Measuring Compliance: The Challenges in Assessing and Understanding the Interaction between Law and Organizational Misconduct

Van Rooij, Benjamin, and Melissa Rorie. "Measuring Compliance: The Challenges in Assessing and Understanding the Interaction between Law and Organizational Misconduct." In Measuring Compliance: Assessing Corporate Crime and Misconduct Prevention, 2021

36 Pages Posted: 3 Jun 2021

See all articles by Benjamin van Rooij

Benjamin van Rooij

University of California, Irvine School of Law; University of Amsterdam - Faculty of Law

Melissa Rorie

University of Nevada, Las Vegas

Date Written: May 26, 2021

Abstract

A major question in corporate compliance research and practice is how to establish the effectiveness of compliance programs and policies on promoting desirable outcomes. To assess such effectiveness requires proper measurement. This chapter, which is the introduction to an edited volume on corporate compliance measurement, discusses the trade-offs involved in using different quantitative and qualitative approaches to measure corporate compliance and its predictors. It assesses the strengths and weaknesses of different research strategies in terms of their validity in capturing behavioral responses, their ability to establish causality, their precision in showing complexity, their generalizability, and their feasibility and cost-effectiveness. The chapter concludes that a mixed-methods approach is the best way to reduce the trade-offs in measurement; using such an approach best accommodates the five quality standards of proper measurement.

Keywords: corporate compliance, qualitative methods, quantitative methods, regulatory enforcement, mixed methods

JEL Classification: K20, K22, K23, K42, M10, M14, M19

Suggested Citation

van Rooij, Benjamin and Rorie, Melissa, Measuring Compliance: The Challenges in Assessing and Understanding the Interaction between Law and Organizational Misconduct (May 26, 2021). Van Rooij, Benjamin, and Melissa Rorie. "Measuring Compliance: The Challenges in Assessing and Understanding the Interaction between Law and Organizational Misconduct." In Measuring Compliance: Assessing Corporate Crime and Misconduct Prevention, 2021, Available at SSRN: https://ssrn.com/abstract=3853764 or http://dx.doi.org/10.2139/ssrn.3853764

Benjamin Van Rooij (Contact Author)

University of California, Irvine School of Law ( email )

401 E. Peltason Dr.
Ste. 1000
Irvine, CA 92697-1000
United States

University of Amsterdam - Faculty of Law ( email )

Amsterdam, 1018 WB
Netherlands

Melissa Rorie

University of Nevada, Las Vegas ( email )

4505 S. Maryland Parkway
Las Vegas, NV 89154
United States

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