- Augusta University
- Ethics & Compliance
- Seven Elements of an Effective Compliance Program
Ethics & Compliance
- About Us
- Focus Areas
- Report a Concern
- Training
- Resources
The Guidelines
Guidance and directions for establishing and maintaining an effective ethics and compliance program are outlined in Chapter 8 of the Federal Sentencing Guidelines. The Guidelines set two foundational requirements, along with seven elements.
- An organization “shall exercise due diligence to prevent and detect criminal conduct;” and
- An organization “shall otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.”
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 |
