Essential Components of Compliance Program
| Essential components of compliance program | Compliance Areas | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| EH&S | Hospitals (incl Medicare) | Research | Research Admin | Scientific Misconduct | Human/Animal Subjects | HR/EEOC (incl sexual harass-ment) | ADA | NCAA | Fire and Bldg Safety | |
| Written institutional code of ethics and conduct | ||||||||||
| Explicitly stated compliance policies and standards | ||||||||||
| Training for all employees on code of ethics and compliance policies and standards | ||||||||||
| Training for affected employees on laws and regulations related to their jobs | ||||||||||
| Designation of a responsible institutional officer w/ appropriate powers and expertise | ||||||||||
| Adoption/provision of adequate procedures, resources, and systems to permit compliance | ||||||||||
| Maintenance of a process to allow anonymous reporting of alleged noncompliance | ||||||||||
| Protection for employees who lodge reports | ||||||||||
| Regular monitoring and auditing to test compliance | ||||||||||
| Mechanisms to enforce rules and discipline rule violators | ||||||||||
| Management commitment to take corrective actions and follow up to ensure effectiveness of corrective actions | ||||||||||
| System to communicate corrective actions and follow up undertaken | ||||||||||
| Adequate Board-level oversight of compliance function | ||||||||||
| Mechanism to communicate the impact of rules to the creators and enforcers of the rules | ||||||||||
| Essential components of compliance program | Additional Compliance Areas | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| IRS and CA Tax | Donor Gift Restrictions | Faculty & Staff Conflict of Interest | Immigration | Technology Licensing | Securities Exchange | Student Financial Aid | Privacy | Land Use | Procurement | |
| Written institutional code of ethics and conduct | ||||||||||
| Explicitly stated compliance policies and standards | ||||||||||
| Training for all employees on code of ethics and compliance policies and standards | ||||||||||
| Training for affected employees on laws and regulations related to their jobs | ||||||||||
| Designation of a responsible institutional officer w/ appropriate powers and expertise | ||||||||||
| Adoption/provision of adequate procedures, resources, and systems to permit compliance | ||||||||||
| Maintenance of a process to allow anonymous reporting of alleged noncompliance | ||||||||||
| Protection for employees who lodge reports | ||||||||||
| Regular monitoring and auditing to test compliance | ||||||||||
| Mechanisms to enforce rules and discipline rule violators | ||||||||||
| Management commitment to take corrective actions and follow up to ensure effectiveness of corrective actions | ||||||||||
| System to communicate corrective actions and follow up undertaken | ||||||||||
| Adequate Board-level oversight of compliance function | ||||||||||
| Mechanism to communicate the impact of rules to the creators and enforcers of the rules | ||||||||||
Last modified Tuesday, 31-Jul-2007 12:02:19 PM