Compliance Forms & Documents

Items for Compliance Partners:

• TWU Compliance Implementation Guide (PDF)
• Chapter 8B2.1 Effective Compliance Programs (i.e. “The Law.”) (PDF)
• Compliance Partner Roles and Responsibilities (PDF)
• The TWU Compliance Process Handout (PDF)
• Implementing Compliance at TWU Handout (PDF)
• TWU Recommended Investigation Process (PDF)
• The Society of Corporate Compliance and Ethics Code of Conduct (PDF)
• Compliance Action Plan Template (Word)
• Basic Compliance Audit Program (gives you an idea of what an auditor might ask for) (Word)

July 2016 Compliance Conference Resources

• Compliance Planning PowerPoint Notes (PDF)
• Higher Education Compliance Areas at TWU (PDF)
• Title IX at TWU (PDF)
• Texas Campus Carry - Journey to Compliance (PDF)
• Compliance vs. General Counsel (PDF)

July 2017 Compliance Conference Resources

• Procurement Compliance at TWU (PDF)
• Civility at TWU and Maxient (PDF)
• Records Retention Compliance (PDF)
• The Three Lines of Defense and Compliance Self-Audits (PDF)
• TWU Basic Self-Audit Worksheet (Word)

External Conference Resources

• SCCE Higher Ed Presentation, Baltimore, June 2016 (PDF)
• ACUA Presentation, Miami, September 2016 (PDF)
• ACUA Presentation, Phoenix, September 2017 (PDF)
• Miami Ohio University ADA-IT Decree - Draft Action Plan (Word)