Effective Compliance Systems: A Practical Guide for Educational Institutions

Finally a resource that helps you:

- Understand why your institution needs a compliance program.
- Implement the core activities of an institutional compliance program.
- Learn strategies for minimizing instances of noncompliance and dealing with the consequences of noncompliance.
- Manage complaince "A" risks at every organizational level.
- Compare actual results of a program with planned results.
- Identify areas that need improvement.
- Develop a revised compliance action plan.

David B. Crawford, CIA, CCSA, CPA, is the principal author. He is an Audit Manager Emeritus in The University of Texas System Audit Office with responsibilities in the system-wide institutional compliance program in which he has been intimately involved for three years. He held previous audit management positions with The University of Texas System Audit Office, The State Auditor's Office of Texas, the City of Long Beach Auditor's Office, and Texas Southern University Audit Office in Houston, Texas. In addition, he held senior financial, information, and production management positions in several large commercial firms and various agencies in both city and state governments. Crawford currently provides training and consulting services worldwide as a principal in JDEnterprises, a company he owns with his wife, Justina. Areas of concentration include risk management, risk-based auditing, internal controls, COSO, risk and control self-assessment, and managing the internal audit department. He is frequently a speaker at professional auditing conferences in North America, Europe, and Africa. Recently, he authored an article in Internal Auditor on the Levels of Control in the COSO Model.

Charles G. Chaffin, CIA, CPA, is a collaborating author. He is the Director of Audits for The University of Texas System with overall responsibility for all internal auditing activities in the system. He is also the System-wide compliance Officer responsible for providing guidance to the various component compliance programs and information to the system's executive management and board of regents. He has been, since its inception in January 1998, the U.T. System official primarily responsible for the development and implementation of the U.T. System Institutional Compliance Program. He previously was an audit partner in Deloitte and Touche in Houston, Texas. Chaffin is a frequent presenter at professional auditing and compliance conference. He is currently regarded as one of the most knowledgeable practitioners in compliance in higher education.

Scott Scarborough, CIA, CISA, CPA, is a collaborating author. He is the Vice President for Business Affairs and the Compliance Officer at The University of Texas at Tyler where his responsibilities include financial services, human resources, physical plant, environmental health and safety, information resources, university police, a performing arts center, and institutional compliance. He previously held the position of audit manager at The University of Texas System Audit Office and was also an audit supervisor with PriceWaterhouseCoopers. Scarborough authored the first Action Plan to Ensure Institutional Compliance for the U.T. System. In addition, he prepared the original draft of the Standards of Conduct Guide shown as Appendix H. He was the initiator of control self-assessment in the U.T. System and presented at many internal auditing conferences on this subject. Scarborough is currently a doctoral student in strategic management at The University of Texas at Arlington.