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Compliance Committee

Norfolk State University Compliance Committee

The NSU Compliance Committee serves to provide guidance and insight to the Compliance program.  This committee is intentionally composed of diverse representation so that the members may lend their institutional knowledge, subject matter expertise, and dedicated efforts to the development, implementation and maintenance of the program, tailered to meet NSU's specific needs, which are proactive in our oversight of existing and emerging compliance risks.

Committee Mission Statement:

Integrity in our work and compliance with applicable laws and regulations is critical to Norfolk State University’s academic and operational enterprises.  Additionally, it is essential that we understand and effectively manage compliance risks to align with NSU’s strategy, seek to protect its reputation and sustain its mission. Academic and administrative units have the authority for policy development and the responsibility for implementation of compliance related practices, the mission of the Compliance Committee is to support NSU's mission and strategic plan. Ultimately, an effective compliance program ensures that there are adequate controls in place to reduce regulatory risks throughout NSU and provides to senior leadership and the Board of Visitor’s Audit, Risk and Compliance Committee reasonable assurance that all compliance risk areas have implemented core compliance management practices.

The following principles are recognized as important elements for an effective compliance program:

  • Effective compliance oversight.
  • Periodic risk assessments to identify compliance risks. 
  • Policies and procedures to detect and prevent violations of law. 
  • Effective employee training.
  • Monitoring to confirm that employees are following the policies.
  • Prompt investigation and appropriate action to limit University risk. 
  • Supporting achievement of policies.
  • Periodic evaluation of the effectiveness of the compliance and ethics program.

Committee Composition:

The Committee members shall be appointed annually by the President and recommended by the Provost and Vice President for Academic Affairs and the Vice President for Operations and Chief Strategist.

The Compliance Committee is supported by the University’s Chief Compliance Officer who serves as chair of the committee.

Committee Specific Responsibilities:

The Compliance Committee serves as a forum to communicate and advise on compliance matters. 

The Committee members will review NSU’s compliance framework to assess and monitor the progress of implementing the elements reflected above for their specific compliance functions. The Chief Compliance Officer will leverage that input to maintain an effective University compliance program and provide reasonable assurance to senior leadership that core compliance risk areas are managed in accordance with these recognized elements.

The Compliance Committee will meet at least quarterly with the Chief Compliance Officer to:   

  1. Identify current and emerging compliance risk areas that are relevant to NSU's mission and objectives and provide advice regarding compliance program priorities.
  2. Assist compliance risk owners in designing and maintaining programs for their respective compliance functions and establishing roles and responsibilities, tracking compliance implementation across risk areas, identifying gaps and trends in compliance effort, reviewing gap closure action plans, and reporting progress to senior management.
  3. Assist with development and review of education, policies and procedures.
  4. Assist with monitoring identified compliance risks and implementing gap closure action plans, as applicable.
  5. Share best practices across the University compliance functions.
  6. Coordinate with other relevant committees and/or activities, including NSU's internal audit efforts. 
  7. Review proposed legislative changes that impact higher education.
  8. Discuss enforcement actions in higher education and associated emerging risks.