Compliance Beat

Drawing again from his upcoming presentation at the SCCE Compliance and Ethics Institute on September 21, 2021, Eric discusses some key criteria to consider when evaluating or benchmarking a code of conduct.

Eric discusses the upcoming 20th Annual SCCE Compliance and Ethics Institute and his presentation "Lessons from Sixty Code of Conduct Projects: What Are Five Things You Need for a Best-In-Class Code?" (scce-2021-cei-brochure.pdf (corporatecompliance.org) and, in particular, we focus on some key points to keep in mind when you are going to launch your new (or revised) code of conduct.

In this episode Eric discusses the upcoming SCCE CEI event in Las Vegas (20th Annual Compliance & Ethics Institute | SCCE Official Site (corporatecompliance.org)), and in particular, one of the sessions he will be co-presenting with Kathleen Grilli from the US Sentencing Commission, "Thirty Years of Organizational Sentencing Guidelines: Looking Back and Looking Forward". In particular, Eric discusses three data points from the USSC's dataset (Sourcebook 2020 | United States Sentencing Commission (ussc.gov)) that could be especially useful for compliance professionals when discussing real-world consequences for compliance failures.

This time Eric spends a little time discussing why a company might want to have a third-party code of conduct, rather than relying only on their employee code of conduct. We discuss some of the reasons a third-party code is potentially a good idea, who the audience might be and what are some of the topics you might want to cover.

This time Eric reviews the top mistakes he's seen clients and others make when tackling an code of conduct revision or rewrite process. Codes of Conduct are the foundation of any effective program and taking the appropriate care and time to complete a code revision project is the key to success.

In this episode Eric discusses some considerations for a successful code of conduct launch. Often organizations spend a lot of time, effort and resources on revising and improving their code of conduct only to have little in the way of a launch effort. Eric discusses some ideas to avoid a failure to launch.

After a extended hiatus, we're back! We're looking for your feedback on what to cover and what you'd like to hear about in the weeks going forward. Email us at: [email protected]

It's been a year! We've seen challenges and changes -- and we're still not completely out of the woods yet. In this episode Eric talks about three of those seemingly permanent changes that compliance and ethics programs have had to deal with and also discusses three things that are definitely not going to change.

The world has changed since our last episode. Eric has some ideas for newly remote compliance officers handling newly remote workers. Communication is key, and the compliance team needs to make a special effort to be heard and involved.

This time Eric discusses three primary reasons an organization might want to work with a third party to conduct a compliance program assessment.

This time Eric walks through some categories to benchmark your code of conduct. Organizations are expected to regularly examine the effectiveness of their written standards and there are some common areas to review when taking stock of your code.

This time Eric discusses three keys for a successful conflicts of interest compliance process. Eric discusses communication, disclosure, certification and tools that organizations can use to better address conflicts of interest risk.

There are many ingredients for a successful compliance program assessment, but in this episode Eric focuses on three key components that are sometimes overlooked when an organization is either conducting their assessment internally or looking to a third-party to help them with a review.

This time Eric talks anonymous reporting mechanism. What is actually required? What does reporting data show an compliance officer? What is the most effective reporting channel for an organization? We talk about these important questions and debunk a few myths about anonymous reporting.

This time Eric spends some time talking about some practical considerations for organizations to consider when planning or revising their "informal" compliance communication program. This area of compliance has been changing quite rapidly and expectations are often high. To avoid disappointing results it is important for compliance officers and others charged with communication responsibilities to carefully consider the goals and realities of proposed program.

This is the second in a two-part discussion about perception and retaliation. This time we talk about solutions. How can an organization address the lingering perception of retaliation? We spend a few minutes looking at the data and discussing what you might do at your organization to address these issues.

This time Eric talks about retaliation. What does retaliation look like in an organization? How does perception of retaliation affect reporting? We spend a few minutes looking at the data and discussing what you should expect at your organization.

