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Centralizing Compliance Documentation. 4 th Annual Conference for Effective Compliance Systems In Higher Education Presented by David Galloway & Deena King Brigham Young University Office of Compliance and Audit March 30, 2006. Agenda. BYU – Who We Are BYU Compliance Environment

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Centralizing compliance documentation l.jpg

Centralizing Compliance Documentation

4th Annual Conference for Effective Compliance Systems In Higher Education

Presented by David Galloway & Deena King

Brigham Young University

Office of Compliance and Audit

March 30, 2006


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Agenda

  • BYU – Who We Are

  • BYU Compliance Environment

  • Dimensions of Centralized Documentation

  • Demonstration of Documentum Enterprise Content Management Software

  • Questions/Answers/Other Solutions


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Brigham Young University

  • Private, Church-sponsored

  • Founded 1875

  • Three independent campuses

    • Provo, Utah (30,000)

    • Rexburg, Idaho (14,000)

    • Laie, Hawaii (2,000)


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Brigham Young University

  • 75% students speak language in addition to English

  • Students come from all 50 states and more than 120 countries

  • #1 “Stone-cold Sober” University in the nation (Princeton Review)


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Brigham Young University

  • 1,600 faculty

  • 2,500 administrative & staff

  • 13,000 part-time student employees

  • $25 million in externally funded research grants


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BYU Compliance Environment

  • High reliance on student employees

  • Limited Resources to Address Compliance Issues

  • No medical school

  • Level III Biohazard laboratory

  • Very Risk-Averse Culture

  • Formal compliance function organized July 2005




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BYU Institutional Compliance Universe

International

Environmental

Health& Safety

Human

Resources

Information

Security

Student Services

Athletics/NCAA

Intellectual

Property

Student Financial

Aid

Tax

ADA/Access

Financial

Controls

Land Use &

Planning

Investment

Charter

Research

Administration

Donor Gift

Restrictions

Campus

Security

Controlled

Substances


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International

Environmental

Health& Safety

Human

Resources

Information

Security

Student Services

Athletics/NCAA

Intellectual

Property

Student Financial

Aid

Tax

ADA/Access

Financial

Controls

Land Use &

Planning

Investment

Charter

Research

Administration

Donor Gift

Restrictions

Campus

Security

Controlled

Substances

Compliance Universe

Information

Security

Compliance Category

FERPA

PCI/CISP

Compliance Class/Program

Gramm-Leach

Bliley

HIPPA



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Program Documentation

Evaluation File

Resources

Overview

Audit Plan

Implementation

Plan

Policy

Statement

Audit

Schedule

Compliance

Handbook

Audit

Program

Compliance

Guide

Purpose/

Scope

Audit

Reports

Compliance

Training

Procedures

Responsibilities

Audit

Follow-up

Self-Audit

Checklists

Training

Requirements

Summary

Evaluation

Monitoring

Requirements

Website

Monitoring

Reports

Compliance

Database


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Enterprise Content Management

Website

  • Central Database

  • Accessible

  • Controlled Access (General and Content Specific)

  • Work-flow Capability

  • Accommodate Multiple Users

  • Populate Website(s) from Approved and Controlled Content

Compliance

Database


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Enterprise Content Management Software

Website

Central Database

-Documentation from any source/format

-Centrally managed and secured

-Service to University units

Compliance

Database


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Enterprise Content Management Software

Website

Accessible

-General University Community

-Facilitate Ownership

-Populate multiple websites

Compliance

Database


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Enterprise Content Management Software

Website

Controlled Access (General and Content Specific)

-Users/writers/approvers/executives all can have access to content appropriate to their needs

Compliance

Database


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Enterprise Content Management Software

Website

Work-flow Capability

-Check-in, check-out, approval routing

-E-mail notification

-Facilitate Collaboration

-Edit/approval/publish

Compliance

Database


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Enterprise Content Management Software

Accommodate Multiple Users

-University community (policy, procedures, general information)

-Department websites

-Executive review

-Compliance/Risk Management/Legal

Website

Compliance

Database


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Enterprise Content Management Software

Website

Populate Website(s) from Approved and Controlled Content

-Compliance/Risk Management/Legal

-Departments (Chemistry Labs, Physical Facilities)

Compliance

Database


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Enterprise Content Management Software

Website

Other:

-Version control

-Historic archive

-Integration with other University content (University Policy Manual)

Compliance

Database


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Overview

Policy

Statement

Statutes/

Requirements

Purpose/

Scope

Compliance

Database

Procedures

Responsibilities

Training

Requirements

Monitoring

Requirements

Website

Monitoring

Reports



















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Workflow opened.


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Clicking the arrow next to the document name will automatically start a workflow.


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The “change set” indicates the document is in the workflow.

An e-mail is automatically generated and sent to the next person in workflow notified that a document is ready for their review.



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Once editor/approver “Accepts” a task they can edit and “Submit” or edit and “Reject.” If submitted, it is either sent to next person or published.


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Source: Gartner (October 2005) “Submit” or edit and “Reject.” If submitted, it is either sent to next person or published.


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Centralizing Compliance Documentation “Submit” or edit and “Reject.” If submitted, it is either sent to next person or published.

4th Annual Conference for Effective Compliance Systems In Higher Education

Presented by David Galloway & Deena King

Brigham Young University

Office of Compliance and Audit

March 30, 2006