Andrea Nordmann, Chief Compliance Officer, Texas Christian University
David Chadwick, Founder & CEO, RealResponse
Depending on how you view it, there’s never been a more challenging—or more necessary—time to play a role in university compliance.
Higher education institutions have always contended with a diverse menu of compliance concerns, from adhering to federal and local regulations to mitigating ethical violations. Managing compliance as it relates to core functions like admissions, research, finance and human resources isn’t going anywhere (if anything, they’re each becoming more complex).
But the list of modern issues that intersect with this foundation is growing exponentially.
Rapid innovations in artificial intelligence, rising geopolitical conflict, continued investments in hybrid learning, the dismantling of affirmative action. These are just a sampling of the very new factors transforming compliance leaders’ remit.
All of this amounts to one reality: The stakes for maintaining compliance in higher education are higher than ever. And we have a responsibility to ensure that students, faculty and staff not only comply with a slate of institutional policies—but to ensure they do so in a way that reflects our institutions’ values.
It’s a tall order. But there are specific actions we can take to fulfill it:
- Know what to prioritize. Compliance leaders cannot be everything, everywhere, all at once. To be effective, you have to know your institution well and align your time and resources with where the biggest risks lie. For example, compliance heads at R1 institutions will naturally focus on ensuring the integrity of all research operations, and mitigating the risk of health and safety incidents. Similarly, schools with Division I athletics programs are going to dedicate resources there—from a health and safety standpoint, but also from a reputational one.
- Compliance is a team sport. It’s not the responsibility of one or two people on campus; everyone is accountable. For the same reasons compliance leaders must be able to prioritize, they also need a knack for building teams and connections. You need to clearly communicate what you need others to do, whether that’s adhering to specific rules, participating in training or knowing how and when to report instances of noncompliance.
- Shift perception. Compliance doesn’t sell tickets or generate revenue, but it can stop the game. Building effective relationships is a lot easier when compliance is perceived as a positive support system rather than an impediment. To ensure partners across the institution come to you proactively, compliance offices need to demonstrate that their purpose isn’t to immediately say “no”—but rather, to help find acceptable alternatives so that the answer can be “yes.”
- Make reporting more accessible. The mechanisms you offer for whistleblowing and reporting are just as critical as any prevention programs you put in place. Part of having an effective compliance program is having different, accessible ways people can report anonymously. When someone experiences or witnesses problematic behavior, you don’t want them struggling or jumping through hoops in order to get help. For example, digital platforms offer an always-on, two-way channel for students, faculty, and staff to reach out when they need it most. Invest in resources that match the way students and employees already work and communicate.
As compliance leaders, we’re responsible for protecting not just our institutions, but their culture as well. It is, undeniably, a tough job. But it’s not simply one that “someone” has to do—everybody does.
With the right relationships and resources, we can make it easier for our entire university communities to help us get the job done.