Which is the appropriate action when developing a compliance plan?

The appropriate action when developing a compliance plan is to monitor compliance through independent evaluations. This is critical because independent evaluations ensure that compliance measures are being followed effectively and that any issues can be identified and addressed promptly. By utilizing an external or unbiased perspective, organizations can maintain objectivity and enhance the integrity of their compliance efforts. These evaluations can include audits, assessments, and reviews that provide insights into the effectiveness of the compliance program and highlight areas that need improvement.

Incorporating independent evaluations into a compliance plan helps to establish accountability and fosters an environment of continuous improvement. It emphasizes the importance of proactive compliance management and reinforces the commitment of the organization to adhere to regulatory requirements and internal policies. This strategic approach ultimately helps mitigate risks, protect the organization from potential violations, and promote a culture of ethical behavior.

In contrast, suggesting that employees ignore minor violations undermines the foundation of a compliance culture and can lead to more significant issues over time. Limiting oversight to management creates a risk of complacency and may result in a lack of transparency, which can hinder the effectiveness of the compliance program. Providing minimal training for staff would also be detrimental, as comprehensive training is essential to equip employees with the knowledge and tools necessary to comply with relevant laws and regulations effectively.