Navigating the complex world of compliance can feel like traversing a minefield. This guide offers a clear path, demystifying compliance management and providing a practical framework for organizations of all sizes. We’ll explore the core principles, essential steps, and effective tools to build a robust compliance program that not only meets regulatory demands but also fosters a culture of ethical conduct and risk mitigation.
From defining compliance objectives and identifying relevant regulations to implementing effective policies, conducting thorough audits, and addressing non-compliance issues, this guide provides a comprehensive overview. We’ll delve into practical strategies for training employees, leveraging technology to streamline processes, and adapting to the ever-evolving regulatory landscape. The goal is to empower organizations to proactively manage compliance, minimizing risks and maximizing operational efficiency.
Defining Compliance Management
Compliance management is the systematic process of identifying, understanding, and adhering to relevant laws, regulations, and internal policies. It’s a crucial function for any organization aiming to operate ethically, legally, and responsibly. A robust compliance program minimizes risks, protects reputation, and fosters a culture of integrity.
Compliance management encompasses a wide range of activities, from risk assessment and policy development to training and auditing. The ultimate goal is to ensure consistent and ongoing adherence to all applicable rules and standards. This proactive approach helps organizations avoid costly penalties, legal battles, and reputational damage.
Core Principles of a Robust Compliance Management System
A strong compliance management system rests on several fundamental principles. These principles ensure the effectiveness and sustainability of the program, providing a framework for consistent and reliable compliance. These principles are interconnected and mutually supportive, forming a holistic approach to managing compliance effectively.
- Commitment from Leadership: Strong leadership support is paramount. Top management must actively champion the compliance program, allocating sufficient resources and demonstrating a visible commitment to its success.
- Risk Assessment and Prioritization: Regular risk assessments identify potential compliance vulnerabilities, allowing organizations to prioritize efforts and resources where they are most needed. This includes considering the likelihood and potential impact of non-compliance.
- Clear Policies and Procedures: Comprehensive, easily accessible, and regularly updated policies and procedures are essential for guiding employees’ actions and ensuring consistent compliance across the organization.
- Effective Training and Communication: Regular training programs educate employees on relevant regulations, policies, and their responsibilities. Open communication channels foster a culture of compliance and encourage reporting of potential violations.
- Monitoring and Auditing: Continuous monitoring and regular audits help identify gaps in compliance, measure the effectiveness of the program, and provide opportunities for improvement.
- Corrective Action and Improvement: A well-defined process for addressing compliance violations and implementing corrective actions is crucial for preventing recurrence and enhancing the overall effectiveness of the program. This includes documentation and tracking of corrective measures.
Detailed Definition of Compliance Management
Compliance management is the ongoing process of establishing, implementing, monitoring, and improving a system to ensure adherence to all applicable laws, regulations, standards, and internal policies. Its scope extends to all aspects of an organization’s operations, encompassing all levels of employees and business activities. The objectives are to prevent legal and regulatory violations, minimize risks, protect the organization’s reputation, and maintain a culture of ethical conduct. This includes proactive identification of potential risks, development of preventive measures, and response mechanisms for addressing violations.
Examples of Compliance Regulations Across Industries
Different industries face unique compliance challenges, necessitating tailored approaches to management.
- Healthcare (HIPAA): The Health Insurance Portability and Accountability Act (HIPAA) in the United States governs the privacy and security of protected health information.
- Finance (SOX): The Sarbanes-Oxley Act (SOX) in the United States aims to protect investors by improving the accuracy and reliability of corporate disclosures.
- Environment (EPA Regulations): The Environmental Protection Agency (EPA) in the United States sets environmental standards and regulations that industries must adhere to, such as those related to air and water quality.
- Data Privacy (GDPR): The General Data Protection Regulation (GDPR) in the European Union establishes a comprehensive framework for protecting personal data.
Compliance Management Process Workflow
The following flowchart illustrates a typical compliance management process workflow.
