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  1. Surveys
  2. 2014
  3. June
  4. O
  5. Old Compliance Survey
0%
Exit Survey
 
 
For the compliance progam in this area, please provide the status of the following components, which are deemed in the Federal Sentencing Guidelines to be minimum requirements:
 
 
 
1. We have established compliance standards and procedures to prevent and detect criminal activity.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
2. We have established oversight by high-level personnel, with periodic reporting from individuals with operational responsibility.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
3. We have established due care in delegating substantial discretionary authority.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
4. We have established effective communication to all levels of employees.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
5. We have established systems for monitoring, auditing and reporting suspected wrong-doing without fear of reprisal and for periodically evaluating the effectiveness of the compliance and ethics programs.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
6. We have established consistent enforcement of compliance standards including disciplinary mechanisms and appropriate incentives to perform in accordance with the compliance and ethics program.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
7. We have established reasonable steps to respond to and prevent further similar offenses upon detection of a violation.
 
No
 
Yes
 
N/A
 
In Progress (enter expected date of completion)
 
 
 
 
If you answered N/A to any of the above, please explain