Board+Resources

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====Whether your organization is for-profit, not for profit, or a government entity, as part of its governing body you have a duty to determine what steps are being taken to meet its legal responsibilities. Included within this "duty of loyalty" is determining if a "reasonable reporting system" exists to provide you with information about the organization's compliance with the law. (See Stone .v Ritter, Del. Chancery Court, 2006) This may seem daunting, since no organization's regulatory responsibilities are a static set of rules. ====

====In addition to this general duty the Boards of organizations settling matters with the federal government are finding a duty of "reasonable inquiry" into the effectiveness of the compliance program a condition of that settlement. For example, the Corporate Integrity Agreement agreed to by Abbott Laboratories in 2012 requires its Board to meet with the Chief Ethics and Compliance Officer at least four times a year and annually pass a resolution, signed by each member of the Board, attesting to the effectiveness of the compliance program. Mandatory training of Board members is also required. ====

====Similarly, in 2010 the California Attorney General filed suit against a Monterey California AIDS charity and sixteen of its current and former board members seeking dissolution of the organization and recovery of funds that its Officers and Directors allegedly misspent. The complaint offers a good illustration of non-profit governance duties and responsibilities. "Reasonable inquiry" appears at least eight times. (The suit was ultimately settled in 2012 by a payment from the charity's insurer.) ====

====All the pages in this wiki have resources that may help with that inquiry (For example, Compliance and Ethics 101, New In Compliance and Ethics), but the resources on this page are specifically directed to those who bear the ultimate responsibility for the organization's attempts to put together the "pieces" of compliance and ethics. ====

====For example, here's a checklist for Director use in making a "reasonable inquiry" about a Compliance and Ethics effort:  Most organizations orient and offer training for their Board members - is compliance and ethics part of that process at your organization? ====

=//**Board Resources on the Web: **//=

//**Orientation and / or Training: **//

 * ====Annual Board Compliance Training (California Rural Indian Health Board 2013) ====
 * ====Board Orientation materials at the Columbia Association ====
 * ====Board Overview of Healthcare Compliance (Heritage Behavioral Health Center 2012) ====
 * ====Board and Member Orientation at the Michigan Primary Care Consortium (2014) ====
 * ====Board Orientation materials at Pioneers Memorial Healthcare District ====
 * ====Engaging Your Board, Management and Staff Early: Compliance Orientation Programs (Hambleton and Baker 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Getting the Board on Board with Effective Orientation (Boardsource 2013) ====

//<span style="color: #000000; font-family: Arial,Helvetica,sans-serif;">Compliance Committee Charters: //

 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A Compliance Committee Charter (Aon) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A recently adopted Board Compliance Committee Charter (Dexus Funds Management) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Compliance Committee Charter of a Board whose organization is operating under a Corporate Integrity Agreement (Forest Laboratories) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Audit and Compliance Committee Charter (Mayo Clinic 2010) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Tenet Healthcare's Quality, Compliance and Ethics Committee is described in its program charter. ====

<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Reporting to Boards:

 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">An outside auditor's report to the Board about it's Compliance and Integrity program (Ohio State U. 2014) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Communicating With the Audit and Compliance Committee of the Board: Leading Practices (Saunders 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Joint Audit and Compliance Committee Agenda, U Conn, 2013 ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Report: Audit, Compliance and Management Review Committee, UT System Board of Regents, 2014 ====

//<span style="color: #000000; font-family: Arial,Helvetica,sans-serif;">Opinions about the Board's Compliance and Ethics Role: //

 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Committee Governance: Leading Engaged and Effective Compliance Committees (Sideras and Kurnher 2013) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Boards, Compliance and Reputation: Diving Shallow Versus Diving Deep (Greenberg 2013) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Welcome to Compliance U: The Board's Role in the Regulatory Era (Lake 2013) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">"C" IS For Crucible: Behavioral Ethics, Culture and the Board's Role in C-Suite Compliance (Killingsworth 2013) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A 'Toolkit' for Health Care Boards of Directors (Demske, OIG 2013)(video) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Female Board Members Better Than Men on Complex Matters: Study (McFarland 2013) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">How Directors' Risk Oversight Responsibilities Have Changed (Faust 2013) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Boards Behaving Badly (Marcus 2012) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Board Oversight of the Compliance Function: Coaching Fundamentals (Hester 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Board Independence and Conflicts of Interest (Markkula Center 2012) (video) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Board of Directors: Responsibilities for Monitoring Risk and Compliance (Penman, Global Compliance 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Responsible Oversight: How Boards Can Promote Profitable and Ethical Organizations (Carnegie Council 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Ethical Meltdown: Red Flags for Boards of Directors (Balassone 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Three video "chats" on Ethics for Corporate Boards (Markula Center 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">SEC Examiners Enter U.S. Boardrooms to Gauge Compliance (Reuters, 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">ToolKit for Health Care Boards (DHHS OIG - 2012) and accompanying Video ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A Guide To the Board's Compliance Oversight Duties (Peregrine 2011) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">One Board's Plan to Improve its Oversight of Risk Management, Internal Audit and Compliance (Everbank 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Oversight By Inquiry: 25 Questions To Ask At Board Meetings (R. Seestadt 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Strategies for Building a Strong Compliance Team (Reese, Farrell & Sierra 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Directors as Guardians of Compliance and Ethics Within the Corporate Citadel (Rand 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Bridging Board Gaps (Study Group on Corporate Boards, Columbia Business School, 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Compliance Oversight for Healthcare Leaders (DHHS OIG and HCCA 2011 )(video) ====
 * ====<span style="color: #ff0000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Health Care Director's Compliance Duties (DHHS OIG & AHLA 2011) ====


 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Building an Ethical Business Culture: The Role of the Board (Markkula Center 2010)(video) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Ethics & the Board (Conference Board 2009) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Bank Director's Responsibility In Establishing a 'Culture of Compliance' (Consumer Compliance Outlook 2009) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A Governing Board Primer: Compliance Plan Oversight Responsibilities (Peregrine 2009) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Governance and Related Topics for 501 (c)(3) Organizations (IRS 2008) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Driving for Quality in Long-Term Care: A Board of Directors Dashboard (HCCA and OIG 2007) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Corporate Responsibility and Healthcare Quality: A Resource for the Board of Directors (DHHS OIG 2007) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">To Audit Committee or Not To Audit Committee: That Is the Question (Guidestar 2005) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Keepers of the Corporate Conscience (Gorelick, director, United Technologies, 2004)(video) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Boards of Directors Must Commit to Business' New Moral Compass (ERC 2003) ====

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