Current through Reg. 49, No. 38; September 20, 2024
(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.