Imagine a flowchart with these boxes and arrows:
Box 1: Identify Applicable Laws, Regulations, and Internal Policies
Arrow: Leads to Box 2
Box 2: Conduct Risk Assessment
Arrow: Leads to Box 3
Box 3: Develop and Implement Compliance Policies and Procedures
Arrow: Leads to Box 4
Box 4: Provide Training and Communication
Arrow: Leads to Box 5
Box 5: Monitor and Audit Compliance
Arrow: Leads to Box 6
Box 6: Take Corrective Action and Improve the System
Arrow: Loops back to Box 2 (Continuous Improvement Cycle)
Identifying Compliance Requirements
Successfully navigating the complex landscape of compliance necessitates a thorough understanding of applicable regulations and standards. This section details the methods for identifying and tracking these requirements, highlighting key differences across various industries.
Identifying compliance requirements involves a multi-faceted approach. It begins with pinpointing the relevant regulatory bodies and their specific mandates, then moves to implementing robust tracking systems to ensure ongoing adherence. Failure to accurately identify and consistently monitor these requirements can lead to significant legal and financial repercussions.
Key Regulatory Bodies and Compliance Requirements in Healthcare
In the healthcare sector, numerous organizations dictate compliance requirements. For a hypothetical hospital, key players include the Centers for Medicare & Medicaid Services (CMS), the Food and Drug Administration (FDA), and the Health Insurance Portability and Accountability Act (HIPAA) governing body. CMS dictates regulations around billing, patient care, and facility standards. The FDA oversees medical device safety and drug approvals. HIPAA mandates stringent data privacy and security measures for protected health information (PHI).
Methods for Identifying and Tracking Legal and Industry Standards
Effective compliance management relies on proactive identification and continuous monitoring of relevant regulations and standards. Several methods contribute to this process. Regular review of government websites and legal databases provides access to the latest updates. Subscription to specialized compliance services offers alerts on new regulations and changes to existing ones. Internal audits and risk assessments pinpoint potential areas of non-compliance. Finally, engaging with industry associations and professional organizations provides access to best practices and insights into emerging compliance challenges.
Comparison of Compliance Requirements Across Industries
Compliance requirements vary significantly across different industries, reflecting their unique risk profiles and operational contexts. The financial industry, for example, faces stringent regulations from bodies like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), focusing heavily on financial reporting, investor protection, and anti-money laundering (AML) measures. In contrast, the manufacturing sector is subject to regulations from organizations like the Occupational Safety and Health Administration (OSHA), emphasizing workplace safety, environmental protection (e.g., EPA regulations), and product quality standards.
Comparison of Compliance Frameworks
Several frameworks provide structured approaches to compliance management. The following table compares some prominent examples, highlighting their focus and applicability.
| Compliance Framework | Focus | Applicability | Key Requirements |
|---|---|---|---|
| ISO 27001 | Information Security Management | Various industries | Risk assessment, security controls, incident management |
| HIPAA | Healthcare data privacy and security | Healthcare providers, insurers, and business associates | PHI protection, security safeguards, breach notification |
| GDPR | Data protection and privacy | Organizations processing personal data of EU residents | Consent, data security, data subject rights |
| SOX (Sarbanes-Oxley Act) | Financial reporting and corporate governance | Public companies | Internal controls, financial statement accuracy, auditor independence |
Implementing Compliance Policies and Procedures
Effective compliance isn’t just about knowing the rules; it’s about building a system to ensure consistent adherence. This section details the process of developing and implementing robust compliance policies and procedures, ensuring your organization remains legally sound and ethically responsible. We’ll cover the creation of clear documentation, the importance of regular audits, and the integration of compliance into your overall risk management strategy.
Developing and Implementing Effective Compliance Policies and Procedures
Developing effective compliance policies and procedures requires a systematic approach. This involves a clear understanding of applicable regulations, a well-defined process for translating those regulations into actionable steps, and a mechanism for ongoing monitoring and improvement. The process typically begins with a thorough risk assessment, identifying areas of potential non-compliance. This assessment should consider both internal and external factors, including the organization’s size, industry, and operating environment. Following the risk assessment, policies and procedures should be drafted, clearly outlining expectations, responsibilities, and consequences of non-compliance. These documents should be easily accessible to all relevant personnel, and regular training sessions should be conducted to ensure understanding and consistent application. Finally, a system for tracking and reporting compliance should be established, allowing for timely identification and resolution of any issues.
Best Practices for Creating Clear, Concise, and Easily Accessible Compliance Documentation
Clear and concise compliance documentation is crucial for effective implementation. Best practices include using plain language, avoiding jargon, and structuring the information logically. Documents should be easily searchable and accessible through various channels, including online portals and physical copies. Regular reviews and updates are essential to ensure accuracy and relevance.
