Effective Compliance Assessment
Essential Elements of an Effective Compliance and Ethics Program and our Compliance Assessment Process
The Institute Compliance Program is aligned with the elements of an Effective Compliance and Ethic Program, as detailed in the US Federal Sentencing Guidelines. As illustrated below, boxes are drawn around several of the key elements that distinguish an effective compliance program to highlight the fact that when we perform compliance assessments, information aligned with these elements is incorporated into the way we conduct an assessment.
More details on Caltech's Compliance Assessments can be found HERE.
