and audits are conducted to evaluate the effectiveness of compliance efforts and to identify areas for improvement.
- Reporting Mechanisms: The University provides confidential reporting channels for concerns or suspected violations, with protections against retaliation.
- Enforcement and Discipline: Compliance standards are enforced consistently, with appropriate disciplinary measures for misconduct.
- Response and Prevention: Upon identifying violations or areas for improvement, the Compliance Office acts promptly to investigate, remediate, and implement corrective measures to prevent recurrence.
The Office of Compliance functions in partnership with University leadership to:
- Ensure institutional compliance with all federal and state regulations and laws;
- Monitor the effectiveness of compliance efforts and related activities, identify appropriate accommodations to improve effectiveness, identify risk exposure and corrective or preventative measures, and conduct follow-up to assess the effectiveness of recommendations; and
- Promote campus-wide compliance awareness and serve as a resource in the development of sustainable compliance processes and practices.
Additionally, the Office of Compliance, in conjunction with the Division of Human Resources and the Office of Institutional Equity, administers the University's Ethics & Compliance Hotline, offering a confidential platform for reporting concerns.
Report a Concern
Each one of us, regardless of position, shares the responsibility for creating and promoting an ethical culture. One way you can help is to share your concerns, questions and suggestions with your supervisor or manager, other University administrators, or Compliance Officers. If you don't feel comfortable reporting your concerns to a University representative, you can make a report via the TCU Ethics & Compliance Hotline. TCU has contracted with a third-party provider, NAVEX Global - EthicsPoint, to assist its faculty, staff, and students in reporting activities and actions which may involve violation of University policies or other misconduct. EthicsPoint acts as a confidential and independent provider to send your report automatically to TCU.
We encourage you to report any concerns you may have regarding unethical activity, such as fraud, discrimination, sexual harassment, retaliation, and more. The TCU Ethics & Compliance Hotline allows you to communicate your concerns and enables you to remain anonymous if you so choose, while supporting University policies that reinforce the expectations that employees making a good faith report not be subject to retaliation. For more information on how and when to report, visit tcu.ethicspoint.com and click on the FAQ link.
TCU strictly prohibits and does not tolerate retaliation against any member of its community who files a report of suspected fraudulent, dishonest, or illegal conduct. No member of the University community may interfere with the good faith reporting of a suspected or actual violation; no individual who makes such a report shall be subject to retaliation, including harassment or any adverse employment, academic or educational consequence, as a result of making a report.
EthicsPoint is not an emergency service. To report emergencies or incidents posing immediate threat to life or property, please dial 911 to reach local authorities or contact the TCU Police Department at 817-257-7777 or by dialing 7777 from any campus phone.