Surveys

The Economy Compliance and Ethics: 2011 Report

Each year the Society of Corporate Compliance and Ethics and the Health Care Compliance Association jointly conduct a survey of compliance and ethics professionals to determine the impact of the economy on compliance and ethics programs.

This year's study reveals a brightening picture with more survey respondents than ever reporting an increase in spending. Yet, dark clouds remain with many concerned that the economy still increases the risk of a compliance failure.

Compliance Under Stress

Compliance and ethics professionals are very much under stress. This survey reveals that new regulations, adversarial relationships and difficulty with groups such as sales are causing sleepless nights for most and leading a clear majority to consider leaving their jobs.

Download your copy here. It may not change your stress level, but it will help you see where you stand.

The passage of the Dodd-Frank Act led many to fear that compliance and ethics programs would be subverted by the law’s incentives.

A new survey conducted jointly by the Society of Corporate Compliance and Ethics and the Health Care Compliance Association reveals that organizations are generally not making big changes to their programs.

In fact, the data reveals two potential positives from Dodd-Frank:  more communication to employees about reporting opportunities, and more training of managers about how to handle allegations.

Download this free survey report 

2011 Social Media Survey
As social media usage continues to expand, business continues to struggle to find a way to manage inappropriate usage of these web sites.  To assess what is being done to meet this challenge, the Society of Corporate Compliance and Health Care Compliance Association fielded a survey among compliance and ethics professionals.  The results show that more companies are drawing the line, but many others are taking a slower approach.  And, when it comes to auditing and monitoring corporate policies, there is still a long way to go.

Download a complimentary copy of the report.

Privacy and the Compliance Office
Over the last several years sensitivity by both consumers and organizations to the need for enhanced oversight of data privacy has grown exponentially. To assess the role that the compliance team is playing in managing expanding privacy regimes, the Society of Corporate Compliance and Ethics and Health Care Compliance Association fielded a survey in January 2011. The purpose was to both identify compliance officers’ areas of responsibility as well as their assessment of the risk.  Read the survey results, click here.

Compliance Budgets and Staffing On the Upswing in 2010 Prognosis for 2011 is Bright

Since 2008 the Society of Corporate Compliance and Ethics and Health Care Compliance Association have been annually surveying compliance and ethics professionals to determine the impact of the economy on budgets and staffing.

In a newly released survey conducted in the fourth quarter of 2010, the data reveals greater feelings of security by compliance professionals, accompanied by rising budgets and staffing levels.  Download the survey to see:

• Trends in spending and staffing in 2010 vs. 2009
• Anticipated 2011 staffing and spending changes
• Management attitudes towards compliance and ethics
• Perceived job security by compliance and ethics professionals

Download this free survey report 

Survey Calls for More Data from Department of Justice

A new survey, fielded jointly by the SCCE, Ethics Resource Center and the Ethics and Compliance Officer Association, reveals the depth of the demand for more data from DOJ on the consideration given ethics and compliance programs in enforcement decisions.

“Compliance and ethics professionals needs this information to demonstrate to their leadership that the United States Sentencing Guidelines Chapter 8 actually means something,” said Roy Snell, Chief Executive Officer of the Society of Corporate Compliance and Ethics. Chapter 8 of the guidelines governs the punishment of an organization when it is found guilty of criminal conduct.  However, if the organization can demonstrate it had an effective compliance program in place, it can substantially mitigate the impending fine.

• Additional data ethics and compliance professionals would like the DOJ to make public include:
• Descriptions—without identifying information—of individual cases in which ethics and compliance programs were a mitigating factor in enforcement decisions.
• Information about what specific aspects of an Ethics and Compliance program factored into enforcement decisions.
• Information about the benefits of an effective Ethics and Compliance program, such as helping avert a decision to prosecute or avoidance of other sanctions such as appointment of a monitor.

Download this free survey report. 

The Evolving Role of the Chief Compliance and Ethics Officer
For more than fifteen years the role of the compliance and ethics officer has been growing.  What was once an area of responsibility for a few individuals has grown to a full-fledged profession. 

Recent changes to the US Sentencing Guidelines are elevating the importance of the compliance officer even higher.  At the same time, there has been a growing movement, led in many ways by the US government, to move compliance out of the general counsel’s office and make it a separate function.  Such has been the case with several high profile settlements.

