2006 profile of health care compliance officers2006 ...€¦ · 2006 profile of health care...

82006 Profile of Health Care Compliance Officers2006 Profile of Health Care Compliance Officers

2006 Profile of Health Care Compliance Officers

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IntroductionThe 8th Annual Survey – 2006 Profile of Health CareCompliance Officers is another important service provided by the Health Care Compliance Association.The information contained in this report represents themost complete, accurate and up-to-date informationon compliance training, budget, staff, staff education,and compensation.

Survey MethodologyAs in past years, the survey instrument was reviewedand changes were made to reflect the current issues inhealth care compliance. In December 2005, an e-mailwas sent to HCCA members containing a link to theonline survey form. By late January 2006, a total of640 completed survey forms (up from 624 last year)were received representing a 20% response rate. Allcompleted survey forms were sent anonymously toIndustry Insights, Inc., a third-party research vendorthat specializes in these types of studies. All data itemswere checked by a specially designed computer edit-ing process. The results were tabulated in March 2006.

Compliance TrainingNinety percent of this year’s respondents (up from 87%last year) conduct regular compliance update trainingbeyond the initial training provided. Nearly three out offour (71%) respondents report that the typical employ-ee receives compliance training annually and half reportthat, on average, an employee spends between one andthree hours a year in compliance training.

Nearly all (94%) include compliance training as a component of new employee orientation and a similarpercentage (92%) include compliance awareness training for all employees. Other common componentsof the compliance training program include topic specific or in-depth training that is separate and inaddition to compliance awareness training (reported by77% of respondents) and compliance training for man-agers/leaders (reported by 68% of respondents).

The most common methods of compliance awarenesstraining were instructor-led classroom training with the compliance officer as instructor (72%), computer-based/Web-based training (65%), and instructor-ledclassroom training with other instructors (58%). Themost common methods of topic-specific or in-depthtraining were instructor-led classroom training with thecompliance officer as the instructor (58%), instructor-led classroom training with other instructors (58%), andcomputer-based/Web-based training (49%).

Only 30% of the respondents reported having a lineitem in the compliance budget for the direct costs oftraining. Seventy-five percent reported that the directcost for compliance training gets absorbed by depart-mental budgets other than compliance.

Compliance ProgramNearly 90% of the respondents indicated that the compliance program was comprehensive for the entireorganization. The three most common areas includedin the compliance program are privacy/informationsecurity (83%), coding and billing (81%), and conflictof interest (80%). During the next three years, themost common goals for the compliance program are:monitoring/auditing (81%), education/training (73%),and conducting effectiveness evaluations of the compliance program (70%).

Two-thirds (65%) reported that their compliance officewas a stand-alone department with budgetary responsi-bilities and staff. The typical compliance office report-ed three full-time equivalent (FTE) employees werepaid out of the compliance department budget.

Compliance OfficerOver half of the reporting organizations had a female

Odell Guyton2005–2006 President

Roy SnellChief Executive Officer

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compliance officer (60%). The average complianceofficer is 50 years old and has been a compliance offi-cer at the organization for four years. More than halfreported that the compliance officer was part of thesenior management team (56%) and nearly two-thirds(64%) reported that the compliance officer reportsdirectly to the CEO/President. Only 12% reportedhaving an employment contract.

Seventy-one percent of the reporting compliance officers have assumed responsibility for HIPAA com-pliance. Of those, the aspect of HIPAA they are mostlikely responsible for is privacy (97%). Ninety-twopercent of the responding organizations reported hav-ing a compliance committee. Of those, 74% reportedthat the compliance committee was chaired by thecompliance officer.

CompensationThe average salary reported for chief compliance officer,compliance officer and other compliance departmentstaff are shown below. The projected salary increase forcompliance officers in the coming year is 3% to 5%.

Title Average SalaryChief Compliance Officer $158,186Compliance Officer $96,473Assistant Compliance Officer $79,543Compliance Auditor $57,728Coders $45,096Trainers $52,693Compliance Generalists $60,513Attorneys on Compliance Staff $111,382

In ClosingWe would like to extend our sincere appreciation to all compliance professionals who contributed to thisproject by taking the time to complete the surveyquestionnaire. Next year it is our goal to increase thisyear’s survey response rate.

Survey results of past years remain on the HCCA Website at www.hcca-info.org, if you would like to furthercompare results.

If you have any questions about this year’s results or would like to make a suggestion for the next year’s

survey, please contact Margaret Dragon at the HCCA,(888) 580-8373, or Shawn Six at Industry Insights via e-mail at [email protected]

This survey was designed and conducted by theHealth Care Compliance Association (HCCA).HCCA’s Mission: HCCA exists to champion ethicalpractice and compliance standards and to providethe necessary resources for ethics and complianceprofessionals and others who share these principles.

For additional information on the survey, contact:

Margaret DragonDirector of CommunicationsHealth Care Compliance [email protected](781) 593-4924

Layout:Sarah AnondsonGraphic ArtistHealth Care Compliance [email protected](888) 580-8373

Proofreader:Alan PierceEditor/Product ManagerHealth Care Compliance [email protected](888) 580-8373

Health Care Compliance Association6500 Barrie Road, Suite 250Minneapolis, MN 55435(888) 580-8373


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1: In what region of the country is your headquarters?

Profile by regions

2: What type of health care entity do you work for?

