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Compliance

Compliance

Every single organization, large or small, public or private, incorporated or not, for profit, not-for-profit or nonprofit, year-round or seasonal, full time or part-time, staffed by employees, contractors or volunteers must have an effective compliance and ethics program. There are no exceptions.

The associated Federal Sentencing Guidelines expand on what is meant by an effective compliance program :

The organization must exercise due diligence including operating and publicizing a notification system to prevent and detect criminal conduct.

Consequences of Noncompliance

Criminal

In addition to direct and indirect costs, including damage to reputations and debilitating distractions, organization leaders and organizations, despite best efforts to prevent wrongdoing, can still be held criminally liable for illegal actions and face substantial fines even if directly contrary to policy and instructions.

Consequently, when the Federal Sentencing Commission promulgated the organizational guidelines, it attempted to alleviate the harshest aspects of this institutional vulnerability by incorporating into the sentencing structure the preventive and deterrent aspects of systematic compliance programs.

Although research indicates that Optimum Connect™ is the solution most likely to prevent and the first to detect criminal activity, any effective ethics and compliance policy will decrease organization leader and organizations fines by as much as 95%.

Civil Actions

Any civil action is likely to be built on not complying with federal law. Organization leaders and organizations may be held liable for the wrongdoing of their agents and employees and punitive damages are awarded when conduct is wanton, malicious, willful, or oppressive.

Civil, and criminal, actions are associated with what a reasonable person in the same position would be expected to do. Courts will look to what steps an organization leader and organization could have taken to prevent an action from occurring

Should they have known of and have implemented an effective ethics and compliance policy?

And if they knew of the compliance requirements, the benefits of complying and implications of not, what would they do? Would they choose a low cost, effective compliance and ethics program, such as Optimum Connect™, to protect people, and the organization?

Courts will hold organization leaders and organizations accountable for ignoring their duty of care.

Consult your attorney for additional information or direct questions to Attorney@1stNotice.com.

Select Fail Safe or an Optimum Connect package including Fail Safe now. It will exceed all compliance requirements and is less expensive than all other solutions. And Fail Safe is the most likely to prevent and the first to detect criminal activity . It’s right, it’s performance justified and it’s the law. 1 st Notice packages will also foster engagement and measurably optimize performance and satisfaction.

1st Notice does not want cost to ever be a barrier to an organization having Fail Safe. AskUs@1stNotice.com to learn about our assistance programs.