Our Compliance Program

The Federal government provides guidance and direction for establishing and maintaining an effective compliance program in Chapter 8 of the Federal Sentencing Guidelines (the “Guidelines”). The Guidelines prescribe two overarching requirements for the System’s compliance program:

  • The System shall “exercise due diligence to prevent and detect criminal conduct.”
  • The System shall “otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.”

Beyond the two foundational principles, the Guidelines identify seven essential elements for effective compliance programs. The Department of Justice expands and refines those elements in its Evaluation of Corporate Compliance Programs to better reflect the Department’s expectations. The updated elements are set forth below, together with a description of University Ethics and Compliance Office activities associated with each element.