APPENDIX 11. United States sentencing guidelines: effective compliance and ethics programs

AuthorRobert W. Tarun
Pages617-622
APPENDIX 11
United States Sentencing
Guidelines: Effective
Compliance and Ethics
Programs
CHAPTER 8–PART B—REMEDYING HARM FROM CRIMINAL
CONDUCT, AND EFFECTIVE COMPLIANCE AND ETHICS
PROGRAM
§ 8b2.1 Effective Compliance and Ethics Program
(a) To have an effective compliance and ethics program, for purposes of subsection
(f) of § 8C2.5 (Culpability Score) and subsection (c)(1) of §8D1.4 (Recommended
Conditions of Probation—Organizations), an organization shall—
(1) exercise due diligence to prevent and detect criminal conduct; and
(2) otherwise promote an organizational culture that encourages ethical con-
duct and a commitment to compliance with the law.
Such compliance and ethics program shall be reasonably designed, implemented
and enforced so that the program is generally effective in preventing and detect-
ing criminal conduct. The failure to prevent or detect the instant offense does
not necessarily mean that the program is not generally effective in preventing
and detecting criminal conduct.
(b) Due diligence and the promotion of an organizational culture that encourages
ethical conduct and a commitment to compliance with the law within the meaning
of subsection (a) minimally require the following:
(1) The organization shall establish standards and procedures to prevent and
detect criminal conduct.
(2)(A) The organization’s governing authority shall be knowledgeable
about the content and operation of the compliance and ethics program
and shall exercise reasonable oversight with respect to the implementation
and effectiveness of the compliance and ethics program.
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