- Use plain language, avoiding technical jargon.
- Structure information logically, using headings, subheadings, and bullet points.
- Provide examples and scenarios to illustrate key concepts.
- Make documents easily searchable using s and indexes.
- Utilize multiple access methods (online portals, intranet, physical copies).
- Regularly review and update documents to reflect changes in regulations or internal processes.
Conducting Regular Compliance Audits and Assessments
Regular compliance audits and assessments are critical for identifying weaknesses and ensuring ongoing adherence. These audits should be conducted at intervals appropriate to the organization’s risk profile and regulatory requirements. The process typically involves reviewing policies and procedures, examining records and documentation, and interviewing personnel. Findings should be documented, and corrective actions should be implemented to address any identified deficiencies. A well-structured audit program should include a schedule of audits, a methodology for conducting audits, and a system for reporting and tracking findings. This system should also incorporate a method for evaluating the effectiveness of corrective actions.
Integrating Compliance Management into an Organization’s Overall Risk Management Strategy
Effective compliance management should be seamlessly integrated into an organization’s overall risk management strategy. This involves identifying compliance risks as part of the overall risk assessment process, developing mitigation strategies to address those risks, and monitoring the effectiveness of those strategies. A holistic approach ensures that compliance efforts are aligned with the organization’s broader risk management goals and objectives, creating a more efficient and effective system. For example, a company might integrate its compliance training program with its overall employee training initiative, or align its compliance reporting structure with its existing risk management reporting framework. This integrated approach minimizes redundancy and maximizes resource utilization.
Training and Awareness Programs
A robust compliance training program is crucial for embedding a culture of compliance within an organization. It ensures that employees at all levels understand their responsibilities and can effectively contribute to the organization’s compliance efforts. Effective training goes beyond simply disseminating information; it fosters a proactive approach to compliance, mitigating risks and promoting ethical conduct.
A well-designed compliance training program should cater to the diverse needs and roles of employees across different departments and levels of seniority. This requires a multi-faceted approach utilizing various training methodologies and ongoing reinforcement to ensure knowledge retention and behavioral change.
Compliance Training Program Design
A comprehensive compliance training program should incorporate several key elements. Firstly, a needs assessment is vital to identify specific compliance gaps and tailor training content accordingly. Secondly, the program should be modular, allowing for targeted training based on roles and responsibilities. Thirdly, it needs to be regularly updated to reflect changes in legislation, regulations, and best practices. Finally, the program should include mechanisms for evaluating the effectiveness of the training and measuring employee understanding and compliance. This might involve pre- and post-training assessments, quizzes, or scenario-based exercises. Regular review and updates ensure the program remains relevant and effective.
Effective Methods for Delivering Compliance Training
Several methods can be used to deliver compliance training effectively, each with its own strengths and weaknesses. Online modules offer flexibility and scalability, allowing employees to access training at their own pace and convenience. They can incorporate interactive elements, such as quizzes and simulations, to enhance engagement. Workshops, whether in-person or virtual, offer opportunities for interactive learning and discussion, fostering collaboration and knowledge sharing. In-person sessions allow for direct interaction with trainers and peers, facilitating a deeper understanding of complex compliance issues. The choice of method should be based on the specific training objectives, the target audience, and available resources. A blended approach, combining different methods, often yields the best results. For example, an introductory online module could be followed by a workshop focusing on specific case studies and interactive exercises.
Maintaining Employee Engagement and Participation
Maintaining employee engagement and participation in compliance training is critical to its success. Gamification techniques, such as points, badges, and leaderboards, can incentivize participation and encourage friendly competition. Making the training relevant and relatable to employees’ daily tasks increases engagement and improves knowledge retention. Regular reinforcement, through short refresher courses, emails, or reminders, helps to maintain awareness and prevent knowledge decay. Feedback mechanisms, such as surveys or focus groups, can help identify areas for improvement and tailor future training to better meet employee needs. Tracking completion rates and participation levels allows for monitoring program effectiveness and identifying any potential issues that may need addressing. For example, if completion rates are low for a specific module, this could indicate a need for content revision or a different delivery method.
Sample Compliance Training Module: Data Privacy
This module focuses on data privacy regulations.
