The Office of Enrollment Compliance & Design has established a compliance management framework following the principles and guidance outlined in the following documents and frameworks:

• The US Department of Justice Principles of Federal Prosecution of Business Organizations Justice Manual and the Evaluation of Corporate Compliance Programs
• The Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Integrated Framework and Enterprise Risk Management Integrated Framework

The Compliance Fundamentals utilized in managing enrollment compliance are:

• Independent and autonomous oversight and accountability
• Policy and Procedure development and review
• Education and Development of Compliance Management Tools
• Assessment and Assurance activities
• Investigations and Corrective Action Cycles
• Communication and Reporting