Centralizing Compliance Documentation

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Centralizing Compliance Documentation. 4 th 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. Agenda. BYU – Who We Are BYU Compliance Environment
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Centralizing Compliance Documentation4th Annual Conference for Effective Compliance Systems In Higher EducationPresented by David Galloway & Deena KingBrigham Young University Office of Compliance and AuditMarch 30, 2006Agenda
  • BYU – Who We Are
  • BYU Compliance Environment
  • Dimensions of Centralized Documentation
  • Demonstration of Documentum Enterprise Content Management Software
  • Questions/Answers/Other Solutions
  • Brigham Young University
  • Private, Church-sponsored
  • Founded 1875
  • Three independent campuses
  • Provo, Utah (30,000)
  • Rexburg, Idaho (14,000)
  • Laie, Hawaii (2,000)
  • 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)
  • Brigham Young University
  • 1,600 faculty
  • 2,500 administrative & staff
  • 13,000 part-time student employees
  • $25 million in externally funded research grants
  • 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
  • BYU Compliance OrganizationScope: Areas/ProgramsBYU Institutional Compliance UniverseInternationalEnvironmental Health& SafetyHumanResourcesInformationSecurityStudent ServicesAthletics/NCAAIntellectual PropertyStudent FinancialAidTaxADA/AccessFinancial ControlsLand Use &PlanningInvestmentCharterResearch AdministrationDonor GiftRestrictionsCampusSecurityControlledSubstancesInternationalEnvironmental Health& SafetyHumanResourcesInformationSecurityStudent ServicesAthletics/NCAAIntellectual PropertyStudent FinancialAidTaxADA/AccessFinancial ControlsLand Use &PlanningInvestmentCharterResearch AdministrationDonor GiftRestrictionsCampusSecurityControlledSubstancesCompliance UniverseInformationSecurityCompliance CategoryFERPAPCI/CISPCompliance Class/ProgramGramm-LeachBlileyHIPPADeliverable: Compliance ProgramProgram DocumentationEvaluation FileResourcesOverviewAudit PlanImplementationPlanPolicyStatementAudit ScheduleComplianceHandbookAudit ProgramComplianceGuidePurpose/ScopeAudit ReportsComplianceTrainingProceduresResponsibilitiesAudit Follow-upSelf-AuditChecklistsTrainingRequirementsSummaryEvaluationMonitoringRequirementsWebsiteMonitoringReportsCompliance DatabaseEnterprise Content ManagementWebsite
  • Central Database
  • Accessible
  • Controlled Access (General and Content Specific)
  • Work-flow Capability
  • Accommodate Multiple Users
  • Populate Website(s) from Approved and Controlled Content
  • Compliance DatabaseEnterprise Content Management SoftwareWebsiteCentral Database-Documentation from any source/format-Centrally managed and secured-Service to University unitsCompliance DatabaseEnterprise Content Management SoftwareWebsiteAccessible-General University Community-Facilitate Ownership-Populate multiple websitesCompliance DatabaseEnterprise Content Management SoftwareWebsiteControlled Access (General and Content Specific)-Users/writers/approvers/executives all can have access to content appropriate to their needsCompliance DatabaseEnterprise Content Management SoftwareWebsiteWork-flow Capability-Check-in, check-out, approval routing-E-mail notification-Facilitate Collaboration-Edit/approval/publishCompliance DatabaseEnterprise Content Management SoftwareAccommodate Multiple Users-University community (policy, procedures, general information)-Department websites-Executive review-Compliance/Risk Management/LegalWebsiteCompliance DatabaseEnterprise Content Management SoftwareWebsitePopulate Website(s) from Approved and Controlled Content-Compliance/Risk Management/Legal-Departments (Chemistry Labs, Physical Facilities)Compliance DatabaseEnterprise Content Management SoftwareWebsiteOther:-Version control-Historic archive-Integration with other University content (University Policy Manual)Compliance DatabaseOverviewPolicyStatementStatutes/RequirementsPurpose/ScopeCompliance DatabaseProceduresResponsibilitiesTrainingRequirementsMonitoringRequirementsWebsiteMonitoringReportsDemonstration of DocumentumUpload a DocumentLog In ScreenMeta-dataMeta-dataInboxEdit A DocumentWeb CabinetsFile Structure Very Similar to Windows ExplorerCompliance Web CabinetLockout-Tagout Folder and ContentsView versus Check-OutA document must be checked out before it can be edited.A checked out document is locked.Click on the document title and MSWord is automatically opened.An edited document must be checked back in.The document now has a new version number.WorkflowClicking the arrow next to the document name will automatically start a workflow.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.Inbox of Next Person in WorkflowOnce 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.Source: Gartner (October 2005)Centralizing Compliance Documentation4th Annual Conference for Effective Compliance Systems In Higher EducationPresented by David Galloway & Deena KingBrigham Young University Office of Compliance and AuditMarch 30, 2006
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