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Compliance Fridays: Communicating Compliance

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 methods and strategies to compliance-related communication and education:

An organization seeking to implement, maintain or enhance a compliance program should devise a plan to communicate its commitment to compliance; everyone’s obligation to maintain compliance; explanation on relevant laws, rules and procedures; and other pertinent information to fulfill legal and regulatory requirements. Moanica Caston, Teresa T. Kennedy, Lori J. Shapiro and Philip I. Weis in “209 Best Practices for Building an Effective Corporate Compliance Program” offer great insight in what to address when developing the compliance communication plan:

  1. Develop content: An organization’s “messages should be linked to organizational values, policies, and related initiatives” and could include: the commitment of senior management; performance standards and expectations; education and training facilitators; compliance follow-up activities; training objectives; and logistics, content and agenda for compliance education and training activities.
  2. Identify delivery methods: An organization should use a variety of delivery platform, channels and methods, including relying “on existing channels (e.g., newsletters, website, etc.), internal capabilities, and audience accessibility (e.g., access to e-mail) as well as other potential options for getting messages out”.
  3. Establish a communications calendar: An organization should prepare and adhere to a “timeline or internal project plan with specific events, milestones, and delivery methods is necessary to ensure consistency, repetition, and reinforcement without dilution of message”.

Source: Moanica Caston, Teresa T. Kennedy, Lori J. Shapiro and Philip I. Weis, “209 Best Practices for Building an Effective Corporate Compliance Program”, http://www.acc.com/vl/public/ProgramMaterial/loader.cfm?csModule=security/getfile&pageid=20324&title=untitled.

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

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About Michael L. Buckner, Esquire

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

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