Compliance Programs

The Compliance Team is dedicated to advancing De La Salle University’s mission and strategic priorities. Through proactive collaboration with stakeholders, it fosters a culture of stewardship, accountability, and integrity. Its programs support the University’s commitment to the highest standards of institutional excellence and ensure adherence to applicable mandates, policies, and issuances of relevant regulatory bodies and government agencies.The program helps the University stay organized, prepared, and resilient, ensuring that risk awareness is integrated into everyday decision-making.

Operational Excellence: A shared Responsibility

Compliance in day-to-day operations is a shared responsibility among all members of the community, including administrators, faculty, staff, students, external service personnel, alumni, and parents.

“Compliance is not a choice. It is a responsibility.”

Our Framework for Success

To ensure long-term sustainability and ethical growth, our strategy is guided by the International Standard for Compliance Management Systems (CMS). This framework enables us to pursue excellence, uphold ethical standards, and effectively manage risks.

To maintain a robust compliance posture, our Compliance team focuses on the following programs:

1. Compliance Obligations Review – As a business entity operating in the Philippines, DLSU has the responsibility to observe and follow the memoranda, policies, and other issuance of government agencies and regulators.

• Compliance Check: To ensure that DLSU observes and follows the memoranda, policies and other issuance of government agencies and regulators. 
• Compliance Register: To build an accurate University Compliance Register to keep track of obligations required of DLSU.
• Compliance Validation: To verify proof of compliance and evaluate documented compliance process workflows to ensure accuracy and completeness.
  

These efforts aim to provide a clear overview of the University’s compliance status.

2. Compliance Review – Routinary reviews designed to keep the University agile in a changing regulatory landscape.

• Routine Monitoring: Conducting scheduled reviews of new policies issued by national and local agencies.
• Risk Assessment: Identifying potential compliance gaps and emerging risks before they impact the University’s operations.

3. Process Review – Reviews on internal operations to ensure efficiency and accountability.

• Control Assessment: Reviewing submitted departmental processes to ensure proper checks and balances are in place. Continuous Improvement: Identifying areas for optimization to streamline workflows while maintaining strict compliance.

Monitoring & Compliance Tracking

We ensure that improvements are successfully integrated.

• Recommendations Monitoring: Periodic tracking of RMCA-issued recommendations, with a follow-up frequency based on the specific risk category.
• Implementation Testing: Verification of “implemented” changes to ensure they are functioning as intended and achieving desired outcomes.
• External Reports Monitoring: Tracking and evaluating recommendations from external bodies (e.g., PAASCU, AUN, External Auditors) to ensure timely resolution.

Specialized Investigations

• Investigation: Conducted upon feedback received through the RMCA Office or as directed by the University President or Councils