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Compliance Review Program
Since May 2006, the State Ethics Commission has been conducting ethics compliance reviews of all Executive branch agencies. The primary purpose of the Commission's compliance reviews is to ensure that State agencies are meeting reporting, training and other requirements of the State's ethics laws and regulations. The compliance review process is also designed to determine whether State agencies have implemented needed procedures and practices that will prevent and detect ethics violations.

Prior to conducting an agency compliance review, the Commission's Ethics Compliance Officer will provide the agency's Ethics Liaison Officer with a Document Checklist which will be used for the review. During the compliance review, the Ethics Compliance Officer and the agency Ethics Liaison Officer will discuss the agency's ethics program. The Ethics Compliance Officer will review agency practices and procedures for compliance with the State ethics laws, regulations, and Executive Orders. At the completion of the review a report will be issued evaluating the agency's compliance and identifying both best practices and areas in need of improvement.

Beginning in 2012, the Commission established the requirement that all Executive Branch Agencies must be in substantial compliance with ethics requirements. If an agency is not in substantial compliance at the time of the review, the agency Ethics Liaison Officer and the agency head will be notified in writing and will be given a time frame to remedy deficiencies cited in the review.

The State Ethics Commission views the compliance review process as an opportunity for agency Ethics Liaison Officers to obtain support and assistance for any ethics issues or problems they are experiencing. The Commission's Ethics Compliance Officer is available, during and after the review, to provide advice to the Ethics Liaison Officer concerning how his/her agency's ethics program can be improved.

Questions regarding the Commission's Compliance Review Process can be directed to John Hughes, Ethics Compliance Officer, at 609-292-1892.
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