Yet, this also raises the risks for compliance officers.  They may appear to senior leadership to be a potential challenge to their control of what the board sees.  To assess the impact of these forces have had on the compliance office, and the protection being afforded to the compliance officer, the SCCE and HCCA jointly fielded a survey of compliance and ethics professionals.  The research focused on the protection accorded through severance agreements.  It also examined where in the organizational chart the compliance office is located. Download Survey Results 

The Importance of Ethical Culture: Increasing Trust and Driving Down Risks

We like to believe that, as adults, we make decisions independently and are far beyond succumbing to peer pressure. But social science research tells us that is simply not the case. Study after study confirms it: the vast majority of people act based on the circumstances in their environment and the standards set by their leaders and peers, even if it means compromising their personal moral ideals. "Good" people do bad things if they are put in an environment that doesn't value values, if pressured to believe that they don't have any choice but to get the job done—whatever it takes.

This report, sponsored by the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA), is published by the Ethics Resource Center (ERC). Download a Copy Now!  Download Survey Results 

The Relationship Between the Board of Directors and the Compliance and Ethics Officer
The proper relationship between the board and the chief compliance and ethics officer (CECO) is critical to an effective compliance program. Without board access, the compliance officer may be impended in his or her efforts to prevent, identify and correct wrongdoing, especially if laws or policies are violated by senior management. Download Survey Results

Anticipating and Planning for the Next Big Compliance Issue:
Results of the 2009 SCCE Interactive Workshop Series

Over the last few years the compliance community has had to adjust to success waves of changes in priorities as “new” compliance issues are identified.  With each new issue that arises compliance teams are forced to scramble to put in place programs to manage this new, suddenly hot risk area.  Training must be developed, broad communication plans are put in place, systems are examined, controls are implemented and tested.  Yet, each of these responses are reactive, which means there is a gap between the controls in place and the risks that exist.

To help change the dynamic the Society of Corporate Compliance and Ethics conducted a series of interactive workshops in 2009 to:

1. Identify what the next big issue is likely to be
2. Determine how to appropriately respond to the issue when it arises

There was also a third, and perhaps more important purpose for these sessions:  to find the common elements of the solutions developed to create a framework that compliance professionals could use to meet virtually any new challenge.  Put another way, the goal was to answer the question:  how can I be prepared no matter what new risk comes my way?

Download Survey Results to learn what issues were identified and ideas for how to manage them.

The Economy, Compliance and Ethics:  2010 Report
What has been the impact of the economy on compliance and ethics?  And what will it be in 2010?  This survey reveals how compliance spending and staffing were impacted in 2009 and expectations for 2010. Download Survey Results

Compliance and ethics officer positioning: A benchmarking survey
In the recent Corporate Integrity Agreement (CIA) between Pfizer and the Office of the Inspector General of the Department of Health and Human Services, Pfizer agreed that its chief compliance officer will now report directly to the CEO; will neither be nor be subordinate to the general counsel or CFO; and will make periodic reports to the Audit Committee of the board. Most compliance professionals agree that the appropriate positioning of the compliance and ethics (C&E) officer within an organization is critical to the success of a program. But, does it really harm a compliance and ethics program when the general counsel is also the head of Compliance and Ethics? Or is Legal the appropriate department for a function that has the primary purpose of preventing legal violations? And how important is it that the compliance and ethics officer report directly to the CEO?

Download Survey Results 

Compliance, Facebook, LinkedIn and Twitter
To help determine what employers are doing to manage worker usage of social networking sites, the SCCE and HCCA conducted a survey among compliance and ethics professionals.  The results show that while one-fourth of companies have already had to discipline an employee, only 10% have a policy addressing social network sites.  In addition, monitoring of online activity is still underdeveloped.

Download Survey Results 

Compensation, Performance, Compliance and Ethics

Companies for years have sought to align their compensation, incentive, and performance evaluation programs with individual and corporate goals. New research among compliance and ethics professionals conducted jointly by the Society of Corporate Com­pliance and Ethics and the Health Care Compliance Association reveals that when it comes to compliance and ethics metrics, very little has been done to incent ethical behavior.  Download the survey results.

Download Survey Results 

Corporate Gifts & Entertainment A Survey of Practices

Despite the reports of lavish executive pay, when it comes to entertainment and gift giving, the business world may be far less generous than people think.   A survey of compliance and ethics professionals revealed that, on the whole, business is fairly restrictive of the gifts employees can give and receive and how they can entertain.  About two-thirds (63%) either ban gifts to employees or require that they be modest or at a price less than $50.  And, with the comparable numbers for entertainment comparable at 62%, the data does not suggest that business is on an entertainment spree.

