Surveys
SCCE periodically surveys the compliance and ethics community on a variety of trending topics. Explore the results of these surveys by using the links below.
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
Read MoreCompliance 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.
Read MoreSurvey by SCCE and HCCA Reveals Little Impact of Dodd-Frank Act
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.
Read MoreCompliance 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.
Read MoreSurvey 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.
Read MorePrivacy 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 MoreThe 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.
Read MoreThe 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
Read MoreThe 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.
Read MoreCompliance 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?
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