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Identifying, Measuring and Improving Your Integrity and Compliance Culture

Recorded on: May. 1, 2018
Running Time: 01:03:35
Taken from the Audio-Only Briefing Recorded April 24, 2018 in New York
Identifying, Measuring and Improving Your Integrity and Compliance Culture [01:03:35]

The former (and first) compliance counsel to the United States Department of Justice, Hui Chen, recently observed in a Harvard Business Review article, Why Compliance Programs Fail, that compliance is properly understood as a behavioral science. This insight enables important opportunities in how we think about, design, and measure the effectiveness of compliance programs. This Briefing builds on that opportunity by focusing on the foundation of human behavior: culture. But what is culture, really? How do you determine what your organization’s culture is? And how do you measure, compare, and most importantly, improve it? Slogans, awareness campaigns, and events are great, but lean-performing organizations and skeptical regulators require more rigor, analysis, and metrics.

This Briefing will demonstrate innovative tools for defining, measuring, and systematically improving your organization’s compliance culture. The presenters will draw on their diverse, hands-on experience as social scientists, organizational leaders, in-house counsel and compliance professionals and culture analysts to present an interdisciplinary perspective and describe application of proven strategies and methods to address real-world issues. The presentation is intended to provide attorneys, compliance and human resources professionals, and business owners and leaders with practical perspectives and tools to identify, measure, and improve their organizations’ integrity and compliance culture. 

This presentation will address the following issues: 

  • What is organizational culture, and what is the relationship between organizational culture, compliance program effectiveness, and the federal sentencing guidelines?
  • How can compliance culture measurement be leveraged to address the questions of regulators, investigators, and Inspector Generals, and demonstrate compliance program performance?
  • What is the effect of organizational culture on compliance performance?
  • How can we use data to measure organizational culture and its impact on compliance performance?
  • How can organizational culture be analyzed and quantitatively benchmarked?
  • How can an organization’s compliance and integrity culture be improved?
  • How can these methods and tools be utilized to build more effective, efficient, continuously improving compliance programs and performance?
  • How can these insights be effectively communicated to your organization’s leadership and key stakeholders? 


Presentation Material

  • Identifying, Measuring, and Improving Your Integrity & Compliance Culture
    Randall Cook, Gerard F. McDonough, F. Lisa Murtha
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    PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


    U.S. MCLE States

    Alabama:  PLI’s MP3 audio segments qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

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    Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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    HR Recertification (HRCI):  PLI’s MP3 audio segments may fulfill HR credit requirements.

    SHRM Recertification (SHRM):  PLI’s MP3 audio segments qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

    Compliance Certification Board (CCB):  PLI’s MP3 audio segments qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

    Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s MP3 audio segments are not approved for CAMS credit.

    New York State Social Worker Continuing Education (SW CPE):  PLI’s MP3 audio segments are not approved for SW CPE credit.

    American Bankers Association Professional Certification (ABA):  PLI’s MP3 audio segments may fulfill ABA credit requirements.

    Certified Financial Planners (CFP):  PLI’s MP3 audio segments are not approved for CFP credit.

     

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