Sentencing Guidelines on Compliance and Ethics Programs
A crisis, such as a government investigation or a class action lawsuit from customers, is no fun and certainly raises career path issues for in-house lawyers if things aren't handled smoothly or it appears that the crisis could have somehow been averted if someone in the legal department has been paying more attention. So, one important tool for crisis managment is setting up processes in advance to identify potential problems before they explode. This report describes the preferred elements for a compliance and ethics programs as set out in the U.S. Sentencing Commission Guidelines Manual.