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Coordinator

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Higher Education Risk Dictionary Project and Compliance Risks Coordinator David B. Crawford, CIA, CCSA The University of Texas System Board Liaison – PowerPoint PPT presentation

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Title: Coordinator


1
Higher EducationRisk Dictionary Project and
Compliance Risks
  • Coordinator
  • David B. Crawford, CIA, CCSA
  • The University of Texas System
  • Board Liaison
  • Kim Turner
  • Texas Tech University System

2
History
  • Warren Spruill (Mid-1990s)
  • ACUA Mid-Year 2004
  • ACUA Annual Conference 2004
  • Board Project

3
Project Work Group (1 of 2)
  • Amy Hughes Auxiliary Enterprises
  • Michigan Technological University
  • Donna Holmes Financial Management
  • The University of Texas at San Antonio
  • Paul Tyler Financial Management
  • The University of Texas at San Antonio
  • J. Michael Peppers Hospitals
  • The University of Texas M. D. Anderson Cancer
    Center
  • Belinda Brockman Hospitals
  • bbrockman1_at_covad.net
  • Fran Grogan Institutional Support
  • Frances E. Grogran, CPA

4
Project Work Group (2 of 2)
  • Nur Erenguc Instruction Academic Support
  • University of Florida
  • Maureen Rhea Information Technology
  • University of Washington
  • Don Guyton Physical Plant
  • University of Houston System
  • Barbara Ratti Research
  • University of Central Florida
  • Doug Horr Student Services
  • Stevens Institute of Technology

5
Risk Dictionary Organization NACUBO Financial
Reporting Manual
  • Auxiliary Enterprises (6)
  • Financial Management (14)
  • Hospitals (11)
  • Institutional Support (11)
  • Instruction and Academic Support (9)
  • Information Technology (5)
  • Physical Plant (11)
  • Research (12)
  • Student Services (12)

6
Risk Dictionary CD Content
  • Risk Dictionary Project Summary (Word file)
  • Alphabetical Index of Sub-Processes (Excel file)
  • One Excel Workbook for Each of the Nine Major
    Categories

7
Major Category Workbooks
  • Worksheet for each sub-process
  • Each sub-process worksheet contains
  • A list of potential risks
  • Columns for entering best practice controls

8
Risk or Consequence
  • Risk is a cause-based event that will negatively
    impact the achievement of goals and objectives.
  • Consequence is the outcome to the institution
    when a risk becomes reality.

9
(No Transcript)
10
Distribution
  • Copies of the draft Risk Dictionary were
    distributed by CD at the Portland conference and
    were made available on the ACUA Members Only
    website
  • An e-mail was sent from Kim Turner to all ACUA
    institution representatives requesting input and
    advising on where the draft was on the ACUA
    website

11
Status to Date
  • Only six higher education institutions have
    provided any input since the call for Controls in
    September 2005
  • Controls are now being consolidated into a new
    Draft which will be presented at Mid-Year ACUA in
    San Antonio next month

12
Whats Next
  • Is the project worth the effort?
  • Everyone says yes but few put effort on the
    project
  • Who will maintain the Risk Dictionary?
  • Subject matter experts for each of the nine areas
  • How will colleges and universities use the risk
    dictionary?
  • Model for validation and completeness
  • Education aid for unfamiliar areas
  • Enterprise Risk Management Tool

13
The Risk Dictionary Project the 4th Compliance
Conference
  • Begin population of the Risk Dictionary with
    compliance risks especially in common risks areas
  • Explore the sharing of compliance risks and
    controls in common risk areas
  • Consider an approach to maintaining the
    compliance risks in the Risk Dictionary

14
Compliance Risk Areas
  • Basic Research
  • Campus Security
  • Clinical Research
  • Conflicts of Interest
  • Endowments
  • Environmental, Health, and Safety
  • Confidentiality
  • Human Resources
  • Information Technology
  • Medical Billing
  • Student Financial Aid
  • Intercollegiate Athletics
  • Fiscal Management
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