- Leadership and Oversight. Effective leadership and functional committee structures are in place, with regular reporting to the Board of Trustees.
- Policies and Procedures. Clear expectations and practical guidance regarding behavior and decision-making are available and accessible.
- Education and Outreach. Reasonable steps are taken to provide appropriate, relevant, and comprehensive education and outreach about compliance requirements.
- Monitoring and Auditing. Program adherence to compliance requirements is monitored. Emerging and changing laws are tracked.
- Receiving Reports and Investigating. Clear avenues exist to seek guidance or report violations of policy and relevant laws/regulations. Investigations follow appropriate processes and emphasize non-retaliation.
- Accountability, Incentives and Corrective Action. Community members are encouraged to behave ethically and responsibly. Appropriate, fair and consistent actions are taken in cases of wrongdoing.
- Response and Prevention. Episodes of misconduct and violations of laws, regulations and policies are responded to appropriately. Systemic issues are identified, root causes determined, and solutions implemented to prevent recurrence.