Getting your managers involved in your compliance program is a best practice and also the most effective way to address compliance culture locally. In this episode Eric talks about three key criteria to consider when putting together a plan for involving managers: training, resources and measurement. Eric discusses some practical ways to implement such a plan.

As more and more compliance professionals join the ranks from other disciplines, it’s important that we reinforce the role of the US Sentencing Commission, and maybe even more importantly, the public’s role in defining the compliance and ethics standards all of our programs are based on. Listen to a short description of what the Sentencing Commission is, and their role in our profession — both past and future. Also, join Eric for a webinar next week on Thursday, November 7th at 1PM ET: Updating Your Code of Conduct: Best Practices.

There’s not a lot of data out there to tell us how the Department of Justice or other regulators view compliance initiatives, or what expectations really are. We know what the guidance tells us, but what happens in the real world when a company’s compliance program is looked at? We can get some indications from Sentencing Commission data that tells us what happens to those unlucky companies that face a Federal judge for sentencing.

For this episode Eric dives into the commonly conflated terms “substantial authority personnel” and “high-level personnel” that are defined in the Sentencing Guideline standards for an effective compliance and ethics program. Knowing which is which, and what the expectations are for a compliance program, is very important and not often discussed. Also, check out our upcoming webinar with our friends at the Clear Law Institute, “Updating Your Code of Conduct: Best Practices,” on November 7th at 1PM ET. You can register for the event here.

Eric spends a few minutes looking back at CEI’s past — and talking about the threads and new trends in this year’s event. If you are visiting DC this week then come by and see Eric at Booth 106. If not, we hope to see you next time! https://www.corporatecompliance.org/conferences/national/18th-annual-compliance-ethics-institute-2019 “SCCE’s annual Compliance & Ethics Institute is the primary educational and networking event for compliance professionals across all industries around the world. Each year we host more than 1,600 attendees from 40 countries.”

This time Eric is Teresa Troester-Falk to discuss the pending new privacy law from California, potential new laws in several states, and how it relates to GDPR and privacy compliance generally. This is the Second part of a two part conversation. If you haven’t listened to Part I we encourage you to do so. Teresa is Chief Global Strategist for Nymity where she leads some of Nymity’s key accountability research initiatives and collaborates with other internal leaders to help innovate privacy accountability and compliance solutions and ensure organizational success. Teresa authors Nymity white papers and other publications and regularly speak at conferences, advanced privacy forums and on webinars. Teresa has over 20+years experience in law, including 14+ years as a global privacy professional. Prior to joining Nymity served as Associate General Counsel (Privacy) for Nielsen, where Teresa expanded the global privacy program as well as initiated and led key global and regional privacy and data protection programs and strategies, driving the relationships across internal and external stakeholders to advance the company’s privacy agenda. Also, please check out Eric’s upcoming webinar with the Clear Law Institute, “What Do Compliance Communication Programs Look Like” on September 12th at 1PM ET. You can register for the webinar here.

This time Eric is Teresa Troester-Falk to discuss the pending new privacy law from California and how it relates to GDPR and privacy compliance generally. This is the first part of a two part conversation. Join us next week for part two. Teresa is Chief Global Strategist for Nymity where she leads some of Nymity’s key accountability research initiatives and collaborates with other internal leaders to help innovate privacy accountability and compliance solutions and ensure organizational success. Teresa authors Nymity white papers and other publications and regularly speak at conferences, advanced privacy forums and on webinars. Teresa has over 20+years experience in law, including 14+ years as a global privacy professional. Prior to joining Nymity served as Associate General Counsel (Privacy) for Nielsen, where Teresa expanded the global privacy program as well as initiated and led key global and regional privacy and data protection programs and strategies, driving the relationships across internal and external stakeholders to advance the company’s privacy agenda. Also, please check out Eric’s upcoming webinar with the Clear Law Institute, “What Do Compliance Communication Programs Look Like” on September 12th at 1PM ET. You can register for the webinar here.

