Chapter 4

Question 1

the 3 Cs of communication

Answer 1

clear
concise
creative

Question 2

benchmarking

Answer 2

the measurement of performance against “best practices” standards

Question 3

Evaluating for Success

Answer 3

annual review of written compliance program
continual review of individual policies and procedures
benchmarking against your own statistics

Question 4

Effectiveness measures

Answer 4

employees knowledge
all seven elements included in the program and working
comparing issues year to year
tracking and trending complaints
tracking corrective actions
reviewing audit findings
educational sessions pre and post tests
organizational survey results
compliance topics on department/organization agendas

Question 5

Steps to building an Effective Compliance Program

Answer 5

-assess the culture, obtain buy-in and commitment from the top
-assure an effective structure in place
-identify compliance risk and how the organization addresses the identified risk
-assure program is scalable to the resources available to address risk
-evaluate the extent to which structure, process and outcome measures of effectiveness are viewed as “linked” by the compliance program
-evaluate the extent to which the compliance program is “dynamic” and continuously changes in response to internal and external factors
-measure compliance program effectiveness against both regulatory and organizational goals