CASE IN POINT: LESSONS FOR THE PROACTIVE MANAGER

Volume 14 Number 11 | November 2022

On November 9, 2022, as part of Compliance & Ethics Week, we held AU’s first ever Compliance Summit. Over 150 people attended, and they all play important roles in helping AU maintain regulatory compliance. The attendees represented a wide range of units including Student Affairs, Financial Services, AA/EEO, HR, Athletics, and many more. The feedback from this event, which included keynote speaker, Kristy Grant-Hart, and remarks from President Chris Roberts and AU Board of Trustees Audit & Compliance Committee Chair, Tim Vines, has been overwhelmingly positive.

Compliance isn’t a topic many people like to discuss; they may even assume it’s boring. However, it is vital for everyone to consider. Higher education is arguably the most regulated industry around. Compliance failures result in valuable resources going toward fines, litigation, and settlements, rather than our primary mission of teaching, research, and outreach.

While the attendees of the Compliance Summit have direct compliance responsibilities in their job descriptions, everyone—no matter their title or position—has a role in maintaining compliance. With that in mind, here are three basic tips for ensuring you don’t become a compliance headline:

  1. Know the policies and regulations relevant to your role at the institution. If you aren’t clear on any of these, ask someone for help. If you are unsure of who to ask, come to us in OACP, and we will assist you.

  2. If you become aware of a compliance failure, let the appropriate people know. Awareness without action is a dangerous thing for all institutions. If you don’t know where to go, come to us in OACP, and we will assist you.

  3. If something doesn’t make sense, ask more questions. It’s much easier to prevent compliance issues than remediate them. Sometimes those additional questions can prevent the wrong course of action from being taken.

As always, we invite you to review the issues occurring in higher education with a view toward proactive action. We always welcome your feedback and suggestions.

Pictured (Left to Right) at 2022 Compliance Summit : AU Board Member Tim Vines, Keynote Speaker Kristy Grant-Hart, AVP Kevin Robinson, AU President Chris Roberts

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Kevin Robinson
Kevin Robinson
Associate Vice President
Office of Audit, Compliance & Privacy

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Last updated: 11/30/2022