This time, in anticipation for a Sentencing Guideline presentation next month at the SCCE’s CEI in Washington DC, we have another belated edition of Sentencing Commission Confidential. Eric talks about a commonly overlooked or misunderstood part of Chapter Eight of the guidelines that sets out responsibilities for reporting to the Board (or governing authority) of an organization. If you or your organization still struggles with what that conduit to the Board should look like, take a listen. Eric references parts of Chapter Eight of the guidelines which can be found here.

This time Eric discusses compliance program assessments – or risk assessments – or program benchmarking – or whatever you want to call the periodic review of your program that the Sentencing Guidelines, USDOJ guidance and best practices call for. Eric discusses three key pieces of the puzzle you might want to consider whether you are undertaking the assessment internally or evaluating outside assistance. Eric mentions Chapter Eight of the Sentencing Guidelines in the podcast, the text of which can be found here.

One of the questions raised by the recent updated USDOJ guidance is the question of “expertise” at or on the board of directors. Eric takes some time this week to discuss the guidance and the practical considerations about expertise in the boardroom. If you are interested in the intersection of compliance and the board of directors, please join Eric for a webinar on the topic July 31st at 1PM ET. “What Should Your Board Know About Compliance and Ethics?” click here for more information.

One of the areas many compliance teams still struggle with is getting a consistent, effective informal communication plan off the ground. Eric has a few ideas that might help focus informal communication efforts at your organization. Eric talks about being realistic regarding time and resources and thinking strategically about what might reach your audience.

After a dozen episodes detailing the new guidance, what are some parting thoughts? Eric talks a little about the memo’s impact and potential impact as well as highlighting some of the more important concepts the Department has chosen to highlight.

In Part 10 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric finishes discussing the memo! We will walk through Part III of the memo with a review of “Does the Corporation’s Program Work in Practice?” Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download

In Part 9 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric finishes discussing Part II of the memo with a review of incentives and discipline expectations. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, check out Eric “live” in Houston on June 20, 2019 – Hosted by the Federal Bar Association, Southern District of Texas Chapter, June 20, “The DOJ’s New Compliance Guidance:Answering the Three Key Questions”. AND, check out the upcoming webinar on June 19, 2019 at 3PM ET/ 2PM CT: “Creating an Effective Compliance and Ethics Program: Practical Considerations and Regulator Expectations” Both the live event in Houston and the webinar have been approved for CLE credit and the webinar has been approved for CCEP credit.

In Part 8 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the second topic in Part II of the memo: Autonomy and Resources. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo and the 2017 USDOJ memo here.

In Part 7 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the first topic in Part II of the memo: Commitment by Management &#8212; or tone from the top, middle and everywhere else! Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo and the 2017 USDOJ memo <a href="http://www.rmcconnellgroup.com/doj-fraud-guidance-comp

In Part 6 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the fifth and sixth topic in Part I of the memo: the &#8220;care and feeding&#8221; of third parties. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo and the 2017 USDOJ memo <a href="http://www.rmcconnellgroup.com/doj-fraud-guidance-comp

In Part 5 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the fourth topic in Part I of the memo: reporting. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell’s comparison review of the new memo and the 2017 USDOJ memo here.

In Part 4 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the third topic in Part I of the memo: training and communication. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download Also, please take a look at Ryan McConnell&#8217;s comparison review of the new memo and the 2017 USDOJ memo here.

In Part 3 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the second topic in Part I of the memo: policies and procedures. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download

In Part 2 of our special series discussing the new memo from the US Department of Justice on compliance expectations, Eric discusses the first topic in Part I of the memo: risk assessment. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download

Eric discusses the new memo from the US Department of Justice and its introduction and origins. Check out the memo itself here: https://www.justice.gov/criminal-fraud/page/file/937501/download

Just yesterday the USDOJ announced a new memo regarding the evaluation of compliance programs. Eric has some initial thoughts, but stay tuned for more podcasts diving into the details. You can find the new memo here: https://www.justice.gov/criminal-fraud/page/file/937501/download

Eric talks again about his favorite topic: code of conduct! This time we discuss three common code of conduct development myths. We talk about how longer does not equal better. How a global code that applies to everyone is better than a constellation of many codes. And finally Eric discusses how organizations should be realistic about the time and resources that go into a successful code of conduct project.

