10 Higher Education Compliance Best Practices

In the United States, colleges and universities must comply with a variety of federal, state, and local laws and regulations. These laws and regulations cover a wide range of topics, including student privacy, discrimination, and financial aid.

Compliance with these laws and regulations is essential to ensuring the safety and well-being of students and employees, and to protecting the institution’s reputation.

This article provides an overview of 10 compliance best practices for higher education institutions.

1. Know the law

The law is constantly changing, and new regulations are always being added. It’s important to stay up-to-date on the latest changes so you can ensure your institution is in compliance.

Additionally, knowing the law will help you spot potential problems before they become serious issues. By understanding the requirements, you can take steps to prevent non-compliance before it happens.

Finally, if there is ever a problem, knowing the law will give you the best chance of successfully resolving it. You’ll be able to identify the relevant regulations and take the appropriate steps to bring your institution back into compliance.

2. Establish a compliance team

A compliance team provides a centralized location for compliance-related information and activities. By having a compliance team, you can more easily develop and implement policies and procedures related to compliance. Additionally, a compliance team can help monitor compliance with federal and state regulations, as well as institutional policies.

A compliance team typically consists of a compliance officer, who is responsible for overseeing the compliance program; and compliance staff, who are responsible for carrying out the day-to-day activities of the compliance program. In some cases, a compliance committee may also be established to provide guidance and oversight of the compliance program.

3. Create a code of conduct

A code of conduct is a set of rules and guidelines that outline what is expected of employees, students, and other members of the school community. It sets forth the standards of behavior that are expected and establishes consequences for violating those standards.

A code of conduct can help prevent and address problems before they escalate. It can also help build a culture of respect and responsibility. And, perhaps most importantly, it can help protect the school from legal liability.

Creating a code of conduct is not a one-time event. It is an ongoing process that should be reviewed and updated on a regular basis.

4. Develop policies and procedures

Policies and procedures provide a framework for how your institution will operate and make decisions. They help ensure that everyone is on the same page and that everyone knows what is expected of them.

Developing policies and procedures can be a daunting task, but there are resources available to help. The U.S. Department of Education’s Office of Compliance and Enforcement has developed a compliance toolkit that includes templates for developing policies and procedures.

Once you have developed your policies and procedures, it is important to communicate them to all members of your community and make sure they are being followed. You should also review and update your policies and procedures on a regular basis to make sure they are still relevant and effective.

5. Train employees on compliance issues

Employees who are not properly trained on compliance issues are more likely to make mistakes that could lead to non-compliance. Furthermore, if an employee is not aware of a particular compliance issue, they may not know to report it to the proper authorities.

Thus, it is essential to have a training program in place that covers all aspects of compliance. Employees should be trained on a regular basis, and the training should be updated as new compliance issues arise.

Additionally, it is important to have a mechanism in place for employees to report compliance concerns. This could be a hotline or an online form. By making it easy for employees to report compliance concerns, you can help ensure that any potential problems are quickly addressed.

6. Conduct internal audits

Internal audits help to ensure that your institution is in compliance with all applicable laws and regulations. They also help to identify any areas where improvements can be made.

Conducting internal audits on a regular basis will help to ensure that your institution is always in compliance with the ever-changing landscape of higher education compliance.

7. Take corrective action when necessary

If your institution is found to be out of compliance with a federal or state regulation, you may be required to take corrective action. Corrective action may include making changes to your policies and procedures, providing additional training to employees, or taking other steps to ensure compliance in the future.

Corrective action is important because it shows that you’re serious about compliance and that you’re willing to make changes to ensure compliance going forward. It also helps to prevent further violations from occurring.

If you’re ever found to be out of compliance with a regulation, be sure to take corrective action as soon as possible. This will help to show that you’re committed to compliance and that you’re taking steps to ensure compliance in the future.

8. Monitor changes in regulations

The regulatory environment for higher education is constantly changing. New laws and regulations are enacted, and existing ones are amended, on a regular basis. These changes can have a significant impact on the way your institution operates.

It’s important to stay up-to-date on these changes so you can ensure that your institution is in compliance with all applicable laws and regulations. There are several ways to do this, including subscribing to email alerts from relevant government agencies, such as the Department of Education, and following industry news sources.

Additionally, it’s a good idea to review your institution’s compliance policies and procedures on a regular basis to make sure they are up-to-date. This will help you identify any areas where changes need to be made to ensure compliance.

9. Keep records

The Family Educational Rights and Privacy Act (FERPA) is a federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education.

Under FERPA, educational institutions must maintain certain records about their students, including:

– Student transcripts
– Disciplinary records
– Financial aid records

If a school does not have these records, it could be subject to fines or other penalties. Additionally, if a school loses or destroys these records, it could be liable for damages.

Therefore, it’s important for schools to keep accurate and up-to-date records of their students.

10. Report violations to appropriate authorities

When a compliance violation occurs, it’s important to take action to mitigate the issue and prevent it from happening again in the future. But in order to do that, you need to first understand what went wrong and why.

Reporting violations to appropriate authorities is one of the best ways to get that information. By working with authorities, you can get a better understanding of the problem and develop a plan to fix it. Additionally, reporting violations can help to ensure that similar issues don’t happen at other schools.

Of course, it’s important to make sure that you report violations in a way that is compliant with the law. For example, you may need to get approval from a supervisor before making a report. But as long as you follow the proper procedures, reporting compliance violations can be a helpful way to improve your school’s compliance program.