* Learning Objectives: Upon completion, participants will be able to:
* Identify key data privacy regulations applicable to the organization.
* Understand their responsibilities in handling sensitive data.
* Apply appropriate data protection measures in their daily work.
* Recognize and report potential data breaches.
* Key Topics:
* Introduction to data privacy regulations (e.g., GDPR, CCPA).
* Types of sensitive data and their protection requirements.
* Data handling procedures, including collection, storage, and disposal.
* Data security measures and best practices.
* Procedures for reporting data breaches and security incidents.
* Employee responsibilities and accountability.
* Case studies illustrating data privacy violations and their consequences.
Monitoring and Reporting
Effective monitoring and reporting are crucial for ensuring the ongoing success of a compliance management system. By regularly tracking key performance indicators (KPIs) and generating comprehensive reports, organizations can identify areas of strength and weakness, allowing for proactive adjustments and continuous improvement. This section details the processes involved in monitoring compliance effectiveness and communicating findings to relevant stakeholders.
Monitoring and reporting involves a cyclical process of data collection, analysis, and communication. This allows organizations to understand their compliance posture, identify potential risks, and demonstrate their commitment to regulatory adherence. The information gathered also provides valuable insights for improving compliance programs over time.
Key Performance Indicators (KPIs) for Compliance Effectiveness
Several KPIs can be used to monitor the effectiveness of a compliance program. These metrics provide quantifiable data to assess performance against established goals and objectives. The specific KPIs chosen will depend on the organization’s industry, size, and regulatory landscape. However, some common examples include:
- Number of compliance incidents reported.
- Time taken to remediate compliance issues.
- Percentage of employees completing required compliance training.
- Number of audits conducted and findings.
- Cost of compliance activities.
- Employee satisfaction with compliance programs.
Compliance Reporting and Communication
Generating and communicating compliance reports is a critical step in ensuring transparency and accountability. Reports should be clear, concise, and tailored to the audience. This may involve summarizing key findings, highlighting areas of concern, and outlining recommended actions. Regular reporting, perhaps monthly or quarterly, allows for proactive identification and mitigation of potential risks.
Stakeholders who should receive compliance reports include senior management, the board of directors, regulatory bodies (where applicable), and employees. The level of detail provided will vary depending on the audience and the nature of the information being shared. For example, a report to senior management might focus on high-level summaries and key trends, while a report to a regulatory body would require a more detailed and comprehensive analysis.
Continuous Monitoring and Improvement
Compliance is not a one-time event; it’s an ongoing process requiring continuous monitoring and improvement. Regular review and updates of policies and procedures, coupled with employee feedback and external audits, ensure the compliance program remains relevant and effective. This iterative process allows organizations to adapt to evolving regulations and best practices.
Continuous improvement necessitates a culture of compliance within the organization. Employees at all levels should be encouraged to report potential compliance issues without fear of retribution. This requires establishing clear reporting channels and ensuring that all reports are investigated promptly and thoroughly. Regular reviews of the compliance program’s effectiveness, including the KPIs discussed earlier, are essential for identifying areas for improvement and enhancing the overall program’s efficacy.
Sample Compliance Report
The following table provides a sample of a compliance report, illustrating how key metrics and findings can be presented. Note that the specific metrics and their values will vary depending on the organization and the compliance program being monitored.
| Metric | Target | Actual | Status |
|---|---|---|---|
| Number of Compliance Incidents | < 5 | 3 | Met |
| Average Remediation Time (days) | < 10 | 7 | Met |
| Employee Training Completion Rate (%) | > 95% | 98% | Exceeded |
| Number of Audits Conducted | 2 | 2 | Met |
Addressing Non-Compliance
Effective compliance management necessitates a robust system for addressing instances of non-compliance. This involves prompt investigation, corrective action, preventative measures, and thorough documentation to minimize future risks and ensure ongoing adherence to regulations. A proactive approach is crucial, transforming non-compliance events into valuable learning opportunities for improvement.
Investigating Non-Compliance Incidents
A thorough investigation is the cornerstone of addressing non-compliance. This process begins with identifying the non-compliance event, gathering relevant evidence (documents, witness statements, system logs), and determining the root cause. The investigation should be impartial and objective, aiming to understand not just what happened, but *why* it happened. For example, if a company fails to meet a data privacy regulation, the investigation might uncover insufficient employee training, outdated software, or a lack of clear internal policies. The findings should be documented comprehensively.
