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Category: Methodologies

In the posts collected here we will examine a) the principal tools utilized in conducting assessments – interviews (both of client personnel and others), documents, focus groups and surveys; b) different conceptual frameworks for assessments, such as those offered by “maturity models,” as well as the utilization of survey data and other research in assessments; c) the use of the attorney-client privilege in assessments; d) the scope and size of assessments; and e) various considerations in drafting reports and formulating findings and recommendations.

Conducting Program Assessments Using the Department of Justice’s New Evaluation Standards

The modern era of corporate compliance began on November 1, 1991, when the Federal Sentencing Guidelines for Organizations (the “FSGO”) – the first set of general standards for assessing the efficacy of what were then called “program[s] to prevent and

Using behavioral ethics in compliance program assessments

Behavioral economics is a school of social science that teaches that we are not as rational as we think. The application of that learning to the realm of ethics is sometimes called “behavioral ethics,” which is a social science that

Assessments and Confidentiality

A threshold issue which often arises in conducting C&E program assessments is to what extent the process and report should be treated as confidential. There are two components to this question, the first of which concerns the use of the

  • Assessment mandates and benefits
  • Methodologies
  • Risk assessment
  • Program structure
  • Standards and procedures
  • Training and communications
  • Auditing, monitoring, and other “checking”
  • Reporting procedures, including helplines
  • Investigations
  • Discipline and other remedial measures
  • Personnel measures
  • Culture
  • Guest Posts
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