Risk, Compliance and Policy Services (RCPS) provides a range of institutional services. It operates the University’s risk management, compliance, public records, policy and rules (WAC) development activities, and acts as a consultant and service-provider to executive, division, college, and unit leadership who have substantive responsibility for managing risk and compliance. Along with Internal Audit, RCPS supports the Finance, Audit and Enterprise Risk Management (ERM) Committee of Western’s Board of Trustees in fulfilling its fiduciary responsibilities for the University.
Traditional Risk Management is responsible for:
- Partnering with individual areas to formulate, implement, administer, and evaluate risk management strategies to efficiently and cost-effectively manage risk within those areas
- Managing the University’s insurance and self-insurance programs
- Conducting contractual risk analysis
- Initiating and developing related University policies
- Seeking restitution from culpable third-parties
- Managing property and liability insurance claims
Enterprise Risk Management (ERM) Services is a collaborative effort of University leadership, which is facilitated by RCPS with support from Internal Audit with responsibility to lead and assist in the process. ERM is a structured, institution-wide approach to identifying, assessing, monitoring and responding to enterprise risks within the University’s risk tolerance, to provide reasonable assurance of success in fulfilling the University’s mission and strategic plan. ERM is integrated into the University’s existing governance, decision-making and planning and budgeting processes.
Compliance Services provides a centralized institutional resource that supports the University’s compliance owners with their individual compliance responsibilities. Its goal is to reduce the complexity of compliance by identifying automated methods and streamlined processes for more efficient department operations as well as training, monitoring, and reporting on compliance.
Internal Control Services is responsible for maintaining an effective internal control program designed to meet the Washington State’s internal control standards and objectives:
- Safeguard University assets.
- Check the accuracy and reliability of its accounting data,
- Promote operational efficiency, and
- Encourage adherence to policies for accounting and financial controls.
University Policy Services is responsible for facilitating the University’s policy development/review process, and assisting divisions in the development of University-wide policies, including a full review by the President’s Cabinet, Technical Review Committee, and a 30-day review by the campus community. It ensures that University policies are indexed, published on the University policy website, and communicated to the University community to maintain the integrity of the policy system.
University Rules (WACs) Services is responsible for facilitating and recording the steps of the University’s rule making process, including a full review by the President’s Cabinet and Technical Review Committee, filing appropriate documents with the Washington State Office of the Code Reviser, and providing notice and conducting public hearings to solicit community comments. Ensures that University rules under development are published on the University rules website, and communicated to the University community to maintain the integrity of the rule making process.
Public Records Disclosure Services is a compliance function and is responsible for providing the legal access to public records relating to the conduct of the University. In carrying out its responsibilities, public records will be provided in accordance with the provisions of the State’s Public Records Act, related case laws, and the efficient administration of government.
Director of Risk, Compliance and Policy Services
Compliance Manager, HIPAA Privacy Officer, Internal Controls Coordinator
Public Records Officer, University Policy Manager
Confidential Administrative Assistant, Rules (WAC) Coordinator, Office Manager
RCPS reports to the Associate Vice President for Business and Financial Affairs (BFA)/Internal Controls Officer