Download Survey Results 

Third Party Risk Management:  A Long Way To Go

Despite the proliferation of third party relationships in business, relatively few companies set ethics and compliance expectations on the companies that they rely on to act on their behalf.

The SCCE survey found that only about half of companies (47%) disseminate their internal, employee code of conduct to third parties.  Just 26% require that third parties certify to their codes of conduct, and only 17% of organization have a code of conduct that is applicable to third parties.

These relatively weak controls pose a great risk in the current enforcement environment.

click here for more

2008 Economy on Compliance: Legal and Ethical Violations Risks Seen Rising, But Not Resources to Control the Risk

Get Results of Survey conducted by the Society of Corporate Compliance and Ethics and Health Care Compliance Association

A December 2008 survey conducted by the Health Care Compliance Association (HCCA) and Society of Corporate Compliance and Ethics (SCCE) reveals that the declining economy may be increasing the risk of legal and ethics violations in business.  In addition, this increased risk is occurring at a time when budgets to manage those risks are expected to at best hold steady, if not decline. click here for more

Financial  Disclosure   2008

A Survey of How Organizations Implement Financial Disclosure for Employees
2008 Financial Disclosure Benchmarking Report that represents a survey of how organizations manage conflicts of interest through financial disclosure and compliance questionnaires. Click here

Survey of Investors and Professonal Financial Advisors on Corporate Governance and Reputation Issues – October 2007, by FTI Consuting and FD Financial Dynamics. Click here.

 Ethics Resource Center’s 2007
National Business Ethics Survey 
an Inside View of Private Sector Ethics
Fifth in a longitudinal study of U.S. workplaces

Ethics Resource Center Paper

Leading Corporate Integrity: Defining the Role of the Chief Ethics and Compliance Officer

Two Conference Board Research Reports

Universal Conduct
An Ethics and Compliance Benchmarking Survey
By Ronald E. Berenbeim

Resisting Corruption
How Company Programs Are Changing
By Ronald E. Berenbeim

The Conference Board Creates and disseminates knowledge about management and the marketplace to help businesses strengthen their performance and better serve society.

Working as a global, independent membership organization in the public interest, they conduct research, convene conferences, make forecasts, assess trends, publish information and analysis and bring executives together to learn from one another.

An authority on business ethics and corporate governance issues, Mr. Berenbeim has written 35 Conference Board studies. Mr. Berenbeim is currently primary researcher and director for the Conference Board Working Group on Global Business Ethics and Principles.

For more information on the Conference Board www.conference-Board.org

The Network, Inc. and CSO Executive Council Announce First-Ever Hotline/Helpline Benchmarking Report

—The Network, Inc., the leading provider of ethics and compliance hotline programs for nearly 25 years, and the CSO Executive Council, an international professional membership organization for leading senior security executives, today announced the completion of the 2006 Corporate Governance and Compliance Hotline Benchmarking Report. This is the first ever large-scale hotline study of its kind. The study summarizes the hotline data compiled from nearly 200,000 reports received over a four-year period from more than 500 client organizations of The Network.

For more information regarding this benchmarking report, please contact The Network via email at benchmarking@reportline.net

America'S Top 10 Rated Companies for Social Responsibility

As published in Fortune Magazine March 2004.

1. United Parcel Service
2. Alcoa
3. Washington Mutual
4. BP
5. McDonald's
6. Procter & Gamble
7. Fortune Brands
8. Altria (Philip Morris)
9. Vulcan Materials
10. American Express

.Fortune subscribers can view the complete list by visiting Fortune's Web site.

Best in Show Cross-Industry Corporate Compliance Survey (PDF)

Ethics Programs . . . The Role of the Board: A Global Study

Authors: Jeffrey M. Kaplan, Ronald E. Berenbeim
Publication Date: February 2004
Report Number: R-1344-04-RR
This report, based on a survey of 165 companies worldwide, is a response to global interest in discussing the proper role for company boards in the design, implementation, and monitoring for effectiveness of company ethics programs and the need for internal board processes to assure stakeholders of director adherence to ethical standards.

• Board Involvement in Ethics Programs: Not a New or Distinctly U.S. Phenomenon
• Board Oversight of Ethics Programs: Roles Vary Worldwide
• Board Review of Ethics Programs
• Ensuring the Board's Ethical Conduct
• Increasing Board Involvement Contributes to Program Effectiveness

Executive Summary (7 pgs)     Price: $25.00

Research Report (35 pgs)       Price: $140.00

Click here to purchase this report in hard copy or to download instantly in PDF format.