Compliance Communication:
Quick-Start Guide
with Planning Templates
Compliance Communication Planning
Compliance Wave Members should take these steps:
1.
Identify your communication channels
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–
2.
As part of your overall Compliance program, identify key communication topics each quarter
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3.
Supplement with just-in-time messaging from the Library as necessary
Use the sample templates below (or create your own) for actionable, 1-3 year communications
plan, quarter by quarter
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–
4.
You may have more than you think! Leverage email, intranet sites, newsletters, the Learning Management
System, marketing automation platforms, meetings, bulletin boards, etc.
If needed, start with the “easy” (email, intranet, bulletin boards) and add over time
Plan out “waves” of topics appropriate to your communications culture, but don’t be afraid to introduce
“pattern interrupts” that get attention
Compliance Wave is designed to help employees associate compliant behavior with feelings of pleasure
and positivity. Don’t overdo it, but don’t skimp either.
Build with consistency and work your plan
What we can learn from Marketing principles
Where Comprehensive
Product Marketing uses…
Comprehensive Compliance
Communications can use…
Web and Email Strategies
•
•
Content-rich intranet/SharePoint sites
Email marketing tools (e.g. Constant Contact)
Public Relations
•
Company Newsletters/Blogs
Print Advertising
•
Ads in Company Publications
Television Advertising
•
Short Videos on Monitors/Kiosks/LMS
Product Placement
•
Orientation, Staff Meetings, Safety Briefings, etc.
Dealer Meetings and Promotions
•
Manager’s Training, Tone-at-the-Middle Initiatives
Billboards
•
Bulletin Boards
Trade Shows
•
Kiosk or Table at Company Events
Direct Sales
•
Instructor-Led, Manager-Led, Webinar, One-on-one
meetings
Why “Waves”?
We know from Marketing and Advertising
experts that it takes between 9 and 21
“impressions” before a consumer is ready to
buy. This is a significant indicator of how
challenging it can be to elicit behavior
change (even when that consumer wants to
buy in the first place!).
For Compliance Professionals (and their
partners in HR, Learning & Development, and
Corporate Communications), using multiple
modes of communication–over multiple
channels--to reinforce your core training and
policy efforts is essential to guiding the
employee toward compliant behavior and
ultimately allowing you to better defend your
program.
“Waves” of crisp, memorable, and topical
communication let you deliver messages that
are easy to deploy, easy to absorb, and fortify
your core training and policy efforts.
Identify Existing Communication Channels
Channel
Frequency
Responsibility
Comments
Company Newsletter
Weekly
Public Affairs
Deadline: Wednesday of week prior to
publication
Company Magazine
Quarterly
Communication
Deadline: 5th of month prior to publication
Email – with or without
tracking
On Going
IT
Segmented by Managers and Non-managers
Compliance
Intranet/SharePoint Site
Updated Quarterly
Compliance Office
Deadline: 15th of first month of quarter
Compliance Blog
Biweekly
Compliance Office
400 Words Max. Deadline: Thursday before live
date
TV Monitors/Kiosks
Monthly
Programming
Corporate
Communications
Deadline: 1 week prior to end of month
Learning Management
System
Ongoing
Learning &
Development
Periodic items that require tracking. 2 weeks
lead time to embed items into SCORM wrapper
Manager’s Staff Meetings
(Tone at the Middle
Initiative)
Quarterly
Managers/
Supervisors
30 minutes on key compliance issue. Distribute
materials on 1st of second month of each quarter
Compliance Summit
Yearly
Compliance Office
Regional Compliance Liaisons
Facility Bulletin Boards
Updated Quarterly
Communications
Email files: print locally; Send 10th of first month
of quarter
Sample Communication Plan – 3rd Quarter (Conflicts of Interest)
Channel
Element
Publication Date
Newsletter
Ask the Compliance Officer Column
1st and 15th. Due 7 days in advance to
Public Affairs
Magazine
Quarterly Compliance Article with
Cartoon Strip
Deadline: July 5
Bulletin Boards in All Locations.
Via email to Managers for local
printing
Poster
Distribute via email: July 10
TV Monitors/Kiosks
Monthly Video
Deadline: July 24, Aug 23, Sept 24
Intranet/Sharepoint
Blog with cartoon
Deadline: Alternating Thursdays
Learning Management System
SCORM wrapped mini-training
module
Ongoing. 2 weeks for SCORM wrapper
and launch
Quarterly Manager’s Staff Meeting
Tone-at-the-Middle Initiative
Distribute TATM Materials: August 1st
Sample Communication Plan – 4th Quarter (Bribery/Corruption)
Channel
Element
Publication Date
Newsletter
Ask the Compliance Officer Column
1st and 15th. Due 7 days in advance to
Public Affairs
Magazine
Quarterly Compliance Article with
Cartoon Strip
Deadline: October 5
Bulletin Boards in All Locations.
Via email to Managers for local
printing
Poster
Distribute via email: October 10
TV Monitors/Kiosks
Monthly Video
Deadline: Oct 24, Nov 23, Dec 20
Intranet/Sharepoint
Blog with cartoon
Deadline: Alternating Thursdays
Learning Management System
SCORM wrapped mini-training
module
Ongoing. 2 weeks for SCORM wrapper
and launch
Quarterly Manager’s Staff Meeting
Tone-at-the-Middle Initiative
Distribute TATM Materials: October 1st
Compliance Wave, LLC
Contact us for more best practices in
Compliance Communication
• phone: (732) 704-9220
• email: info@compliancewave.com
• web: www.compliancewave.com