At a recent gathering of senior-level corporate compliance, audit, risk and ethics
officers, a survey was taken to determine how many were measuring their
compliance records from year to year. It turns out that almost 1/3 of the
primarily U.S.-based companies do not measure the effectiveness of their
compliance programs at all.
This
is pretty astounding considering how great the risks of non-compliance can be.
Any
training program should be measured before, during and after to learn whether
or not it was successful. Did the program achieve its goals? Did the behavior
of targeted employees actually improve on the job? Did the behavior change
impact performance in the way that you wanted it to?
And
so it should be with corporate compliance training. Responsible executives need
to know that their workforce is operating within the law and following legal
regulations. There should be annual reviews of the results from internal
audits, updated rulings, and ethics and customer complaints. This is the only
way to zero in on any patterns of compliance concern and proactively protect
individual employees as well as the overall organization from undue risk.
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