Communication
OIG Guidance
The OIG encourages the establishment of a procedure so that personnel may seek clarification from the compliance officer or members of the compliance committee in the event that any confusion or question arises with regard to a policy or procedure.
Approachability
Compliance professionals can apply design to create an atmosphere that makes them more approachable. For example, the compliance officer should not be located within the offices of other corporate executives, but rather in an office space that is more accessible to allow for more privacy and to lessen the fear of professional retaliation.
Routine
It is also important to design a routine as a compliance professional of walking through different departments to keep a rapport with employees so that they may approach with questions and concerns freely to aid in the design methodology, while trusting that the compliance department or professional will be diplomatic, discreet, and helpful. By being separate from operations, compliance professionals may foster objective, independent investigations and assessments. Building a reputation as a compliance officer who is independent and objective also contributes to creating effective lines of communication.