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SCCE Compliance 101, Third Edition

A quick and easy guide to effective compliance practices

SCCE Compliance 101, Third Edition offers a concise overview of compliance programs, how they operate, and the compliance officer’s role. Written by authors Debbie Troklus and Sheryl Vacca, it contains insight into best practices for building or maintaining an effective compliance program and is ideal for new practitioners, board members, or staff education.

Get guidance and insight on:
  • Benefits and administration of a compliance program
  • Government guidance and laws
  • Risk assessment, monitoring, and auditing
  • Measuring program effectiveness

The updated SCCE Compliance 101, Third Edition provides insights and tips on running an effective compliance program and includes new chapters, sample policies, forms, and further resources to explore.

Copyright

Introduction

Chapter 1. Compliance Programs: History and Benefits

Chapter 2. Government Oversight, Laws, and Guidance

Chapter 3. Program Administration

Chapter 4. Standards, Policies, and Procedures

Chapter 5. Risk Assessment

Chapter 6. Communication, Education, and Training

Chapter 7. Monitoring, Auditing, and Reporting

Chapter 8. Program Assessment

Chapter 9. Investigations, Addressing Noncompliance, and Remediation

Conclusion

Appendices

  • Appendix 1. Sample Compliance Officer Job Description
  • Appendix 2. SCCE Code of Professional Ethics for Compliance and Ethics Professionals
  • Appendix 3. Sample Compliance Oversight Committee Confidentiality Statement
  • Appendix 4. Sample Board of Directors Resolution
  • Appendix 5. Nonprofit Organization FAQS: Giving and Receiving Gifts
  • Appendix 6. Sample Attestation/Acknowledgement Form
  • Appendix 7. Sample Letter to Vendors Regarding Standards of Conduct
  • Appendix 8. Sample Audit/Monitoring Review Form
  • Appendix 9. Audit Review Plan Templates
  • Appendix 10. Sample Nonretaliation/Nonretribution Policy
  • Appendix 11. Sample Confidentiality and Nondisclosure Statement
  • Appendix 12. Sample Complaint Information Sheet
  • Appendix 13. Sample Compliance Issue Follow-Up Form
  • Appendix 14. Sample Search Warrant Response Policy
  • Appendix 15. Sample Anti-Corruption Certification for Expense Reports

Additional Resources

Compliance Glossary

About the Authors

About the Society of Corporate Compliance and Ethics

*If purchasing via credit card, online access is available within 48 hours after payment is processed.

Earn non-live CEUs

You can earn 2 non-live CCB CEUs simply by documenting your understanding of the principles in the book. Documentation is done by achieving a score of 75% or better on SCCE Compliance 101, Third Edition quiz, available to download here. Simply complete the quiz and return by email, fax, or mail per the instructions on the introductory page. CCB certification staff will review and process your submission within four weeks of receipt. 

About the authors

Authors Debbie Troklus and Sheryl Vacca are experienced in compliance and risk management for both corporate and healthcare organizations. Troklus and Vacca also sit on SCCE & HCCA’s Board of Directors and serve as key faculty members at our Academies.