Compliance Assessment

Amended in 2004 in response to the Sarbanes-Oxley Act, the U.S. Federal Sentencing Guidelines now require all organizations to establish and maintain an effective ethics and compliance program.  The Guidelines provide a strong incentive for employers to take proactive action to prevent unethical and illegal conduct. Specifically, organizations that can show that they have instituted an effective ethics and compliance program can greatly reduce the potential fines and other punishment that they might face. Indeed, the U.S. Sentencing Commission has written that:

"The potential fine range for a criminal conviction can be significantly reduced -- in some cases up to 95 percent -- if an organization can demonstrate that it had put in place an effective compliance and ethics program and that the criminal violation represented an aberration within an otherwise law-abiding community."

Conversely, the absence of an effective compliance and ethics program may be used to increase the punishment the organization receives.

Brightline Compliance's team of attorneys and other experts can assist you conduct a compliance assessment appropriate to your organization.  Brightline will provide a structure for you to examine your industry, the states and countries where you operate, the types of workers you employ, previous complaints and violations, and other factors to help you assess your risks.  Brightline will then provide advice on how to prioritize the actions you should take to minimize your risks.

Among other things, Brightline is available to provide:

• Ethics and Compliance Checkup
• Code and Policy Review
• Learning Gap Analysis