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What’s the ‘Bare Minimum’ Needed for Compliance? Part II

What is the “bare minimum” an organization needs to have an effective compliance program?  Today we have part II of our discussion of what minimum requirements for an effective compliance and ethics program might be.

Eric talks a little about the focus on organizational guidelines versus the Sentencing Guidelines as a whole. Eric also talks about the importance of reading the guidelines yourself and looking at the nuance of the standards themselves.

We pickup where we left off, discussing the last three hallmarks of the “Seven Hallmarks”.

Eric talks about monitoring and auditing, and how this broad category has no application notes from the Sentencing Commission to help guide the reader.  We also discuss the “evaluating effectiveness” periodically and how this oft overlooked second part of hallmark five should be carefully considered. Finally Eric talks a little about anonymous reporting as contemplated by the guideline.

We also discuss hallmark six which discusses incentives and discipline. Eric spends some time talking about consistent enforcement and promotion — and how considering publicizing results and issues can help promote the program and aid in improving organizational justice. Eric also talks about implementation of incentives and what incentives might look like.

We talk about final hallmark lucky seven. When criminal conduct is detected, organizations must respond appropriately including making modifications to the compliance and ethics program.  Eric talks about how this may include getting outside help.

Finally, Eric talks a little about 8B2.1(C) of the Guidelines, which talks specifically about the importance of periodically accessing compliance risk.





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