Simplify higher education risk and compliance management
Protect sensitive student and faculty data, empower your institution and fulfill your duty of care. Confidently navigate higher education risk and compliance with NAVEX One.
Regulatory adherence
Navigate complex compliance requirements across academics, finances, healthcare, human resources and athletics
Compliance best practices
Create and distribute policies, intake and manage incidents, and collect conflict of interest disclosures with ease
Proactive risk management
Build a resilient, adaptive compliance program with controls to ensure you manage your risk and break down silos
Understanding the complexities of risk and compliance in higher education
Higher education institutions have a unique responsibility to protect their students, faculty and the community at large, with compliance woven into every aspect of campus life. Let’s unpack the key challenges:
- Navigating a complex web of regulations – Ever-changing federal, state and international rules make it tough to know if you’re fully in compliance
- Protecting sensitive information – One data breach can ruin the trust your students and faculty have in your institution
- Fostering a culture of inclusion – Building a campus where everyone feels safe and respected is a cornerstone of your responsibilities
- Ensuring conflict of interest management – Unmanaged COIs can lead to legal and financial risks for institutions, especially those receiving federal grants/contracts, such as lawsuits, fines or loss of funding
- Maintaining audit integrity – Mishandling grants or incident reports can lead to hefty fines and even loss of funding
- Mitigating operational risks – From campus safety to emergency preparedness, protecting your students and staff takes constant vigilance
- Potentially losing accreditation – Compliance missteps could mean federal funding loss, damaged reputation, which can cripple student financial aid options or even shutter entire institutions
A closer look at the numbers in higher ed compliance
Streamline operations, protect your reputation and foster student success. Here’s a snapshot of the impact of compliance in higher ed:
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1
cyber threats are the #1 reported risk in US higher education
Cyber attacks became the main concern in 2023 for the first time, overtaking enrollment and recruiting.
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97%
of UK higher education institutions have identified attacks or breaches in 2023
This is far more than the other educational level institutions
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15%
increase of weekly attacks against colleges and universities from 2022 to 2023
This represents an average of 2,507 attempts, which is the highest amount monitored among industries.
Unpacking higher education compliance challenges
From safeguarding sensitive data to making sure courses are accessible, higher education institutions face a diverse range of compliance hurdles.
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Keeping pace with evolving compliance requirements
The dynamic landscape of federal, state and sometimes international regulations (like FERPA, Title IV and Title IX) creates ongoing challenges for your higher education institution.
- Prove compliance – Higher ed institutions need to demonstrate compliance with relevant regulations, meaning you need data at your fingertips
- Resource constraints – Keeping up with compliance program demands can overwhelm risk and compliance teams
- Assessing ESG requirements – Integrating emerging ESG standards adds another layer of complexity
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Data security in a high-value target environment spans many operational areas
Your institution collects valuable data, making it a prime target for cyberattacks. Robust security measures are crucial for safeguarding student records, research, and financial information.
- Heightened security – Protecting sensitive data and maintaining trust requires a strong cybersecurity posture that adapts to evolving threats
- Data breach risks – Even a single breach can disrupt classes, damage research projects and tarnish your institution’s reputation
- Data privacy complexities – Navigating the maze of privacy laws, including the GDPR and requirements to protect PII, requires continuous monitoring and system updates
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Creating an inclusive campus
Building a truly inclusive campus requires proactive measures to ensure accessibility, prevent discrimination and uphold legislative requirements.
- Accessibility – Designing inclusive, ADA-compliant learning environments means meticulous process and procedure management
- Complex investigations – Handling harassment and discrimination allegations under ADA and Title IX requires specialized reporting channels and sensitivity training
- Inclusive culture – Fostering a campus where everyone feels welcome and respected demands ongoing awareness and clear behavioral expectations
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Responsible financial stewardship
Your school must manage grants, student aid, and conflicts of interest ethically and responsibly to comply with funding regulations
- Adhering to diverse regulations – Staying current with funding regulations, privacy standards, and ensuring PCI compliance is complex but critical
- Navigating conflicts of interest – Implement and enforce COI policies and procedures and mitigate risks to support ethical decision-making
- Demanding audit scrutiny – Passing rigorous audits necessitates meticulous documentation that meet specific financial guidelines
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Safeguarding the campus community
Universities and colleges have a duty of care. Addressing a wide array of risks, from health and safety to emergency preparedness, is key.
- Prioritizing well-being – Protecting students and staff means having physical and mental health support services and safeguards against violence to align with regulations like the Cleary Act in the U.S.
