The Sentencing Reform Act created the U. Sentencing Commission and promulgated the federal sentencing guidelines; the latter, especially chapter eight, is especially important to compliance and ethics professionals.
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Although a one-size-fits-all compliance and ethics program does not exist, the Federal Sentencing Guidelines FSG , Chapter Eight, [2] outlines seven basic compliance elements that can be tailored to assist organizations in developing an effective compliance and ethics program. It is critical that there is demonstrated commitment to these seven basic elements:. Every organization strives for this effective program in the hopes of gaining some level of protection for having an effective compliance and ethics program.
In addition, the elements have been massaged by the compliance and ethics industry as they have been implemented in actual compliance and ethics program models. The industry has now defined the following as the components of an effective compliance and ethics program not all inclusive :. While the cost and the time involved may seem daunting, the cost of not having an effective compliance and ethics program could be much higher.
Compliance is not cheap! Compliance programs help prevent companies from committing crimes in the first place. Even if they fail to do so, partially successful compliance programs may help companies qualify for leniency. It is always important to note that each organization needs to tailor its compliance and ethics program to its specific mission and ethical values.
Your organization may have stricter guidance that includes additional elements. This manual does not include every compliance and ethics element utilized by every organization globally. But it tries to address the standard used by most organizations—the elements listed above.
Many new compliance and ethics officers come into programs that have none of these elements. Some come into their new office with some or broken pieces of these elements. Keep in mind that effective compliance programs do not happen overnight. An organization should have an established set of compliance standards and procedures.
The code is meant for all employees and all representatives of the organization, not just those most actively involved in known compliance and ethics issues. This includes the board, management, staff, vendors, suppliers, and independent contractors, which are frequently overlooked groups. From the board of directors to volunteers, everyone must receive, read, understand, and agree to abide by the standards of the code of conduct.
The code should be written in a simple and concise manner that is reader friendly. It is not recommended that an organization include policies and procedures in its code. Scenarios are great to explain how to handle a situation. An eighth-grade reading level is recommended. Simple and concise does not mean generic, however.
Also, institutions with a diverse constituency should consider providing the code of conduct in a foreign language, or even braille as appropriate.
Policies and procedures should not be included in the code, but a link to those that are relevant should be considered for inclusion. The code of conduct provides a process for proper decision-making—for doing the right thing. It elevates corporate performance in basic business relationships and confirms that the organization upholds and supports proper compliance conduct. Managers should be encouraged to refer to the code of conduct whenever possible, even incorporating elements or standards into performance reviews, and compliance with the standards must be enforced through appropriate discipline when necessary.
Includes expectations for employee actions with internal affairs and other employees, as well as with external affairs and contractors and clients. Beneficence The principle of beneficence is a moral obligation to act for the benefit of others. There are 2 aspects of beneficence: 1.
Nonmaleficence The principle of nonmaleficence holds that there is an obligation not to inflict harm on others. The principle of nonmaleficence supports the following rules: 1.
Justice The principle of justice obliges us to equitably distribute benefits, risks, costs, and resources. The following arguments rules are supported by the principle of justice: 1. Professional code of ethics In addition to the 4 basic ethical principles, most professional societies or organizations have established ethical guidelines for their members with respect to human dignity, confidentiality, privacy, and patient rights. Support Center Support Center.
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