Design and implementation of a compliance initiative
Depending upon the needs of the institution, the following can be customized. These areas represent the most frequent requests for assistance.
To create awareness of/interest in the need for a compliance initiative:
Presentation to Board on the need for compliance.
Presentation to the President’s Executive Council/Staff on the logistics of a compliance initiative.
Training of Compliance Partners as to their role(s) in a compliance initiative.
Development of a Reporting Policy with possible inclusion of an ethics hotline.
Development/review of Conflict of Interest policies.
To develop a comprehensive compliance initiative for the institution including:
Assist with identification of Compliance Partners.
Develop training for the campus community to understand the importance of the compliance initiative, thus, ensuring transparency and sustainability of the process.
Assist with assigning various laws to Compliance Partners and providing appropriate training to understand their role in this process.
Design Compliance Committee charters with emphasis upon key objectives to be obtained.
Develop a survey to identify present compliance with the law and seeking input from Compliance Partners as to what additional safeguards should be implemented to ensure continued compliance with the law.
Develop a calendar of dates for compliance initiatives to be completed as well as for dates for reports to be timely filed with applicable state and federal agencies.
Assist with development of a risk mitigation plan based upon the prioritization of risks by the Board and President.
Policy Review
Every institution has policies and procedures. The key is finding them, ensuring that they are current and in compliance with ever-changing laws, and providing training for faculty, staff, and students regarding the policy.
We provide the following services to support the institution:
Creation of a policy review process, including policy templates
Creation of a sustainable manageable policy filing and archival system
Review of present policies and procedures
Review of employee handbooks, faculty handbooks, and faculty/staff governance documents
Training/Education
Without educating our faculty, staff, and students about various laws and their impact upon the institution as well as themselves, an institution cannot expect compliance with the law. How often has an employee been in the last stages before a termination occurs and has uttered the statement – “I didn’t know we had a policy on that”. Can your employees and students even find the policy or procedure?
Effective and engaging training is the key to a workforce that feels confident in their decision-making processes since they know what is expected of them and they know where to find policies and procedures that will make their jobs easier to do.
We provide the following customized training to assist the institution and their faculty, staff, and students:
Laws set forth in the Higher Education Act, e.g., minors on campus, FERPA, Drug Free Act, and others as requested.
Federal and state discrimination laws, e.g., Title IX, ADA, Civil Rights Act of 1964, Pregnancy Discrimination Act, Registered Sex Offender Policies, and others as requested.
Copyright and intellectual property rights
Record retention
Emergency operations protocols