data or information for the system or the SBHE. The last column includes those opportunities that fall under the enterprise-wide controls to be addressed in the long term because several of them will take years to develop and implement. The NDUS internal auditor will offer guidance and assistance where possible, but the majority of the system-level opportunities will be completed at the institution level.
A. ComplianceB. Funding/AllocationC. System level
• Opportunity for development,
implementation and/or training on policies and procedures.
• Opportunity's with
faculty/staff recruitment and retention.
• Opportunity with Distant Ed
expansion and program funding.
• Opportunity's around building
and physical security on campuses.
• Opportunity to develop more
consistent and efficient business processes.
• Opportunity to develop and
implement business continuity/disaster recovery plans.
• Opportunity to enhance I/T
network and security
A.1 Functional areaB.1 Functional AreaC.1 Functional Area
Policy and Procedure opportunities in several areas.
• Emergency Preparedness• Grants Administration• Governance• Student Affairs• Student Financial Processing• Financial Close
Opportunity for the board/ NDUS and/or legislators to review or build into funding model.
• Campus Security• Athletics• Human Resources• Faculty & Staff • Grants Administration
Opportunity for the system to work together and leverage resources to complete large initiatives.
• Faculty & Staff • Governance• Human Resources• Student Affairs• Financial Close• I/T
A.2 AuditableB.2 Un-auditableC.2 Assistance, Guidance & ReviewEnrollment Review (2012):
To ensure compliance with all SBHE policies regarding enrollment specifically seminar, Distant Ed/Extended campus, and Dual credit students.
Time and Expense Compliance (2012):
To ensure compliance with all SBHE policies regarding time tracking and reporting.
PCI Compliance (2013)Vendor selection and Purchasing (2013)
• Gather Data and information to
help support actions/decisions
• Opportunity for NDUS to develop
consistent, efficient processes to enhance academic and administrative functions allowing greater student experience
•Opportunity for campuses to
develop Business Continuity and Disaster recovery plans to ensure campuses remain in operation.
• Opportunity to develop succession
plans or cross-training plans to ensure smooth transition.
Larson Allen Risk Assessment Summary