Additional Compliance Resources

The following are additional compliance resources and publications:

Higher Education Compliance Alliance (HECA) provides the higher education community with a centralized repository of information and resources for compliance with federal laws and regulations, including their HECA News and Updates

Society for Corporate Compliance and Ethics (SCCE) is a member-based organization that supports compliance and ethics across different industries, including higher education. The SCCE offers many compliance-focused trainings, conferences, and publications.

Institute of Internal Auditors Three Lines Model looks at the Three Lines of Defense and provides a framework to explain how key organizational roles work together to facilitate strong governance and risk management.

US Department of Justice (DOJ) Evaluation of Effective Compliance Programs (March 2023) is the Federal framework to evaluate the adequacy and effectiveness of compliance programs.

Federal Sentencing Guidelines §8B2.1 Effective Compliance and Ethics Program (2021) establish the seven elements of an effective compliance and ethics program used to determine sentencing of organizations. The manual is established by the United States Sentencing Commission.

Committee of Sponsoring Organizations of the Treadway Commission (COSO) is a joint initiative of five private sector organizations dedicated to providing thought leadership through the development of frameworks and guidance on enterprise risk management, internal control and fraud deterrence.