| (a) Oversight Committee Members, Institute Employees,
Scientific Research and Prevention Program Committee Members, Program
Integration Committee Members, Grant Applicants, Grant Recipients,
and contract service providers are expected to comply with applicable
laws, rules, regulations, and policies in conduct of their official
duties and responsibilities as well as professional standards of business
and personal ethics.
(b) The Institute's Compliance Program shall ensure
that agency operations conform to federal and state regulations, and
that such operations are undertaken consistent with the Institute's
administrative rules, policies, and procedures.
(1) The Compliance Program shall specifically address
at least the following agency operations: Grant Review Process, Grant
Award financial reporting and performance monitoring, Institute financial
reporting, internal accounting controls, and auditing.
(2) The Compliance Program shall implement and oversee
systems and activities to detect and report instances of conduct that
do not conform to applicable law or policy, as well as the timely
response to non-conforming conduct and to prevent future similar conduct.
(3) The Compliance Program shall implement and enforce
the Code of Conduct and Ethics as well as the consistent enforcement
of other compliance standards and procedures adopted by the Oversight
Committee.
(c) The Compliance Program shall operate under the
direction of the Chief Compliance Officer.
(1) In performing the duties under this program, the
Chief Compliance Officer shall have direct access to the Oversight
Committee.
(2) The Chief Compliance Officer is responsible and
will be held accountable for apprising the Oversight Committee and
the Chief Executive Officer of the institutional compliance functions
and activities.
(A) The Chief Compliance Officer shall report at least
quarterly to the Oversight Committee on the Institute's compliance
with the applicable laws, rules and Institute policies. The Chief
Compliance Officer may report more frequently to the Audit Subcommittee
of the Oversight Committee.
(B) The Chief Compliance Officer shall report at least
annually on the Institute's compliance program activities, including
any proposed legislation or other recommendations identified through
the activities. The compliance report shall be included in the Institute's
Annual Public Report.
(C) The Chief Compliance Officer shall report to the
Oversight Committee on the Grant Recipients' compliance with the terms
and conditions of the Grant Contracts. This report shall be presented
at each quarterly Oversight Committee meeting.
(D) The Chief Compliance Officer shall inquire into
and monitor the timely submission status of required Grant Recipient
reports and notify the Oversight Committee and General Counsel of
a Grant Recipient's failure to meaningfully comply with reporting
deadlines.
(d) Oversight Committee Members and Institute Employees
shall participate in periodic Compliance Program training.
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