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3: What is the total revenue of your health care organization?

4: How many employees does your health care organization have?


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6: Which best describes your compliance program?

7: Beyond the initial formal compliance training and that for new employees, is regular complianceupdate training provided?

8: On average, how much time does an employee spend in compliance training each year?

5: What is the corporate structure of your organization?

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9: How frequently does the typical employee receive compliance update training?

10: What components does your compliance training program include?

11: What methods of training are used by your organization for compliance awareness training?

*Note: Results total more than 100% because respondents selected more than one answer.



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12: What methods of training are used by your organization for topic-specific training?

13: Do you have a budgeted line item in your compliance budget for the direct costs of training?

14: If No to question 13, does the direct cost for compliance training get absorbed by departmental budgets other than compliance?

15a: What is the estimated 2006 compliance training budget for your organization?


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15c: What is the estimated 2006 compliance training budget for your organization?(by size of organization—number of employees)

15b: What is the estimated 2006 compliance training budget for your organization?(by total revenue of organization)


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16a: What is the estimated annual budget of your Compliance Department?

16b: What is the estimated annual budget of your Compliance Department? (by total revenue of organization)

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17: What percent (%) of your compliance budget is spent on the following?

16c: What is the estimated annual budget of your Compliance Department?(by size of organization—number of employees)


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18: What specific goals do you hope to achieve with your compliance program in the next three years?

19: Do all of the major constituencies of your compliance program (including senior management, physicians, department directors and board members) have a basic understanding of compliance?


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22: Does or did JCAHO accreditation and/or compliance with JCAHO standards play a role in helpingyou develop or implement your compliance program?

20: Is the compliance program comprehensive for your entire organization?

21: Which areas of compliance do you include in your program?



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25: Is your Compliance Officer (the person responsible for the daily operation of the compliance program)...

23: If No to question 22, COULD JCAHO accreditation and/or standards play a role in these activities?

*Note: Responses to question 24 are too varied and sample size too small; answers to question 24 are available on the HCCA Web site:www.hcca-info.org

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26: What is the age of the Compliance Officer?

27: What is the Compliance Officer’s highest and/or most recent level of education and/or certificationcompleted?



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28: The management level of the Compliance Officer could be best described as which of the following:

29: To whom (position/title) does the Compliance Officer directly report? (by size of organization—number of employees)

*Note: Results total more than 100% because respondents indicated that the compliance officer reports to more than one person.

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30: How many hours per week does the Compliance Officer spend on compliance?

31: What is the Compliance Officer’s tenure in their present role?


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33: Has the Compliance Officer assumed responsibility for HIPAA compliance?

32: How many other people have previously been in this role at your organization?

34: If Yes to question 33, which aspect of HIPAA is the Compliance Officer responsible for?


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35: Is your Compliance Office a stand-alone department with budgetary responsibilities and staff?

36: How many full-time equivalent (FTE) staff members are paid out of the Compliance Departmentbudget? (FTE = 2,080 hours per year)(by size of organization—number of employees)


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37: How many staff members (not necessarily full-time equivalents) report directly to the Compliance Officer?

38: Please report the number of FTEs for each of the following:

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How much are the following positions compensated?

This information was collected from survey questions 39–50.


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This information was collected from survey questions 39–50.

51: Does your organization have a compliance committee?

52: If Yes to question 51, which of the following responsibilities does it have?


Please indicate what degrees/certifications are required or preferred for . . .

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54: Who (position/title) makes up this committee?

53: Who chairs the Compliance Committee?



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57. If Yes to question 56, how often?

56. Do you report your compliance activities to a Governing Board or Owner?

55. How often does the compliance committee meet?

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59. Has your organization reviewed the Sarbanes-Oxley Act (SOX)?

58. How do you record your reports to the Governing Board?

60. If Yes to question 59, which of the following components of SOX apply?


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61. Rate each of the following in order of importance from 1 to 8, with "1" representing the industryexperience you deem most important in a Compliance Officer and "8" the experience you deem leastimportant.

62. Does your organization have (select one): #1 One Compliance Officer#2 Chief Compliance Officer and Compliance Officer

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63a. Chief Compliance Officer annual base compensation

63b. Chief Compliance Officer mean compensation(by geographic region)


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63c. What is the annual base salary of the Chief Compliance Officer? (by education)

63d. What is the annual base salary of the Chief Compliance Officer?(by size of organization—number of employees)

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64. What other positions does your Chief Compliance Officer hold in the organization?

65a. What is the annual base salary of the Compliance Officer?


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65b. What is the annual base salary of the Compliance Officer? (by geographic region)

65c. Compliance Officer's mean compensation by education

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66. What other positions/titles does your Compliance Officer hold in the organization?

65d. Compliance Officer's mean compensation by size of organization—number of employees


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67. Does the Compliance Officer have an employment contract?

68. Does the Compliance Officer have the ability to acquire his or her own lawyer at the organization’scost?

69. Does the Compliance Officer have additional liability coverage through the organization?

70. What is the projected salary increase for the Compliance Officer in the upcoming year?

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71. Please check all of the additional benefits that are part of the Compliance Officer’s compensationpackage:

72. Is your organization under a Corporate Integrity Agreement or settlement agreement or consent decreewith integrity provisions?


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2006 profile of health care compliance officers2006 ...€¦ · 2006 profile of health care...

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