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Compliance standards

Compliance standards define the circumstances under which an organization can be held responsible for the choices and actions of its employees and other agents for failure to meet government regulations, industry standards, or reasonable stakeholder expectations. See also Management Systems Standards.

Standards
Examples: LCE/SME 
Resources/News

Federal Sentencing Guidelines for Organizational Defendants

Sarbanes-Oxley Act of 2002

USA Patriot Act of 2001

Revised Federal prosecution guidelines (PDF)

U.S. Dept. of the Treasury, Anti-money Laundering Program Standards

Australian Criminal Code on Corporate Criminal Responsibility

 

Department of Defense Voluntary Disclosure Program

Environmental Protection Agency Voluntary Disclosure Program

Health and Human Service Compliance Guidelines

Health and Human Service Corporate Integrity Agreements

Health and Human Service Self-disclosure information

The U.S. Sentencing Commission has proposed significant changes to Chapter 8 of the Federal Sentencing Guidelines. Among other changes, they require a risk assessment; place specific responsibilities on the "governing authority" and "organizational leadership"; require training as a means of communication; require that a program be regularly evaluated as a minimum requirement for an effective program; and require an organization to "otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the
law." http://www.ussc.gov/2004guid/RFMay04_Corp.pdf

Sarbanes-Oxley Act of 2002 Summaries Whistleblower Protections For Section 806, see http://www.osha.gov/dep/oia/whistleblower/acts/ccfa.html

For OSHA Final regulations on Whisteblowing check back here. August 24, 2004.

Report of the Ad Hoc Advisory Group on the Organizational Sentencing Guidelines
October 7, 2003

Shauna Alonge, DEPARTMENT
OF HEALTH AND HUMAN SERVICES OFFICE OF INSPECTOR GENERAL ISSUES GUIDANCE ON VOLUNTARY DISCLOSURE OF HEALTH CARE FRAUD
DC Bar Health Law Section Newsletter, Winter 1999

Quality Standards for Federal Offices of Inspector
General (October 2003) 

Department of Justice, Criminal Resource Manual "DoD Voluntary Disclosure Program"

John R. Fleder, "A Voluntary Disclosure Program for FDA The Time Has Come," Food and Drug Law Journal (1999)

 



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