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The HYPOTHESIS

The HYPOTHESIS. Developing a Compliance Program at a Small Higher Education Institution Sheila Lockwood, CHMM Chemical Hygiene and Biosafety Officer. 1990 Israel Research. My Background. 1982-1990. 1991-2013. One of 28 Jesuit Institutions. 16 Colleges & Universities

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The HYPOTHESIS

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  1. The HYPOTHESIS Developing a Compliance Program at a Small Higher Education Institution Sheila Lockwood, CHMM Chemical Hygiene and Biosafety Officer Create. Sustain. Support.

  2. 1990 Israel Research My Background 1982-1990 1991-2013

  3. One of 28 Jesuit Institutions 16 Colleges & Universities 34 Community & Technical Colleges WA Bill Ehmann PhD. Associate Provost Research and Graduate Education Executive Champion

  4. Seattle University-Quick Facts

  5. A Journey of Discovery 1. Need to identify where we are 2. Plan where we want to be 3. Determine how we want to get there

  6. Five is our Magic Number Proactive Universities

  7. Build the Foundation • Executive Oversight Compliance Committee • Defining and documenting the structure • Compliance Gap Analysis • Responsible parties • Multi-year timeline

  8. SU Compliance Inventory

  9. Compliance Gap AnalysisCriteria • Ask the Question • Establish the Regulatory Structure • Assign Ownership of the Issue/Topic • Corrective Actions that Fill the Gap(s) • Prioritize Actions and Define a Timeline • Identify others with successful outcomes

  10. Gap Analysis Models

  11. Gap Analysis Scoring

  12. SU-Two Tiered Mechanism

  13. Multi-Year Implementation Plan Empathy Vulnerability Complex Undertaking Avoiding Burnout

  14. Resources • NACUA http://www.nacua.org • Society for Corporate Compliance and Ethics • NACUBO http://www.nacubo.org/ • Research and Scholarly Integrity in • Graduate Education 2012 third publication • (Project for Scholarly Integrity) • Higher Ed Compliance Alliance http://www.higheredcompliance.org • CITI Program • https://www.citiprogram.org/

  15. Thank You Sheila Lockwood, CHMM Chemical Hygiene and Biological Safety Officer Seattle University 901 12th Avenue P.O. Box 222000 Seattle, WA 98122-1090 Tel: (206) 220-8273 lockwoos@seattleu.edu

  16. FORUM Questions & Answers

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