ETHICS & COMPLIANCE WORKSHEET

Compliance KPIs Worksheet

The Compliance Metrics That Reveal Your Program’s Strengths and Weaknesses

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Metrics and data analysis are an essential part of measuring your program’s performance and tracking progress over time. The KPIs you track indicate what’s most important to your compliance team—after all, what can’t be measured, can’t be managed. Use this worksheet to understand what data you currently have, what you’re lacking that may be important, and what certain data points may indicate about cultural health in your organization. Below are just a few of the KPIs we cover in this worksheet.

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Employee Ethics Investment

Company investment in ethics & compliance relative to your peers and ethically led companies

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Substantiation Rate

Employee level of understanding of types of issues to report. Reduces frivolous cases

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Resolution Time

Elapsed time to close a case. Timely closure reduces risk of investigation being compromised and demonstrates organizational justice

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