Standards and Procedures. The organization must have established
compliance standards and procedures to be followed by its employees
and other agents that are reasonably capable of reducing the prospect
of criminal conduct.
Personnel Responsible. Specific individual(s) within high-level
personnel of the organization must have been assigned overall
responsibility to oversee compliance with such standards and procedures.
in Assignments. The organization must have used due care not
to delegate substantial discretionary authority to individuals
whom the organization knew, or should have known through the exercise
of due diligence, had a propensity to engage in illegal activities.
Standards and Procedures. The organization must have taken
steps to communicate effectively its standards and procedures
to all employees and other agents, e.g., by requiring participation
in training programs or by disseminating publications that explain
in a practical manner what is required.
Monitoring and Auditing Systems and Reporting System. The
organization must have taken reasonable steps to achieve compliance
with its standards, e.g., by utilizing monitoring and auditing
systems reasonably designed to detect criminal conduct by its
employees and other agents and by having in place and publicizing
a reporting system whereby employees and other agents could report
criminal conduct by others within the organization without fear
Standards through Appropriate Mechanisms. The standards must
have been consistently enforced through appropriate mechanisms,
including, as appropriate, discipline of individuals responsible
for the failure to detect an offense. Adequate discipline of individuals
responsible for an offense is a necessary component of enforcement;
however, the form of discipline that will be appropriate will
be case specific.
Appropriately to the Offense. After an offense has been detected,
the organization must have taken all reasonable steps to respond
appropriately to the offense and to prevent further similar offenses-including
any necessary modifications to its program to prevent and detect
violations of law.
more information, especially an excellent bibliography of resources,
check the web site of the United States Sentencing Commission: http://www.ussc.gov