Compliance Audits and Compliance Awareness Surveys


Since fiscal 2004, Clarion has been carrying out Compliance Audits to find out how well Clarion observes its own “Guiding Principles of Conducts and Behaviors,” and whether there are any compliance-related problems. The audit checks all departments regarding their efforts, compliance with laws, regulations and ordinances, and the progress of their information security and risk reduction programs and other aspects. Necessary directions and guidance are given for issues to be corrected and/or improved.

As part of progress monitoring, a compliance awareness survey is also regularly conducted of all employees. As the table below indicates, although fewer bosses are giving explanations and guidance on compliance, progress is being made on the creation of an environment where employees can express their opinions freely, and employees’ understanding and awareness of the consultation and reporting system are improving steadily.

Compliance Awareness Survey

    (Conducted in September 2006, covering all employees. Response rate was 85%)

 Questionnaire survey questions (excerptions)  Answer  September
 2006
 September
 2005
 Is awareness of the importance of compliance well understood in your workplace?  Yes  94%  95%
 Does your boss give you specific explanations, guidance, etc. about the implementation of compliance?  Yes  87%  90%
 In your workplace, can you express your opinions without hesitation at meetings, etc.?  Yes  84%  79%
 Do you think it would be against your interests to make a report to the Compliance Consultation and Reporting Desk?  Disagree  65%  61%
 Do you know how to make a report to the Compliance Consultation and Reporting Desk?  Yes  71%  65%

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