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Compliance Alliance

Norfolk State University Compliance ALLIANCE

The NSU Compliance Alliance serves to provide guidance and insight to the Compliance program.  This group 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, tailored to meet NSU's specific needs, which are proactive in our oversight of existing and emerging compliance risks.

Compliance Alliance 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 Alliance 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.

Compliance Alliance Composition:

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

Compliance Alliance Specific Responsibilities:

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

The Alliance members will review NSU’s compliance framework to assess and monitor the progress of implementing an effective compliance program. 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 Alliance 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.