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Program appropriate responses in place to respond to and prevent future occurrences

1/4/2013

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Does the program have appropriate responses in place to respond and prevent future occurrences and modifies existing standards and procedures accordingly?

There are many components common to all seven of the guidelines for a quality ethics and compliance program.  

 
Ways to reasonably reduce the prospect of future occurrences of non compliant behavior:

A Code of Conduct

Corporate policies and procedures

Assignment of a competent and respected ethics and compliance officer

Company hotline

Audits

Investigations

Education and training.

Specific tools and processes to assist in the basics include:

Ethics Training, Targeted Compliance training

Newsletters and other communications tools

Ethics and Compliance Website

Screening procedures prior to and during employment

Misconduct database management

Do these look familiar?  They should as they permeate all of other six guidelines for an effective ethics and compliance program.  Additionally as in any other enterprise activity, continuous improvement through proactive preventative and corrective action processes are essential in each of the areas noted above.

Now that we have worked our way through the basics, future postings will focus on specifics and examples to assist and illustrate how to use these programmatic to improve your organization’s ethics and compliance performance.  More importantly, we will do this to make these processes assist your business to not only run more efficiently but more profitably, short and long term and increase enterprise value.

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    MGen. Kevin Kuklok (USMCR, Ret.) knows that compliance is an investment that can pay dividends  for your organization and your bottom line, and he can help you efficiently manage this growing issue area.

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