Our process commences with a thorough evaluation of the school's current program. We analyze the presence of an institutional "culture of compliance," assess the effectiveness of existing compliance functions, and determine if a risk-based decision-making approach is already in place. Taking into account both current and proposed resources, we offer recommendations for optimal staffing and reporting lines tailored to the school's unique culture. Subsequently, we deliver a comprehensive implementation plan and timeline to establish the essential components of a robust compliance program.
Compliance Program Elements
Whether a college or university takes a centralized or decentralized approach to compliance, there are certain elements that must be put in place for the program to be successful. We help educate senior leadership and stakeholders on the necessary components, including:
- Ethics and whistleblower protection policies
- Mechanisms to monitor compliance and report wrongdoing
- Policy development processes
- Risk assessments
- Training Programs
In addition to assisting clients in structuring their compliance programs, we offer:
- Risk Assessments and Compliance Program Audits: We assist clients in developing risk assessment programs or conduct compliance risk assessments on their behalf, including comprehensive reviews in high-risk areas, such as Title IX, Clery Act, NCAA requirements, the ADA and student conduct, examining not just the policies in place, but training plans, communication protocols and “on-the-ground” procedures.
- Policy Development and Training: We assist clients with establishing a process for policy development that includes appropriate levels of stakeholder involvement and efficiency and designing comprehensive training programs to best ensure that policies will be implemented. We also offer a full suite of training services.
- Investigations: Our team of seasoned investigators is available to handle the most sensitive internal investigations, including Title IX investigations, ethics concerns, group-based misconduct (such as fraternities or athletics teams), and complaints against high profile administrators, and to assist in developing an institutional response.