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Compliance Fridays: Elements of a Compliance Program

Buckner assists organizational clients with developing, auditing and enhancing compliance programs. The firm’s “Compliance Fridays” blog series is designed to provide clients and interested readers with best practices and strategies for, as well as insights into, compliance. An effective compliance program helps an organization, and its employees, agents and officers, conduct operations and activities within the scope of the law and internal policy; ethically; and with the highest level of integrity and professionalism. Today’s post outlines the basic elements of a comprehensive compliance program:

The Federal Sentencing Guidelines (specifically, Section 8B2.1(a)) states “an effective compliance and ethics program” shall “exercise due diligence to prevent and detect criminal conduct” and “otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law”. Accordingly, a compliance program should feature the following minimum elements:

  1. Communication: An organization’s commitment to compliance is demonstrated through oral and written communications with all officers, employees, agents, constituencies and stakeholders.
  2. Organization: Senior-level officers, managers and administrators assume leadership roles in establishing the organization’s commitment to compliance initiatives. Further, staff assume responsibility for knowledge of the applicable law, rules and compliance procedures. Finally, the organization defines compliance procedures clearly and articulates compliance-related tasks and responsibilities for key individuals.
  3. Documentation and Education: Compliance is a central element in the organization through the documentation of, and comprehensive education and training on, policies and procedures.
  4. Monitoring and Evaluation: An organization ensures continuing and regular administrative oversight in key compliance areas through regular review (e.g., auditing, assessment) of the compliance program.

Source: Kimberli Bowman and Susan Peal, NCAA Regional Rules Compliance Seminar Presentation: “Welcome to the World of Compliance”.

Contact attorney Michael Buckner (+1-954-941-1844; mbuckner@bucknersportslaw.com) for more information on, or to assist with auditing, a compliance program.


About Michael L. Buckner, Esquire

An attorney who provides clients with internal investigation, civil litigation, estate planning and compliance services.


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