- Developing emergency plans – Having clear procedures for handling natural disasters and other disruptions can save lives and protect your campus
- Mitigating liability – Failing to flag, monitor and manage risks or failing to provide safe reporting and incident follow up protocols jeopardizes the future of students, staff and the institution
Our top compliance resources on risk and compliance management in higher ed
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Compliance and Risk Management in Higher Education
NAVEX One Governance, Risk, and Compliance Information System (GRCIS) provides the holistic view of risk, automated processes, and insights needed to reach more people, create better learning and …Learn more
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Texas A&M University System Integrates Scattered Lines of Communication with NAVEX
By choosing NAVEX to create a centralized incident reporting system, Texas A&M studied data for trends in reporting. See which ethics solutions worked for them.Learn more
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Code for an Ethical University
An effective Code of Conduct establishes guidelines for professional conduct by those acting on behalf of a university.Learn more
Keep integrity at the heart of your higher ed institution
Encourage your students and faculty to speak up with safe reporting tools, and turn incident reports into guidance for safer campuses.
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Empower a safer learning environment
Empower a safer learning environment and foster continuous improvement with efficient whistleblowing and incident reporting.
- Meaningful reporting – Make incident reporting in higher education straightforward and aligned with best practices to transform incidents into valuable learning opportunities and improve campus safety
- Privacy assurance – Provide a secure and confidential platform for faculty, staff, and students to report incidents, fostering trust and encouraging open communication.
- Transparent outcomes – Clearly map the incident reporting process, from submission to resolution, demonstrating a commitment to continuous improvement in campus safety and well being
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Make compliance training engaging and effective
Enhance compliance training effectiveness and engagement to cultivate a safer, more inclusive campus environment.
- Engaging training – Forget dry lectures and endless checklists. Make compliance in higher education interactive and relevant, so faculty, staff, and students can spend less time searching for resources and more time fostering a safe and inclusive learning environment
- Regulatory focus – Emphasize crucial topics like harassment and cyber security, making them integral to daily operations for a compliant and ethical campus community
- Specific scenarios – Use customizations to make training relatable and directly applicable to day-to-day work, ensuring everyone understands their role in creating a safe space for learning
- Track progress – Use analytics to highlight learning successes and fine-tune your training approach, continuously improving the overall campus safety culture
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Streamline procedures to enhance the learning experience
Time spent searching for policies is time away from students. Give your campus community the information and tools they need right at their fingertips.
- Centralized access – Maintain all essential policies and procedures in one place, safeguarding against confusion and ensuring everyone is on the same page
- Easy search – The latest information is just a short search away, streamlining how faculty, staff, and students find and apply best practices
- Update notifications – Easily notify everyone of important policy changes, without worrying about missed communication
- Clear code – Promote a positive learning environment by having a readily available code of conduct that outlines expectations for respectful behavior and academic integrity
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Encourage open communication and transparency
Promote a culture of ethics and integrity in higher education.
- Clear guidance – Use detailed resources and workflows to demystify ethical considerations and reporting procedures
- Simplify disclosures – Streamline the reporting process for efficient and accurate management of potential conflicts of interest
- Proactive monitoring – Stay ahead with resources and risk assessments, customizable to your institution’s specific needs
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Meet compliance requirements with confidence
In higher education, non-compliance is often unintentional. Create a single source of truth for all compliance needs.
- Align to industry standards – Implement controls that meet leading higher education frameworks with pre-packaged resources and easy-to-use dashboards
- Compliance made easy – Track regulatory requirements, align them to associated compliance activities, and automate program and policy changes in a user-friendly platform
- Stay audit-ready – Simplify the process of packaging and formatting essential information for regulators, saving valuable time and resources
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Uncover and manage risk for a safer learning environment
Proactive risk management is crucial in higher education.
- Centralized risk register – Prioritize resources effectively by centralizing risks in a dynamic register
- Secure student data – Manage and identify gaps in student data handling, especially with the rise of new technologies and remote learning environments
- Scalability for growth – Centrally store information and automate risk scoring to manage risk efficiently as your institution evolves
Build a resilient compliance program for your higher ed institution
Your people work tirelessly to create a school that attracts talented students and faculty. Protect that reputation and simplify higher education compliance with NAVEX One.
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Ethics & Compliance Training
Educate and engage your people with online training that speaks in their language, to their experiences.
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EthicsPoint Essentials
Start up or scale a speak-up program in days, not months, with NAVEX One EthicsPoint Essentials.
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EthicsPoint Professional
Prove you value what your people have to say with NAVEX One EthicsPoint whistleblowing and incident management software.
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Policy & Procedure Management
Centrally manage your entire policy and procedure lifecycle.
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Disclosure Management
Make disclosures about potential conflicts simple to manage and monitor over time.
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Code of Conduct
Transform your ethical code into an accessible day-to-day reference.
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Third Party Screening & Monitoring
Easily identify third parties that share your vision and safeguard your most valuable partnerships with NAVEX One.
