What is a mitigating factor to a culpability score?

A mitigating factor in determining culpability scores is the presence of an effective compliance program. This is because an organization that has established and maintained a robust compliance program demonstrates proactive measures to prevent, detect, and correct potential violations of laws and regulations. Such a program reflects a commitment to ethical conduct and compliance, which can reduce the severity of penalties or culpability assigned when an infraction occurs.

The existence of an effective compliance program indicates that the organization has taken reasonable steps to avoid misconduct, including training employees, implementing policies, conducting regular audits, and allowing for reporting of potential issues without fear of retaliation. When assessing culpability scores, regulators often recognize these efforts as factors that distinguish organizations that merely fail to comply versus those that actively seek to cultivate a compliant culture.

In contrast, other factors, such as a prior history of misconduct, would likely increase culpability scores, and willful ignorance of the offense and condoning employee behavior reflect a lack of responsibility and can elevate culpability rather than mitigate it. Therefore, having an effective compliance program is crucial in minimizing the culpability score when a violation has been identified.