Institute Compliance Program

The California Institute of Technology is dedicated to high standards of compliance and ethical behavior. The importance of compliance and ethical values are reinforced in the Annual President's Message to the Institute.

Caltech's Institute Compliance Program (ICP) is tailored after the United States Federal Sentencing Guidelines (FSG), Chapter Eight §8B2.1 "Effective Compliance and Ethics Program" that describes the elements for an effective compliance and ethics program. These guidelines are the "gold standard" by which organizations are measured to demonstrate that compliance is an integral part of their culture. The objective of the ICP is to ensure the Institute maintains a framework that reinforces the importance of high ethical standards at all levels, good stewardship of all Institute funds, and adhering to applicable rules, regulations, laws, policies, and procedures.

The ICP is a reflection of an organizational culture shaped by senior leadership and is expressed in terms of shared values and guiding principles. In turn, these values and principles are reinforced by systems and procedures implemented throughout the Institute. Together, these values, guiding principles, systems and procedures form the Institute's overall compliance program.