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Centralizing Compliance Documentation

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  1. 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

  2. Agenda • BYU – Who We Are • BYU Compliance Environment • Dimensions of Centralized Documentation • Demonstration of Documentum Enterprise Content Management Software • Questions/Answers/Other Solutions

  3. Brigham Young University • Private, Church-sponsored • Founded 1875 • Three independent campuses • Provo, Utah (30,000) • Rexburg, Idaho (14,000) • Laie, Hawaii (2,000)

  4. 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)

  5. Brigham Young University • 1,600 faculty • 2,500 administrative & staff • 13,000 part-time student employees • $25 million in externally funded research grants

  6. 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

  7. BYU Compliance Organization

  8. Scope: Areas/Programs

  9. 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

  10. 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

  11. Deliverable: Compliance Program

  12. 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

  13. 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

  14. Enterprise Content Management Software Website Central Database -Documentation from any source/format -Centrally managed and secured -Service to University units Compliance Database

  15. Enterprise Content Management Software Website Accessible -General University Community -Facilitate Ownership -Populate multiple websites Compliance Database

  16. 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

  17. Enterprise Content Management Software Website Work-flow Capability -Check-in, check-out, approval routing -E-mail notification -Facilitate Collaboration -Edit/approval/publish Compliance Database

  18. Enterprise Content Management Software Accommodate Multiple Users -University community (policy, procedures, general information) -Department websites -Executive review -Compliance/Risk Management/Legal Website Compliance Database

  19. Enterprise Content Management Software Website Populate Website(s) from Approved and Controlled Content -Compliance/Risk Management/Legal -Departments (Chemistry Labs, Physical Facilities) Compliance Database

  20. Enterprise Content Management Software Website Other: -Version control -Historic archive -Integration with other University content (University Policy Manual) Compliance Database

  21. Overview Policy Statement Statutes/ Requirements Purpose/ Scope Compliance Database Procedures Responsibilities Training Requirements Monitoring Requirements Website Monitoring Reports

  22. Demonstration of Documentum

  23. Upload a Document

  24. Log In Screen

  25. Meta-data

  26. Meta-data

  27. Inbox

  28. Edit A Document

  29. Web Cabinets

  30. File Structure Very Similar to Windows Explorer

  31. Compliance Web Cabinet

  32. Lockout-Tagout Folder and Contents

  33. View versus Check-Out

  34. A document must be checked out before it can be edited.

  35. A checked out document is locked.

  36. Click on the document title and MSWord is automatically opened.

  37. An edited document must be checked back in.

  38. The document now has a new version number.

  39. Workflow

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

  41. 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.

  42. Inbox of Next Person in Workflow

  43. 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.