Corrective and Preventative Actions
Once the root cause of non-compliance is identified, corrective actions are implemented to rectify the immediate issue. This might involve updating software, retraining employees, or implementing a new procedure. Equally important are preventative actions designed to stop similar incidents from recurring. For instance, following the data privacy breach, preventative actions could include implementing stronger access controls, conducting regular security audits, and establishing a more rigorous data protection policy. These actions should be documented and tracked to ensure effectiveness.
Documenting and Reporting Non-Compliance
Maintaining detailed records of non-compliance incidents is essential for accountability and continuous improvement. This documentation should include the date of the incident, a description of the non-compliance, the individuals involved, the investigation findings, corrective actions taken, preventative measures implemented, and the effectiveness of these measures. Regular reporting on non-compliance trends to management and relevant stakeholders allows for strategic adjustments to compliance programs. This reporting should be clear, concise, and objective, focusing on facts and avoiding subjective interpretations.
Non-Compliance Handling Process Flowchart
The process begins with the identification of a non-compliance incident.
A thorough investigation is then conducted to determine the root cause.
Corrective actions are implemented to address the immediate issue.
Preventative measures are put in place to prevent recurrence.
All actions and findings are meticulously documented.
A report summarizing the incident, investigation, and actions taken is prepared and submitted to relevant parties.
The effectiveness of corrective and preventative actions is monitored and reviewed.
Technology and Tools for Compliance Management
Effective compliance management relies heavily on efficient processes. Technology plays a crucial role in streamlining these processes, reducing manual effort, and minimizing the risk of human error. By leveraging appropriate software and tools, organizations can significantly improve their ability to meet regulatory requirements and maintain a strong compliance posture.
Software and Tools for Compliance Management
A range of software solutions and tools are available to assist with various aspects of compliance management. These tools automate tasks, centralize information, and provide valuable insights into an organization’s compliance status. Selecting the right tools depends on the specific needs and complexity of the organization’s compliance landscape. The following are examples of commonly used solutions.
Governance, Risk, and Compliance (GRC) Platforms
GRC platforms offer a comprehensive suite of tools designed to manage an organization’s governance, risk, and compliance efforts. These platforms typically integrate various functionalities, including risk assessment, policy management, audit management, and reporting. Features often include dashboards providing real-time visibility into compliance status, automated workflows for managing compliance tasks, and reporting capabilities for regulatory audits. Examples of GRC platforms include Archer, ServiceNow, and MetricStream. These platforms often offer different pricing tiers based on the number of users, features included, and level of support.
Audit Management Systems
Audit management systems streamline the audit process, from planning and execution to reporting and follow-up. These systems help organizations manage audit schedules, track progress, document findings, and manage remediation efforts. Features often include automated workflows for audit tasks, centralized document storage, and reporting capabilities for summarizing audit findings. Examples include AuditBoard and Workiva. Pricing models typically involve subscription fees based on the number of users and features.
Compliance Management Software Comparison
Different compliance management software solutions offer varying features and benefits. The choice of software depends on the specific needs of the organization, including the size of the organization, the complexity of its regulatory landscape, and its budget. Factors to consider include the software’s ease of use, integration capabilities, reporting features, and overall cost. A key difference lies in the breadth of functionality; some solutions focus narrowly on specific compliance areas, while others provide a broader, more integrated approach. Scalability is also a crucial factor, ensuring the software can adapt to the organization’s changing needs.
Examples of Compliance Management Software
| Software | Key Features | Pricing Model |
|---|---|---|
| Archer | Risk assessment, policy management, audit management, reporting, workflow automation | Subscription, tiered pricing based on features and users |
| ServiceNow | GRC, IT Service Management, Security Operations, workflow automation, reporting | Subscription, tiered pricing based on features and users |
| MetricStream | Risk management, compliance management, audit management, reporting, workflow automation | Subscription, tiered pricing based on features and users |
| AuditBoard | Audit management, risk assessment, compliance monitoring, reporting | Subscription, tiered pricing based on features and users |
Maintaining Compliance in a Changing Regulatory Landscape
The regulatory environment is constantly evolving, presenting both challenges and opportunities for organizations. Maintaining compliance requires a proactive and adaptable approach, going beyond simply reacting to new rules. A robust compliance program must anticipate changes, integrate flexibility, and leverage technology to navigate this dynamic landscape effectively.
