Goals, Elements, Structures, Strategies

The goal of college or university administrators should be to create a culture of compliance, centered on a strong compliance program that addresses and coordinates all requirements with which the institution must comply, pursuant to law, regulation, or institutional policy. The Federal Sentencing Guidelines offer incentives to organizations to reduce and ultimately eliminate criminal conduct by providing a structural foundation from which an organization may self-police its own conduct through an effective compliance and ethics program. The existence of an effective compliance and ethics program is one of the factors that mitigates the ultimate punishment of an organization under the Guidelines. Successful models often include clearly developed institutional policies and codes of conduct; effective communication and training procedures; a formal compliance office; a program to monitor compliance; and sanctions or remedial measures for noncompliance. The precise structures and strategies will vary campus-by-campus, but the resources below can be helpful in this process.

Lock = Available only to members of the contributing organization.

Publications

Developing a Compliance Program that Works for Your School Lock
NACUA

Enterprise Risk and Compliance Management: A Real World Approach
URMIA

Building a proactive compliance program in higher education
URMIA

URMIA survey shows practices for tracking training compliance
URMIA

Building an Effective Compliance Program: An Introductory Guide
NACUA, November 2015

Recalibrating Regulation of Colleges and Universities: Report of the Task Force on Federal Regulation of Higher Education
Task Force on Federal Regulation of Higher Education

Academic Compliance Programs: A federal Model with Separation of Powers Lock
NACUA, Nathan A. Adams

Good Risk Management is Good Governance
Association of Governing Boards

A Wake-up Call: Enterprise Risk Management at Colleges and Universities Today
Association of Governing Boards

Losing Ground  Risk Assessment
Association of Governing Boards

Welcome to Compliance U: The Board's Role in the Regulatory Era
Association of Governing Boards

Higher Education Compliance: An Enterprise Approach, 45th Annual Conference
University Risk Management and Insurance Association

Higher Education Compliance: An Enterprise Approach Lock
URMIA

Office for Civil Rights (OCR) Case Processing Manual
U.S. Department of Education

2011 Federal Sentencing Guidelines Manual (Chapter 8)
November 1 2012, U.S. Sentencing Commission

Report of the Ad Hoc Advisory Group on the Organizational Sentencing Guidelines
October 7 2003, U.S. Sentencing Commission Ad Hoc Advisory Group

U.S. Sentencing Commission Website for Sentencing Guidelines Manual

Risk Management: How to Make it Part of Your Strategy
Lynn A. Zentner, NACUA, November 7 2013, Shulamith Klein

The Case for Compliance Programs: The Legal and Policy Mandates
Bart Schwartz, Christopher Myers, John Hansen, NACUA, November 1 2011

Compliance 101: A Guide to Building Effective Compliance Programs
Christopher Myers, Lori Brown, NACUA, Nikita Williams, November 1 2011

How's Your Compliance Communication Service?
Anna Drummond, NACUA, November 1 2011, Robert Roach

Risk Management in Higher Education: A Guide to Building Effective Compliance and Risk Management Programs and Counsel's Role
2010, Christy Kaufman, NACUA, Robert Roach, Sunita DeSouza

ACUA's Institutional Compliance Survey, Part I: How is Higher Ed Doing?
ACUA, Ann Hough, Jul 2 2012

ACUA's Institutional Compliance Survey, Part II: Federal Sentencing Guidelines
ACUA, Ann Hough, Jul 2 2012

College and University Compliance Programs: Overview Goals, Elements, Structures and Strategies
2009, NACUA, Patrick H. Dunkley, Stanford University

College and University Compliance Programs: Obligations, Organization and Implementation
2009, Craig Parker, NACUA

Compliance and Ethics Program Structure, University of Texas at Austin
2009, NACUA

Creating Effective Compliance Programs at Larger Institutions: Models and Procedures
2009, NACUA, Robert Roach

Creating Effective Compliance Programs at Smaller Institutions: Models and Procedures
2009, NACUA
Outline and PowerPoint presentation by Lucien Capone, University of North Carolina at Greensboro
Outline and PowerPoint presentation by Jennifer Kirkland, Washington and Lee University
Outline and PowerPoint presentation by Georgia Yuan, Smith College

Compliance: A Practical Protocol for the Entire Campus (and Beyond...)
2008, NACUA, Thomas A. Butcher, William R. Kauffman

The Evolution of Enterprise Risk Management: A Case Study
ACUA, May 7 2012, Seth Kometsky

Developing and Implementing a Compliance Calendar and Other Tools
2009, Justin H. Smith, Leanne M. Shank, NACUA