2b how s your compliance communication service n.
Download
Skip this Video
Loading SlideShow in 5 Seconds..
2B. How’s Your Compliance Communication Service? PowerPoint Presentation
Download Presentation
2B. How’s Your Compliance Communication Service?

Loading in 2 Seconds...

play fullscreen
1 / 25

2B. How’s Your Compliance Communication Service? - PowerPoint PPT Presentation


  • 118 Views
  • Uploaded on

2B. How’s Your Compliance Communication Service?. Anna Drummond, UMV Chief Compliance Officer Robert F. Roach, NYU Chief Compliance Officer. How’s Your Compliance Communication Service? Dropped Calls? Dead Zones? Quick Tips on How to Provide Your Campus with a 4-Bar Communication Network.

loader
I am the owner, or an agent authorized to act on behalf of the owner, of the copyrighted work described.
capcha
Download Presentation

PowerPoint Slideshow about '2B. How’s Your Compliance Communication Service?' - sarah-fields


An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.


- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript
2b how s your compliance communication service

2B. How’s Your Compliance Communication Service?

Anna Drummond, UMV Chief Compliance Officer

Robert F. Roach, NYU Chief Compliance Officer

slide2

How’s Your Compliance Communication Service? Dropped Calls? Dead Zones? Quick Tips on How to Provide Your Campus with a 4-Bar Communication Network

Anna Drummond

UVM Chief Compliance Officer

Robert F. Roach

NYU Chief Compliance Officer

Diane Delaney

NYU Compliance Manager

importance of compliance communications introduction and guiding principles
Importance of Compliance CommunicationsIntroduction and Guiding Principles

Federal Sentencing Guidelines: each element of the FSG requires effective and continuous communications.

Decision Making: In Universities, distributed responsibilities and collaborative decision-making demand open lines of communication.

Ongoing Process: compliance is not an accomplishment; it is an ongoing process that requires effective communication in order to be responsive to changes in programming and the risk environment.

creating a communications plan elements of a compliance communications plan
Creating a Communications Plan: Elements of a Compliance Communications Plan

Message

Targeted Audience(s)

Strategy and Tactics

See UVM Communications Plan (CD Rom)

what is your message consider primary and secondary messages
What Is Your Message? Consider Primary and Secondary Messages

Primary: the University is a community vested in modeling the highest standard of ethical conduct, accountability and best practices and compliance fosters these goals.

Secondary: will contain more complex ideas, such as specific legal and regulatory mandates, University policies and protocols and their connection of the foregoing to the mission and vision of the University

target your audience university communities are diverse
Target Your AudienceUniversity Communities are Diverse

University communities are diverse.

You must design your communications to address their varied background, education, awareness of compliance issues, time constraints, and attitudes toward compliance.

develop strategies and tactics practical examples
Develop Strategies and TacticsPractical Examples

Code of Ethical Conduct/Compliance Manual

Policies and Procedures

Orientation and Training

Response to Individual Concerns and Requests for Advice

Surveys and Evaluations

Ongoing Communications

Web based

Periodic Direct Communications

Outreach

Brochures and Guides, Posters, Promotional Items

Collaborative Decision Making and Effective Oversight

code of conduct
Code of Conduct

The Core of Compliance Communication

compliance manuals
Compliance Manuals

Code of Conduct/Policies/

Q and A/Sources of Info

policies and procedures
Policies and Procedures

Policy on Policies,

Policy Websites

Policy Guides

policies and procedures1
Policies and Procedures

NYU.edu Home Page

See http://www.acupa.org/resources.html

orientation and training
Orientation and Training

Ongoing training: regarding the code of conduct, compliance policies and process and relevant legal and regulatory issues should be developed and offered through a variety of methods, including live and web-based trainings.

Code of Conduct

Compliance Process

Legal and Regulatory Issues

response to individual concerns and requests for advice
Response to Individual Concerns and Requests for Advice

Telephone and Web Based “Hotlines”

surveys and evaluations
Surveys and Evaluations

Survey and Evaluations: can be helpful to establish a baseline for awareness of Compliance, the Code of Conduct and the Help Line. This can be achieved through use of a survey tool and direct calling. Similarly, a survey can be conducted after the roll out of each element of the Communications plan as an evaluation tool to determine whether the social awareness campaign has had any impact.

Metrics and Evaluations: Other benchmarks of compliance communication and awareness can include the number of calls to the Help Line, the number of calls for guidance or inquiries, the number of visits to the websites (included websites: Policy website, Help Line, Compliance, and the President, Staff and Provost web sites where letters/articles are planted regarding Compliance), and referrals to Compliance from within the University.

See UVM Survey Handout

slide17

Newsletter Published

250 Posters

Distributed

ongoing communications
Ongoing Communications

Web based

Periodic Direct Communications

Outreach

Brochures and Guides, Posters, and Promotional Items

outreach
Outreach

Partnerships are important to the successful completion of the project. This will mean seeking invitations to work with groups and associations on campus. These groups provide a venue for awareness building through live interaction as well as for establishing training and materials distribution.

Individual meetings with “influencers” within these groups and outside of them will also be sought. For example, principal investigators with control over students, labs, staff resources, etc., or who have influence with other researchers can be useful advocates.

posters
Posters

NYU Compliance Line Poster

Tear-0ff Info Sheet

the end

The End!

Additional Questions and Comments