Catherine Boerner (cboerner@boernerconsultingllc.com) is President of Boerner Consulting LLC, New Berlin, WI.
I really like sending out a compliance survey when performing a compliance program effectiveness review. It is even better when the health system has already been measuring the effectiveness of its program with a compliance survey over the years and I can see how it has benchmarked against itself. It is a great way to show the board the awareness and trust in the program is high or increasing from year to year. Even just the exercise of sending a compliance survey creates awareness of the program, because employees may look the “correct answers” up. It can also help employees refocus on their responsibilities to report compliance concerns so risks to the organization can be addressed internally and timely before something has been going on inappropriately for a long time without being detected. No one likes surprises, and we are all on the same team.
I like to have at least one question to measure each element of the program. For example:
-
Does the organization have a compliance officer? (Yes/No/Don’t know)
-
Does the code of conduct cover general ethical and regulatory principles applicable to all members of the organization? (Yes/No/Don’t know)
-
Can you readily access or reference policies and procedures? (Yes/No/Don’t know)
-
Is the training that you receive sufficient to address compliance requirements for your job? (Yes/No/Don’t know)
-
Does the organization have a compliance reporting hotline or other way to report concerns anonymously? (Yes/No/Don’t know)
-
Do you feel you can freely report ethics and compliance issues without fear of retaliation from managers? (Yes/No/Don’t know)
-
Does management and/or the compliance officer follow up on reports of compliance concerns and take appropriate action whenever necessary? (Yes/No/Don’t know)
-
Is poor performance of compliance responsibilities grounds for disciplinary action? (Yes/No/Don’t know)
Another question to measure culture is:
-
Do you believe this is an ethical organization that is committed to complying with the laws, rules, and regulations that govern its operations? (Yes/No/Don’t know)
As stated in the Evaluation of Corporate Compliance Programs, updated in June 2020:[1]
One hallmark of an effective compliance program is its capacity to improve and evolve.…Accordingly, prosecutors should consider whether the company has engaged in meaningful efforts to review its compliance program and ensure that it is not stale. Some companies survey employees to gauge the compliance culture and evaluate the strength of controls.
Employee surveys are a great way to gauge the compliance culture and demonstrate knowledge of the compliance program.