Effectiveness of Ethical Compliance Program

An effective compliance program and workable ethics form the key factors to attaining the best organizational culture. In addition to establishing exemplary codes of ethical conduct, formulation of an effective compliance program to the strict guidelines of the U.S Sentencing Commission, to prevent violation of the law by employees of an organization, becomes essential. Therefore, this paper aims to explain how the minimum requirements of an ethical compliance program assist in preventing unethical behavior in an organization. 


Efforts to build the organizational culture and integrity involves one of the first requirements of a compliance program; formulation of standard procedures and ethics of right conduct that easily understood and followed in adhering to organizational policies. They define the employees’ behavior and constant evaluations of the same to ensure that employees remain disciplined hence preventing undesirable behaviors (DesJardins, 2010). 

Another requirement involves the designation of highly qualified personnel as the compliance officer. This individual manages the program and the ethics according to the size, needs of the organization, and exercises his authority by ensuring the following of codes of ethics and organizations policies to the latter. In addition to the set codes of conduct, the employees go through training and education, which ensures that they understand everything page by page so that they can adhere to those rules and avoid any misconduct (U.S. Sentencing Commission, 2004). 

Furthermore, no misconduct goes unpunished by the authorities even for the people in high positions. The consistency of discipline enforcement ensures that the employees know every consequence to their actions and hold responsibility for the same; hence, many avoid going against the law. Additionally it is imperative placing reporting systems in order to monitor the compliance and assess auditing. This system ensures transparency right from the top ranks to the bank account, therefore, leaving no room for any malicious behavior (U.S. Sentencing Commission, 2004). 

The constant monitoring and reporting of employee behavior is mandatory; this cultivates the team spirit into ensuring compliance and freedom of speech. Therefore, everyone ensures maintenance of ethical conduct. Lastly, the continued improvement and updating of the program done through employees collective responses leaves no avenues and time for misconduct as everyone effortlessly contributes to preventing the same.


The success of these requirements do not focus on conduct alone but also the total control of the ethical guidelines and the program altogether.



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