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O2.1 DEFINE OVERSIGHT STRUCTURE & RESPONSIBILITIES
Establish a board of directors that is sufficiently independent of management to oversee the program.


Management and board members should ensure that there is specific responsibility and accountability for oversight of the program.

Key Responsibilities:
> Define mission, vision and values
> Define and evaluate performance against objectives
> Authorize and oversee a business model and strategy to achieve objectives
> Define key mandated and voluntary boundaries of business conduct
> Oversee the hiring, firing, evaluation and compensation of strategic personnel
> Oversee the quality and reliability of public disclosures
> Oversee the quality and reliability of systems to ensure compliance
> Set high-level policy
Standards & Guidance
    O2.1.S01
  • Ensure the board exercises reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.
    O2.1.S04
  • Consider governance culture when determining oversight responsibility for the compliance and ethics program, and when assessing and managing risk.
Core Practices
    O2.1.101
  • Define board structure, committees and responsibilities.
    O2.1.102
  • Obtain evidence that a majority of the board is independent.
Additional Practices
    O2.1.201
  • Define a separate board process and committee to address program oversight.
GUIDELINE DETAILS
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Domain Supplement