COMPLIANCE PROGRAMS ON A LIMITED BUDGET Lucien “Skip” Capone III University Counsel UNCG November 9, 2009
The Gold Standard = COORDINATED COMPLIANCE !!!
Reality Check 1: Coordinated Compliance is a “Tough Sell” A coordinated compliance program is the gold standard…and costs like it! Can’t quantify ROI Adds to cost of unfunded mandates Not a priority (until it becomes a priority)
Reality Check 2: Assessing Risk of Noncompliance is Deceptive Your President will likely ask, “which laws and regulations should I worry about most? ” Expected answer – “The ones we deal with the most” Better answer – “The ones that could result in loss of federal funding or big fines” Correct answer – “We won’t know until we’re caught in a violation. ”
Dream the Impossible Dream Your President: “Fix it. (Just don’t ask me for any money). ”
Can the Stealth Model Work? Its all about OWNERSHIP! *Concentrated areas – ownership is usually clear, e. g. human subjects research *Broad areas – not so clear, e. g. FERPA *Watch out for areas that fall between organizational cracks
Step 1 – Compliance Survey 3 Objectives: 1. Catalog compliance activities on campus 2. Gauge awareness of compliance responsibilities in functional areas. 3. Determine specifically who was taking responsibility for compliance
Question 1 1. Please identify the relevant federal and/or state law(s), rules or regulations (if any) that your office or department is required to observe. (E. G. HIPAA, FERPA, etc. )
Question 2 2. With respect to the information provided in question 1, is your office or department required to prepare periodic reports or otherwise document compliance? If so, please attach a copy of the latest report your office prepared and/or describe the documentation you are required to keep.
Question 3 3. Please identify personnel responsible for compliance and reporting within your division or department. List their name and the area(s) of compliance for which they are responsible.
Step 2 – Analysis of Results Awareness – 161 different laws and regulations were listed. BUT CU identifies over 300! Admissions of ownership were the exception, not the rule.
Step 3 – Compliance Calendar Modeled after CU’s Includes ownership designations Sent Draft to all units (get buy-in) Published on web http: //www. uncg. ed u/ucn/compliance/ (e. g. ) December Animal Welfare Act (Office of Research Compliance) 9 CFR § 2. 36. If live animals are used by the institution in research, tests, experiments or for teaching, then the part of the institution responsible for the research must submit an annual report to the AC Regional Director for the state where the institution is located on or before December 1 st of each calendar year. The report shall be signed by the CEO of Institutional Official and shall cover the previous fiscal year. .
Possible Next Step(s) 1. Reminder or tickler system 2. Compliance audit a. Determine what activities each office is pursuing. b. Determine what laws and regulations cover those activities. c. Interview the members of each office to determine whether they are aware of and are complying with those requirements.
Caution ! “In for a dime, in for a dollar” The more you take on, the more you will OWN!
Good Luck!!!!
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