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O4.1 DEFINE OPERATIONAL STRUCTURE & RESPONSIBILITIES
Define an operational structure and responsibilities to operate the program including specific reporting lines to strategic and oversight personnel.


Management must create a structure that specifies operating responsibility for each aspect of the program, as  well as clarifying reporting lines to strategic personnel and to the board. Program personnel must be provided with the resources needed to carry out their operational responsibilities.

A schedule of reports to be made at appropriate intervals should be included in operational responsibilities.
Standards & Guidance
    O4.1.S01
  • Delegate day-to-day operational responsibility for the compliance and ethics program to specific individual(s) within the organization.
    O4.1.S02
  • Require that individuals with operational responsibility report periodically to high-level personnel and, as appropriate, to the governing authority, or to an appropriate subgroup of the governing authority, on the effectiveness of the compliance and ethics program.
    O4.1.S03
  • Provide individuals who have operational responsibility with adequate resources, appropriate authority, and direct access to the governing authority or to an appropriate subgroup of the governing authority.
Core Practices
    O4.1.101
  • If operational personnel differs from high-level personnel with overall responsibility, ensure operational personnel provide data and ongoing monitoring to make periodic reports to the board or appropriate board subgroup.
    O4.1.102
  • Ensure operational personnel have direct access to the board or an appropriate subgroup of the board.
    O4.1.103
  • Ensure operational personnel have appropriate authority.
    O4.1.104
  • Define lines of reporting for direct and indirect operational personnel.
    O4.1.105
  • Ensure operational personnel have adequate resources.
    O4.1.106
  • Prepare an organizational chart of the program organization.
    O4.1.107
  • Define job descriptions for each job/role in the program organization.
Additional Practices
    O4.1.201
  • Develop a program to rotate business line executives and managers into operational roles.
GUIDELINE DETAILS
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