Appendix B - Potential Risk Areas for Higher Education ACADEMIC AFFAIRS Academic freedom Compliance & Privacy, continued Credit card privacy regulations PCI-DSS Academic quality and standards – Environmental health & safety Accreditation Export controls Collective bargaining Federal sentencing guidelines Computer security, back-up systems – organizations Contractual relationships/dependencies Foreign nationals - SEVIS Distance learning Gramm-Leach-Bliley Educational technology Government grants grant restrictions Facilities quality – Grant accounting reporting and cost Faculty diversity – accounting, A-133/A-110/ARRA Faculty employment-operational Harassment prevention Faculty recruitment and retention Hazardous materials Grievance procedures Health and safety compliance Health & safety of students, faculty, staff- Higher education act operational HIPAA International students-operational HR/employment affirmative International travel, global activities – action/FLSA/FMLA Joint programs Intellectual property rights Baye-Dole Act – Libraries Laboratory safety - compliance Reappointment, promotion and tenure Lobbying Student experiential learning Policy/procedure - institutional Student learning outcomes Privacy Transportation risks Record retention/destruction See also compliance and privacy risks Red flags rules Select agents BOARD GOVERNANCE Sexual molestation prevention Board member independence Student financial aid Title IV, HEOA, Board performance assessment – program integrity Administration compensation & Student records - FERPA assessment Tax compliance Governance policies Whistleblower policy Officer codes of conduct Vermont security breach notification act See also compliance and privacy risks DEVELOPMENT & ALUMNI RELATIONS COMPLIANCE AND PRIVACY Alumni relations Accounting GASB/GAAP – Capital campaigns - reduced donor support Affirmative action Compliance with donor intent Alcohol and drugs- drug free Computer security, back-up systems workplace, drug free schools and community act Endowment loss of income/investment – Animal research Gift acceptance policies Athletics NCAA/Title IX Health & safety of employees, visitors- – Background checks operational High-risk investments Biosafety Investment oversight Bond compliance Naming policies Information security breach response Sale of donated property Clinical research human subjects – Special event risks Code of business conduct Transportation risks Code of ethics Conflicts of interest inclusive of research See also compliance and privacy risks – Copyright and "fair use"
Appendix B - Potential Risk Areas for Higher Education ACADEMIC AFFAIRS Academic freedom Academic quality and standards Accreditation Collective bargaining Computer security, back-up systems Contractual relationships/dependencies Distance learning Educational technology Facilities quality Faculty diversity Faculty employment-operational Faculty recruitment and retention Grievance procedures Health & safety of students, faculty, staff- operational International students-operational International travel, global activities Joint programs Libraries Reappointment, promotion and tenure Student experiential learning Student learning outcomes Transportation risks See also compliance and privacy risks BOARD GOVERNANCE Board member independence Board performance assessment Administration compensation & assessment Governance policies Officer codes of conduct See also compliance and privacy risks COMPLIANCE AND PRIVACY Accounting – GASB/GAAP Affirmative action Alcohol and drugs- drug free workplace, drug free schools and community act Animal research Athletics – NCAA/Title IX Background checks Biosafety Bond compliance Information security breach response Clinical research – human subjects Code of business conduct Code of ethics Conflicts of interest – inclusive of research Copyright and "fair use" Compliance & Privacy, continued Credit card privacy regulations – PCI-DSS Environmental health & safety Export controls Federal sentencing guidelines – organizations Foreign nationals - SEVIS Gramm-Leach-Bliley Government grants – grant restrictions Grant accounting – reporting and cost accounting, A-133/A-110/ARRA Harassment prevention Hazardous materials Health and safety compliance Higher education act HIPAA HR/employment – affirmative action/FLSA/FMLA Intellectual property rights – Baye-Dole Act Laboratory safety - compliance Lobbying Policy/procedure - institutional Privacy Record retention/destruction Red flags rules Select agents Sexual molestation prevention Student financial aid – Title IV, HEOA, program integrity Student records - FERPA Tax compliance Whistleblower policy Vermont security breach notification act DEVELOPMENT & ALUMNI RELATIONS Alumni relations Capital campaigns - reduced donor support Compliance with donor intent Computer security, back-up systems Endowment – loss of income/investment Gift acceptance policies Health & safety of employees, visitors- operational High-risk investments Investment oversight Naming policies Sale of donated property Special event risks Transportation risks See also compliance and privacy risks