Ensuring Compliance at Decentralized Institutions

Topics: Risk Management, Administration and Finance, Legal and Compliance

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Summary

Senior administrators at institutions with highly autonomous units struggle to ensure that all departments, offices, and divisions are consistently compliant with laws, regulations, and institutional policies. This report defines processes and strategies for identifying compliance risk and reporting on the state of compliance. The report provides details and recommendations on factors to consider, structures and staffing to bridge organizational divides, and methods for building unit-level support and participation in compliance programs.

Research Questions

  • How are institution policies and procedures (e.g., payment card industry standards, protection of minors on campus, etc.) communicated to faculty and staff members?
  • How do offices and departments report on or certify their compliance with institution policies?
  • Which senior administrators are involved in monitoring the state of compliance at their institution?
  • What are the responsibilities of these administrators?
  • How do administrators ensure consistent compliance across all units?
  • What tools and strategies aid creation of system-wide consistency in compliance?