Kusserow on Compliance: Evidencing compliance culture is a major focus of the DOJ compliance guidance

“Has the company surveyed employees to gauge the compliance culture”

The DOJ 2020 Evaluation of Corporate Compliance Programs calls for prosecutors to “assess whether the company has established policies and procedures that incorporate the culture of compliance into its day-to-day operation.” The effectiveness of a compliance program requires a high-level commitment by company leadership to implement a culture of compliance from the middle and the top. Additionally, “beyond compliance structures, policies, and procedures, it is important for a company to create and foster a culture of ethics and compliance with the law at all levels of the company.” Prosecutors are told to review the company’s culture of compliance and give consideration to the following questions:

  1. “Has the company surveyed employees to gauge the compliance culture”
  2. “How often and how does the company measure its culture of compliance?”
  3. “What steps has company taken in response to its measurement of compliance culture?”

The challenge is finding the best method by which a compliance culture survey can be administered, analyzed, and evidence a positive compliance culture. This also means having results which are convincing and credible to both those surveyed and those who review the results. One answer is to employ the Compliance Benchmark Culture Survey© which has been employed since 1993 by hundreds of health care organizations and entities with survey population of over three quarters of a million employees. It is the only such survey focused exclusively on the health care sector. It is time tested, reliable and provides credible results meeting the tests of validity in the accuracy of measurement and reliability with the quality of the data obtained and overall survey viability. Unlike the Compliance Knowledge Survey© that uses dichotomous “yes-no” answers, a culture survey uses a Likert Scale where respondents specify their level of agreement or disagreement to a question or statement, thus capturing the intensity of their feelings for a given item. As such, using this type of survey applies when trying to gauge attitudes and perceptions of employees regarding the compliance program.

 

Compliance Benchmark Culture Surveys© are a very cost-effective method and excellent way to gather lots of information from many people. The cost of a most surveys is approximately $5,000 – 7,000.  This includes a 30 page plus report that provides a “deep-dive’” data analysis and interpretation of results for individual questions, panels, or overall scoring with suggested actions for making improvements. It can also be used for internal benchmarking of current results as a baseline against which future surveys can be benchmarked, as well as for external benchmarking against the universe of organizations using same using the same survey instrument.

 

For more information on this topic, contact Richard Kusserow at rkusserow@strategicm.com.

 

Richard P. Kusserow served as DHHS Inspector General for 11 years. He currently is CEO of Strategic Management Services, LLC (SM), a firm that has assisted more than 3,000 organizations and entities with compliance related matters. The SM sister company, CRC, provides a wide range of compliance tools including sanction-screening.

Connect with Richard Kusserow on LinkedIn.

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Copyright © 2020 Strategic Management Services, LLC. Published with permission.