To have an effective compliance program, an organization must establish and maintain an organizational culture that “encourages ethical conduct and a commitment to compliance with the law.” - U.S. Federal Sentencing Guidelines
Compliance Program Goals
There are three overarching goals that the compliance program strives to accomplish. These goals will be achieved through a series of objectives and strategies.
Elements of an Effective Compliance Program
The U.S. Federal Sentencing Guidelines (§8B2.1. Effective Compliance and Ethics Program) identify the Seven Elements listed below as essential to an effective compliance and ethics program. Therefore, these elements will serve as a baseline to establishing and maintaining the University Compliance Program at 鶹ý.
The organization shall establish standards and procedures to prevent and detect criminal conduct.
A. The organization’s governing authority shall be knowledgeable about the content and operation of the compliance and ethics program and shall exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.
B. High-level personnel of the organization shall ensure that the organization has an effective compliance and ethics program. Specific individual(s) within high level personnel shall be assigned overall responsibility for the compliance and ethics program.
C. Specific individual(s) within the organization shall be delegated day-to-day operational responsibility for the compliance and ethics program. Individual(s) with operational responsibility shall report periodically to high-level personnel and, as appropriate, to the governing authority, or an appropriate subgroup of the governing authority, on the effectiveness of the compliance and ethics program. To carry out such operational responsibility, such individual(s) shall be given adequate resources, appropriate authority, and direct access to the governing authority or an appropriate subgroup of the governing authority.
D. The organization shall use reasonable efforts not to include within the substantial authority personnel of the organization any individual whom the organization knew or should have known through the exercise of due diligence, has engaged in illegal activities or other conduct inconsistent with an effective compliance and ethics program.
The organization shall take reasonable steps to communicate periodically and in a practical manner its standards and procedures, and other aspects of the compliance and ethics program by conducting effective training programs and otherwise disseminating information appropriate to such individuals’ respective roles and responsibilities.
The organization shall take reasonable steps —
A. to ensure that the organization’s compliance and ethics program is followed, including monitoring and auditing to detect criminal conduct;
B. to evaluate periodically the effectiveness of the organization’s compliance and ethics program; and
C. periodically assess the risk of criminal conduct and shall take appropriate steps to design, implement, or modify each requirement to reduce the risk of criminal conduct identified through this process.
The organization shall take reasonable steps to have and publicize a system, which may include mechanisms that allow for anonymity or confidentiality, whereby the organization’s employees and agents may report or seek guidance regarding potential or actual criminal conduct without fear of retaliation.
The organization’s compliance and ethics program shall be promoted and enforced consistently throughout the organization through —
A. appropriate incentives to perform in accordance with the compliance and ethics program; and
B. appropriate disciplinary measures for engaging in criminal conduct and for failing to take reasonable steps to prevent or detect criminal conduct.
After criminal conduct has been detected, the organization shall take reasonable steps to DzԻappropriately to the criminal conduct and to prevent further similar criminal conduct, including making any necessary modifications to the organization’s compliance and ethics program.