This time Eric talks about three aspects of Chapter 8 of the Sentencing Guidelines that you may not have noticed before.

This time Eric talks through conflicts of interest disclosures. Who do you want to capture, what do you need to tell them, should you use tools? Eric talks through all of this and also spends some time talking about the types of questions you will want to ask in the disclosure questionnaire. Join Eric and the Clear Law Institute for another addition of his Code of Conduct Development webinar on April 4th 2019 at 1PM ET. You can register for the webinar here.

An important topic that we don&#8217;t talk enough about. Just as small businesses make up the vast majority of companies out there, and employ over 50% of the workforce in the USA, they also make up the majority of companies that get in the worst trouble for compliance failures &#8212; even though we rarely read about it. Eric talks a little about the pitfalls and issues with small organizations and compliance. Also, check out our next webinar with our partners at Clear Law Institute on April 4th &#8212; you can find out more here.

This time we discuss benchmarking. First we discuss how you might go about determining the peer codes of conduct (or other written compliance standards) that you can use for benchmarking purposes. You probably have a good idea of some peer organizations that might fit, but Eric also discusses some other thoughts about what gets put into the mix. Then we discuss some different areas and criteria you might want to consider when evaluating your written standards and comparing them to other written standards. We talk about content and presentation as well as different, specific content you want to be paying attention to. Eric also extends a special offer to Compliance Beat listeners this week: send Eric your code and he will review it and discuss it with you and your team on the house. Send inquiries to Eric directly here.

This time Eric talks about compliance surveys. Eric discusses what sort of content you might consider including in the survey instrument, whether you might want to consider benchmarking, and finally Eric discusses some of the practical elements of putting together a survey.

This time Eric talks about three different areas to focus on when evaluating how you are reaching your remote workers to educate and inform them of the compliance program. Eric discusses use of local and existing resources, what resources should be developed by the compliance function and how technology can be put to use. Eric is also speaking at SCCE&#8217;s Energy and Utilities Conference in Houston on February 11th. Join us there if you can!

This time Eric discusses some considerations when looking at the role, responsibilities and relationships the board (or governing authority) of the organization with the operational personnel of the compliance and ethics program. There are a few key best practices to consider when evaluating the board&#8217;s role, including their training and knowledge of their responsibilities, their understanding of compliance risks and controls and their relationship with operational compliance. Also, Eric mentions his upcoming speaking role at the SCCE&#8217;s Utilities Conference in Houston, February 10-12, 2019. If you are interested in attending, information is here.

In anticipation of our upcoming webinar on code of conduct development we talk today about what &#8220;requirements&#8221; for a code of conduct exist. Eric also provides a sneak peak into some of the content of the webinar by discussing the Department of Justice&#8217;s February 2017 memorandum and how that applies to code of conduct development. You can find the DOJ&#8217;s memo here, and you can register for the &#8220;Updating Your Code of Conduct&#8221; webinar here.

How do you avoid all compliance risk? Hint: you can&#8217;t. This week Eric talks about some recent articles and discussions that suggest there might be a magic bullet or two (sometimes in the form of a new software tool) that will take away those pesky compliance concerns. We alk about the practical and the pragmatic view of this topic. Also, please join us next week for a webinar on developing your code of conduct. We&#8217;re putting the webinar on with our friends at the Clear Law Institute on January 17th at 3PM ET. If you are interested in joining us for “Updating Your Code of Conduct: Best Practices” you can register here. If you email Eric at [email protected] he can send you a code for 35% off the webinar fee.