Institutional Compliance

Assurance Strategies Matrix

 

Assurance Strategy

Provided by

Provided on

Provided for

Certification

Responsible Party

Responsible Party

Compliance Officer

Inspection

Compliance Function

Responsible Party

Compliance Officer & University President

Agreed-upon Procedures

Internal Audit

Responsible Party

Compliance Officer

Design Audit

Internal Audit

Compliance Officer

President & Governance

Information Validation Audit

Internal Audit

Responsible Party & Compliance Function

President & Governance

External Peer Review (in lieu of compliance oversight)

External peer review team of subject matter experts

Responsible Party

Compliance Officer

External Peer Review (in lieu of the internal auditing information audit)

External peer review team of subject matter experts

Responsible Party & Compliance Function

President & Governance

External Peer Review (of the compliance program)

External peer review team

Compliance Officer, Compliance Function, and the Compliance Committee

President & Governance

Other External Assurance Providers

Accreditation Team

External Auditors

Regulators

Responsible Party

Compliance Officer, President, & Governance

Last Updated: 11/30/20