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Simplified Vendor Risk Management
Quick to launch, quick to deliver – NAVEX IRM out-of-the-box is your express route to mastering vendor risk management.
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Trusted by more than 80% of the Association of American Universities
And our commitment to supporting higher education doesn’t stop there. NAVEX partners with Husch Blackwell to provide a full range of legal services including comprehensive guidance for U.S. Department of Education and state regulatory requirements.
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NAVEX offered a reporting system that matched our structure and gave each institution a separate reporting page, as well as the ability to track specific risks at each individual institution.
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As an audit department we need to know what is happening at our institution. EthicsPoint helps us listen to the people who know most about what’s going on: Our Employees.
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NAVEX IRM enables the university to gain a comprehensive view of their business and operations from a risk perspective – connecting individual risk disciplines and managing them in one centralized program.
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Your top higher education compliance questions, answered.
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What is compliance in education?
This means following the laws and regulations that apply to schools, colleges and universities. It includes protecting student data, ensuring accessibility and preventing discrimination.
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Why is compliance important in higher education?
Non-compliance can lead to fines, loss of funding, damage to your reputation and even lawsuits. It can also lead to or cause operational disruption, data loss or personal data breaches that might have severe consequences on the performance and safety of students in your care.
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What is university compliance?
It’s the process of ensuring a university follows all relevant rules and regulations. This includes federal, state and relevant international laws.
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Who regulates higher education in the US?
Regulating higher education is complex and involves multiple agencies in the U.S.:
- United States Department of Education (USDE): The federal agency that sets policies for student aid, data privacy (FERPA) and civil rights. It also recognizes accrediting bodies to ensure they meet federal quality standards.
- Council for Higher Education Accreditation ( CHEA): A non-governmental organization that evaluates and recognizes accrediting bodies of higher ed institutions. U.S.-based higher education institutions operate with a high degree of autonomy and accreditation is a voluntary process – however, being accredited plays a crucial role in ensuring quality standardization, allowing eligible students attending accredited schools to access federal aid when the accreditor is recognized by the USDE.
- State-level agencies: Each state has agencies that oversee licensing, approve programs and protect consumers within their borders.
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Who regulates higher education in the EU?
The European Union sets directives that impact all EU member states and the European Economic Area (EEA), most notably the General Data Protection Regulation (GDPR), which has significant implications for how universities collect and handle personal data.
The Council of Europe, a pan-European organization, also plays a key role in promoting shared values and educational standards across the EU. Key initiatives include:
- Steering Committee for Education (CDEDU): Coordinates education policy and programs and promotes cooperation among member states.
- European Higher Education Area (EHEA): Facilitates cross-border recognition of qualifications and student mobility. There are 49 countries in the EHEA as of April 2024, plus the European Commission.
- Reference Framework of Competencies for Democratic Culture: Provides tools for assessing and promoting democratic values within education systems, from pre-school into higher and further education.
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What are the five key areas of compliance?
While frameworks vary, key areas typically include:
- Data privacy: Protecting student, staff and research data according to laws like FISMA and FERPA (U.S.) and GDPR (EU).
- Financial integrity: Responsible management of grants, student aid and budgets, including compliance with funding regulations.
- Accessibility: Ensuring equal access for students with disabilities under laws like the ADA (U.S.).
- Anti-discrimination: Preventing discrimination based on protected characteristics (race, gender, etc.) and upholding Title IX (U.S.).
- Operational safety: Addressing health and safety risks, emergency preparedness and safeguarding the campus community.
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What is risk management in universities?
This is the process of identifying, assessing and addressing potential risks to your institution and higher ed compliance. This includes everything from cybersecurity threats to campus safety issues, as well as understanding which of these risks are the most likely and the most dangerous.
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Why is risk management important in higher education?
Proactive risk management helps protect students, staff, and the reputation of your institution. It can also prevent costly disruptions and legal liabilities – which all take your budget and resources away from providing a safe, supportive and effective education to your students!
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What is ERM in higher education?
ERM stands for Enterprise Risk Management. It’s a comprehensive approach to managing risks across the entire institution, from financial to operational to strategic. ERM helps identify how different risks are interconnected and how they might affect your ability to achieve your goals as an institution.
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What is the difference between risk management and ERM?
Risk management focuses on specific risks, while ERM takes a broader view of how different risks interact and impact the institution’s overall goals to quantify and make decisions on what activities they commit to or avoid. ERM also aims to create a risk-aware culture as part of a larger framework, integrating risk considerations into strategic decision-making.
Proactively protect your institution's future with higher ed compliance software
Protect your reputation and simplify higher education compliance with NAVEX One. Your institution is the result of tireless work – let’s safeguard it together.