1. Using Federal Compliance for Institutional Learning and Improvement
Beyond Compliance
Using Federal Compliance for Institutional Learning and Improvement
Ann T. Bentz, PhD
Assistant Provost for Academic Affairs
Kim Black, PhD
Director of Assessment and HLC Accreditation Liaison Officer
July 27, 2017

2. Session Goals
Describe a structure for ongoing management of academic federal compliance requirements
Discuss strategies for effective communication about compliance
Explain how federal compliance can serve as a catalyst for institutional learning and improvement

3. In general, how does your institution view federal compliance?

4. How confident are you that your institution is meeting federal compliance requirements?

5. The Beginning…
More common comments – will probably sound familiar

6. How do we get everyone’s attention and change a decades old mindset?
So….what next?
How do we get everyone’s attention and change a decades old mindset?
Emphasizing the requirements for the upcoming accreditation visit?

7. Educate about the multitudes of regulations?
Title IX and Sex Discrimination
Americans with Disabilities Act

8. What speaks loudest?

9. Found as many examples as possible for paying back the feds due to non compliance – tied the “reasons” to the program integrity rules of the HEOA

10. Who on your campus is responsible for ongoing oversight of federal compliance?

11. Steering Committee for the Oversight of HLC and Legislative Academic Compliance
Academic Administrators
Provost’s Office, Assessment/Accreditation, Registrar, Financial Aid, Graduate School, Dean of Students, Distance Education
Faculty
Faculty Senate, Academic Policies Committee
Other Administrators
Title IX/Equity, Athletics
A compliance committee is not unique by any means. We just wanted to share how this approach worked for us. Long convulated name because it was less threatening to folks than “compliance”

12. Steering Committee for the Oversight of HLC and Legislative Academic Compliance
Responsibilities:
monitor HLC, State, and Federal legislative mandates
monitor current UNC policies, procedures, guidelines and practices
identify and prioritize HLC and legislative academic compliance issues
identify institutional barriers to compliance such as a lack of policy, policy gaps, or structural impediments
develop, appropriately vet, and subsequently implement plans to resolve compliance issues which may include the development of ad hoc topic-specific committees made up of appropriate stakeholders
build campus-wide awareness of academic compliance issues and the need to address those issues
be a point of contact when compliance issues or questions arise

13. Meeting #1 July 11, 2013
Program integrity rules of HEOA

14. Student Consumer Information Page Title IV Regulations
Steering Committee for the Oversight of HLC and Legislative Academic Compliance
Student Consumer Information Page
Title IV Regulations
Instructional Methods
Course Scheduling
Student Complaints
Transfer Policies
NCAA Compliance
Least controversial – met weekly for most of 2013; bi-weekly for all of 2014; moved to monthly

15. Communication Strategies
Road Show
Connection to faculty governance
Compliance committee members informed units
Web presence
Clear, consistent messaging!
We were very open about non-compliance issues that arose – accused on misunderstanding/misinterpreting the law

16. Communication Strategies
What helps students – use the LAC example

17. All minutes are posted – nothing is hidden
Comments:
The University of Northern Colorado has demonstrated a strength in placing policies and
requirements on the website where it can be read by students, faculty, and the community.

18. Paid Off!

19. What is the main challenge to federal compliance?

20. People
Old habits
New employees
Intransigence

21. Processes
Communication
Training
Shared governance

22. Infrastructure

24. Students benefit from focus on compliance
Academic Policy/Faculty Governance
Advising and financial aid
Transfer evaluation and credit for prior learning
Four-year plans
Centralized scheduling

25. Final Thoughts Focus on benefits to students
Support from academic leadership
Candid evaluation

26. Would a compliance committee work for your campus?

27. Questions

28. THANK YOU!