Organizations run the risk of incurring losses arising from non-compliance with rules and regulations of the funders, host government laws, industry standards and their own organizational policies and procedures. This interactive session will provide participants with information on the various compliance related issues affecting Not for profit Organizations, and useful tips on ensuring effective compliance. You will leave this session better equipped to manage compliance requirements in a complex and ever-changing operating environment; through establishment of proper systems, structures and processes that suit the scale of operations of the organization. .

1. HUMENTUMCONFERENCE
Kampala, Uganda, March, 2019
March 27, 2019

2. Humentum Conference-Kampala, Uganda 2019
2
Building Blocks for Effective
Compliance

3. Session Objectives
 To provide participants with information on the various compliance related issues
affecting Not for profit Organizations, and useful tips on ensuring effective
compliance.
 Participants will leave session better equipped to manage compliance
requirements in a complex and ever-changing operating environment; through
establishment of proper systems, structures and processes that suit the scale of
operations of the organization
Humentum Conference- Kampala 2019

4. 1. What is Compliance?
2. Why Compliance?
3. Building Blocks
4. Conclusion
Humentum Conference- Kampala 2019
Session Outline

5. 5
What is
Compliance?
Humentum Conference- Kampala 2019
 Conforming to the rules, regulations
and policies.

6. 6
Why
Compliance?
Humentum Conference-Kampala 2019
 Building Trust.
 Solidifying relationship with donors
and other stakeholders
 Reputation
 Accountability

7. 7
Building Blocks
Humentum Conference – Kampala 2019
 People and culture
 Risk Assessment
 Compliance Plan and Monitoring
 Reporting/Disclosure Process
 Regulatory Compliance

8. 8
People and
culture
Humentum Conference – Kampala 2019
• Competency
• Skills and knowledge
• Attitude
• Transparency and accountability

9. 9
Risk
Assessment
Humentum Conference – Kampala 2019
• Risk register
• Risk management
• Evaluating operating environment

10. 10
Compliance
Plan and
Monitoring
Humentum Conference – Kampala 2019
• Compliance plan
• Areas of compliance
• Checklist for compliance
• Compliance Officer

11. 11
Regulatory
Compliance
Humentum Conference – Kampala 2019
• Knowledge on the laws, regulations, policies and proced
• Data base for compliance requirements
• Steps taken to comply

12. 12
Reporting/
Disclosure
Process
Humentum Conference – Kampala 2019
 Duty to report
 Reporting mechanism
 Policies and procedures

13. 13
Exercise
Humentum Conference- Kampala 2019
Instructions:
- Around the table, please read the scenario
and answer questions 1-3
- Appoint one of you to share the answers
from your group.
- This should take 5 minutes to discuss and
another 2 minutes for each group plenary
presentations.

14. 14
Conclusion
Humentum Conference- Kampala 2019
Tips for Effective compliance
 Written Policies, procedures and standards
 Effective training on compliance and Disclosure
process
 Develop a compliance plan
 Internal Monitoring and Auditing
 Enforcing standards through well-publicised
disciplinary guidelines
 Responding promptly to detected offences and
undertaking corrective actions
 Develop a compliance data base
 Right People and culture that supports effective
compliance

15. 15
Q & A
Humentum Conference- Kampala 2019