Administering Ethics and Compliance Programs - cont.

53.	To which management principals does the individual in charge of the following programs report directly?
	*(Check all that apply in each column.)*

		Individual in charge of business ethics and conduct awareness program reports to:	Individual in charge of ethics compliance program reports to:	Individual in charge of INTEGRATED business ethics and conduct awareness program and ethics compliance program reports to:
53a.	Chief executive officer
53b.	President
53c.	General counsel
53d.	Board of directors ("the Board")
53e.	Audit committee of the Board
53f.	Ethics and/or compliance committee of the Board
53g.	Audit committee (other internal)
53h.	Ethics and/or compliance committee (other internal)
53i.	Human resources
53j.	Other

	If you answered "other" above, to whom does this individual report?

	Add comments as needed to clarify responses to question 53 above.

54.	What management oversight activities are in place to ensure the successful implementation of your business ethics and conduct awareness program and your ethics compliance program in connection with DOD contracts?

55.	How often do the business ethics and conduct awareness program and the ethics compliance program deliver formal reports (e.g., statistics, status of actions/initiatives, etc.) to each of the following management levels?
	*(Check all that apply in each row.)*

		Never	As Needed	Annually	Quarterly	Monthly	Don't know
55a.	Chief executive officer
55b.	President
55c.	General counsel
55d.	Board of directors ("the Board")
55e.	Audit committee of the Board
55f.	Ethics and/or compliance committee of the Board
55g.	Audit committee (other internal)
55h.	Ethics and/or compliance committee (other internal)
55i.	Human resources
55j.	Other

	If you answered "other" above, to what other office and/or at what other frequency do the business ethics and conduct awareness program and the ethics compliance program report?

	At the end of this survey, we will be asking you to provide your organization's policy statement or a letter from your Chief Executive Officer or Board of Directors indicating how often and to whom these reports are delivered.

Full Report: GAO-09-591

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