Seven Elements of an Effective Compliance Program

The Guidelines

Guidance and directions for establishing and maintaining an effective ethics and compliance program are outlined in  The Guidelines set two foundational requirements, along with seven elements.

  1. An organization 鈥渟hall exercise due diligence to prevent and detect criminal conduct;鈥� and
  2. An organization 鈥渟hall otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.鈥�

 

 

The Seven Elements

1. Implementing written policies & procedures

All policies can be found in the Policy Library. 
2. Governance & oversight

Designated Compliance Officer; Brittney Alls, JD

ACERM Steering Committee

Compliance Advisory Committee (in development)
3. Effective training & education

 
4. Effective lines of communication

Various methods to report via the Hotline
5. Internal auditing & monitoring

 
6. Enforcement & disciplinary guidelines

 
7. Prompt response