Insurance ENROLLMENT MANAGEMENT Admissions Finance, continued Diversity Internal controls Enrollment trends Investment oversight Financial aid - operational Investment performance Graduation rates Liquidity Retention Long-term debt Student and family demographics Reserve fund Student debt Revenue risks - tuition dependency Study abroad See also compliance and privacy risks Transportation risks See also compliance and privacy risks HUMAN RESOURCES Background checks - operational FACILITIES & OTHER OPERATIONS Benefits Accessibility Code of conduct Auto/Fleet Collective bargaining Business continuity Computer security, back-ups Capital planning and projects Diversity Contract Services Employee handbook Emergency planning, response, operations, Employee retention and recovery Employee succession planning Energy consumption/efficiency Employment Facilities maintenance/operation Employment - affirmative action Outsourcing/privatization Grievance procedure Police operations Labor relations Property disposal Non-discrimination Regulatory Compliance Performance evaluation Safety operational, personnel, and – Termination procedures environmental Unionization Transportation and parking Workplace safety operational – Waste disposal, recycling, and reuse See also compliance and privacy risks See also compliance and privacy risks INFORMATION TECHNOLOGY FEDERAL, STATE & COMMUNITY Back-up procedures RELATIONS Communications systems City relations Cyber liability Neighborhood relations Data integrity and protection Regulatory concerns End-user training State relations Incident response continuity and security – See also compliance and privacy risks Network integrity FINANCE Security Auditor independence Staffing & support Budget challenges, allocations, carryovers System capacity Cash management System maintenance and upgrades Contracting & purchasing See also compliance and privacy risks Cost management RESEARCH Depletion of endowment principal Animal research operational Endowment - loss of income/investment – Biosafety Financial aid Clinical research - operational Financial exigency plan Competition for grants Financial reporting Fundraising High-risk investments
ENROLLMENT MANAGEMENT Admissions Diversity Enrollment trends Financial aid - operational Graduation rates Retention Student and family demographics Student debt Study abroad Transportation risks See also compliance and privacy risks FACILITIES & OTHER OPERATIONS Accessibility Auto/Fleet Business continuity Capital planning and projects Contract Services Emergency planning, response, operations, and recovery Energy consumption/efficiency Facilities maintenance/operation Outsourcing/privatization Police operations Property disposal Regulatory Compliance Safety – operational, personnel, and environmental Transportation and parking Waste disposal, recycling, and reuse See also compliance and privacy risks FEDERAL, STATE & COMMUNITY RELATIONS City relations Neighborhood relations Regulatory concerns State relations See also compliance and privacy risks FINANCE Auditor independence Budget challenges, allocations, carryovers Cash management Contracting & purchasing Cost management Depletion of endowment principal Endowment - loss of income/investment Financial aid Financial exigency plan Financial reporting Fundraising High-risk investments Insurance Finance, continued Internal controls Investment oversight Investment performance Liquidity Long-term debt Reserve fund Revenue risks - tuition dependency See also compliance and privacy risks HUMAN RESOURCES Background checks - operational Benefits Code of conduct Collective bargaining Computer security, back-ups Diversity Employee handbook Employee retention Employee succession planning Employment Employment - affirmative action Grievance procedure Labor relations Non-discrimination Performance evaluation Termination procedures Unionization Workplace safety – operational See also compliance and privacy risks INFORMATION TECHNOLOGY Back-up procedures Communications systems Cyber liability Data integrity and protection End-user training Incident response – continuity and security Network integrity Security Staffing & support System capacity System maintenance and upgrades See also compliance and privacy risks RESEARCH Animal research – operational Biosafety Clinical research - operational Competition for grants
erm-risk-opportunity-assessment-guide.docx