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You are here : Resources  >  HCCA Resources  >  Pamphlets & Whitepapers
Free Pamphlets & Whitepapers

Measuring Compliance Program Effectiveness: A Resource Guide

Measuring Compliance Program Effectiveness: A Resource GuideOn January 17, 2017, a group of compliance professionals and staff from the Department of Health and Human Services, Office of Inspector General (OIG) met to discuss ways to measure the effectiveness of compliance programs. The intent of this exercise was to provide a large number of ideas for measuring the various elements of a compliance program. Measuring compliance program effectiveness is recommended by several authorities, including the United States Sentencing Commission (see, Chapter 8 of the United States Sentencing Guidelines). This list will provide measurement options to a wide range of organizations with diverse size, operational complexity, industry sectors, resources, and compliance programs. 


Measuring Compliance Program Effectiveness: A Resource Guide

Code of Ethics for Health Care Compliance Professionals

HCCA code of ethicsHealth care compliance programs are ultimately judged by how they affect, directly or indirectly, the delivery of health care to the patients, residents, and clients served by the health care industry and, thus, by how they contribute to the well-being of the communities we serve. Those served by the health care industry are particularly vulnerable, and therefore health care compliance professionals (HCCPs) understand that the services we provide require the highest standards of professionalism, integrity, and competence. The following Code of Ethics expresses the profession’s recognition of its responsibilities to the general public, to employers and clients, and to the legacy of the profession.

The Code of Ethics consists of two kinds of standards: Principles and Rules of Conduct. The Principles are broad standards of an aspirational and inspirational nature, and as such, express ideals of exemplary professional conduct. The Rules of Conduct are specific standards that prescribe the minimum level of conduct expected of each HCCP. Compliance with the Code is a function both of the individual professional and of the professional community. It depends primarily on the HCCP’s own understanding and voluntary actions, and secondarily, on reinforcement by peers and the general public. | 888-580-8373


Code of Ethics for Health Care Compliance Professionals

A Compliance & Ethics Program on a Dollar a Day: How Small Companies Can Have Effective Programs

A Compliance & Ethics Program on a Dollar a Day cover

By Joseph E. Murphy, JD, CCEP
Director of Public Policy
Society of Corporate Compliance and Ethics 

Contrary to popular belief, small companies can develop a compliance program very affordably. In this short, insightful brochure you’ll find practical ideas for helping you build an effective compliance and ethics program. And, none of them will break the bank.

Download the brochure to learn how simple it can be to build a compliance program at a small company. And, if you’re at a medium or large company, the brochure can help stimulate new ideas for your compliance program as well.

Arabic Version | Chinese Version English Version | French Version | German VersionRussian VersionSpanish Version




Using Incentives in Your Compliance and Ethics Program

Using Incentives in Your Compliance and Ethics Program cover

By Joseph E. Murphy, JD, CCEP
Director of Public Policy
Society of Corporate Compliance and Ethics

Incentives help drive behavior!

While incentives are common in businesses, homes, schools and other contexts, the use of incentives in the context of compliance and ethics programs has been slow to catch on. This has been true because many compliance and ethics officers don’t understand that “appropriate incentives” are a required element of an effective compliance and ethics program as articulated under the Federal Sentencing Guidelines and because too many in management and on boards believe that most employees will naturally “do the right thing.” Unfortunately, the evidence suggests just the opposite. Without adequate controls and incentives, most of us will (at least occasionally) do the wrong thing.

With the growing distrust of business and the increasing levels of misconduct, it will become critically important for businesses and other organizations to do a better job of using incentives as a tool to drive the kind of behavior they expect of employees. By developing appropriate compliance and ethics incentives, management and boards can demonstrate their commitment to compliant and ethical conduct in the organization; they can significantly reduce the risk of illegal or unethical conduct; and they can fulfill their fiduciary obligations to ensure that the organization has an effective compliance and ethics program.

Mr. Murphy’s paper on aligning incentives provides a road map for organizations which understand the incentive imperative but have been struggling with execution. It is a must read for every compliance and ethics officer, as well as for board members and management who are concerned about the impact of non-compliance. I have heard many board members and managers tell me that they are serious about compliance and ethics. The adoption of some of the incentives described in this paper will give those board members and leaders a chance to prove that commitment!

Using Incentives in Your Compliance and Ethics Program (PDF)

Third-Party Essentials: A Reputation/Liability Checkup When Using Third Parties Globally

Third-Party Essentials cover

By Marjorie W. Doyle, JD, CCEP-F
with input from Diana Lutz

Not too long ago, it was the usual practice of organizations to outsource work without a second thought. It is a strategy to solve head count issues, circumvent internal processes, or staff up quickly. It often makes good business sense to outsource when the make/buy analysis says “cheaper to buy.”

What has changed drastically, though, is the analysis of what is cheaper. Gone are the days when organizations could wash their hands of liability or damage to reputation from outsourced work due to ethics and compliance failures. Bottom line: Your third party’s actions on your behalf are, to a significant extent, your responsibility, just like those of your permanent employees. This is true in many risk areas, but has become equally important in relation to anti-corruption laws in the U.S., the U.K., and elsewhere in the OECD (Organisation for Economic Cooperation and Development), which apply to situations worldwide if the organization does business in any of these countries.

There is no better time than now to focus on your third parties—who they are and whether you have effective processes to control their activities on your behalf.

English | Chinese | Portuguese | Russian | Spanish



Compliance & Ethics Program News from Paris: Have the "Global Sentencing Guidelines" Arrived?

Compliance & Ethics Program News from ParisBy Joseph E. Murphy, JD, CCEP
Director of Public Policy Society of Corporate Compliance and Ethics 

As the global economy evolves, there will be a simultaneous evolution of the international regulatory environment and the implementation of compliance programs. There will be a desire for regulatory consistency. There will be a desire for fairness. Of course, this will be difficult to accomplish given the cultural and regulatory diversity among countries. It will be particularly difficult without the effort of groups like the OECD and the effective use of compliance programs. The Society of Corporate Compliance and Ethics is poised to help with the effective implementation of compliance and ethics programs. OECD and other organizations are making an effort to help provide a framework to address the need for fairness and consistency. This is a very exciting time in our history. We are witnessing the evolution of significant and complex events. We will all look back years from now and acknowledge the tireless work of those who dared to take on this enormous task, such as the OECD and the SCCE.