Adapting compliance programs to evolving regulatory requirements demands a multi-faceted strategy. This involves establishing a system for continuous monitoring of regulatory changes, fostering a culture of proactive compliance within the organization, and developing flexible processes that can accommodate new rules and interpretations efficiently. Failure to adapt can lead to significant financial penalties, reputational damage, and operational disruptions.
Strategies for Adapting to Evolving Regulatory Requirements
Organizations should implement a formal process for tracking regulatory changes. This involves subscribing to relevant regulatory updates, utilizing specialized compliance software, and assigning dedicated personnel to monitor and analyze new legislation and interpretations. Regular reviews of existing policies and procedures are crucial to ensure alignment with the latest regulations. This proactive approach allows for timely adjustments and minimizes the risk of non-compliance. For example, a company operating in the financial sector needs to closely monitor changes in data privacy regulations like GDPR and CCPA, adapting its data handling practices accordingly. This might involve updating data security protocols, enhancing consent mechanisms, and implementing new data breach response plans.
Potential Future Compliance Challenges and Opportunities
Predicting the future is inherently uncertain, however, several trends suggest potential compliance challenges and opportunities. The increasing use of artificial intelligence (AI) and big data analytics presents significant challenges in areas like data privacy, algorithmic bias, and transparency. Simultaneously, these technologies offer opportunities for enhanced compliance monitoring and risk management. Another area of concern is the growing complexity of international regulations, particularly for multinational corporations navigating diverse legal frameworks. Conversely, the development of standardized global compliance frameworks could streamline compliance efforts and reduce costs. The rise of environmental, social, and governance (ESG) investing also presents both challenges and opportunities, as companies face increased scrutiny regarding their sustainability practices and ethical conduct.
Best Practices for Staying Informed About Regulatory Changes
Staying abreast of regulatory changes requires a multifaceted approach. This includes regularly reviewing official government websites, subscribing to relevant industry publications and newsletters, and actively participating in industry events and conferences. Networking with compliance professionals and leveraging the expertise of external consultants can provide valuable insights and perspectives. Internal training programs should also be designed to educate employees on the importance of compliance and keep them updated on regulatory developments. Regular internal audits can also help identify areas of vulnerability and ensure that the organization is adequately prepared for emerging compliance challenges.
Resources for Staying Current on Compliance Matters
Staying informed requires access to reliable resources. The following list provides examples of valuable sources:
- Government websites: These are primary sources for official regulations and guidance. Examples include the websites of relevant government agencies such as the Securities and Exchange Commission (SEC) in the US, or the Information Commissioner’s Office (ICO) in the UK.
- Industry publications and journals: Publications like the Harvard Business Review or specialized trade journals often provide analysis and commentary on regulatory changes and their impact on specific industries.
- Professional organizations: Organizations like the Association of Corporate Counsel (ACC) or the Compliance and Ethics Professionals Association (CEPA) offer resources, training, and networking opportunities for compliance professionals.
- Compliance software and databases: Several companies provide software solutions that track regulatory changes, automate compliance processes, and provide alerts on potential compliance risks.
Closing Summary
Building a successful compliance program requires a multifaceted approach, encompassing proactive planning, meticulous execution, and continuous improvement. This guide has provided a roadmap, outlining the key components of a robust system and offering practical strategies for implementation. By understanding the core principles, implementing effective policies, and leveraging available technology, organizations can navigate the complexities of compliance, mitigate risks, and build a foundation for sustainable growth and ethical operations. Remember, compliance is not merely a checklist; it’s a journey of continuous learning and adaptation.
FAQ Overview
What are the potential penalties for non-compliance?
Penalties vary widely depending on the specific regulation violated and the jurisdiction. They can range from financial fines and legal action to reputational damage and operational disruptions.
How often should compliance audits be conducted?
The frequency of audits depends on the industry, the complexity of the regulations, and the organization’s risk profile. Some organizations conduct audits annually, while others may require more frequent assessments.
How can we ensure employee buy-in for compliance initiatives?
Effective communication, clear expectations, and engaging training programs are crucial. Demonstrating the value of compliance to employees and fostering a culture of ethical conduct are key to achieving buy-in.
