Compliance Safeguards

Corporate Compliance Challenge: Even if your company has all the compliance policies and documents in place, the corporation still needs a vigilant manager  to train the staff and verify the effectiveness of these programs. If problems do occur, there must be processes in place for staff members to raise the issues and for responsible officials to deal with them in a safe, effective way. Periodically, senior executives must ask the following hard questions:

Are there adequate resources for compliance training?

  • Is both initial and ongoing training provided to staff?
  • Are diverse training modes utilized, such as instructor led workshops, on-line training, and informational bulletins?
  • Are compliance staff encouraged to attend industry export control functions?

Has an Internal Compliance Audit/Assessment been recently conducted?

  • Was it performed in a non-biased manner?
  • Were deficiencies identified, corrected, and documented?
  • Was an Audit module created/utilized to ensure recurring evaluation?

Are there appropriate Internal Notification procedures in place?

  • Are employees encouraged to raise compliance concerns?
  • Are they trained to recognize gaps, aberrances, and other red flags?
  • Is it clear to employees how to raise these issues without risk of retaliation?

CTP Solution: We provide Customized On-site Training, based on adult learning principles, that combine government requirements, company specific policies, and corporate best-practices. We have a comprehensive Audit Process that measures the effectiveness of compliance measures in terms of effectiveness and efficiency. Finally, we can help companies develop and deploy notification policies as part of our EMS Manual & Consulting services.