Podcasts about ethics officer

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Best podcasts about ethics officer

Latest podcast episodes about ethics officer

Pioneers and Pathfinders

We're joined today by a true leader and team-builder in legal tech: Mark Smolik, Chief Legal Officer at DHL Supply Chain Americas. Mark has been at the forefront of innovation in the industry for decades, having previously served as Senior Corporate Counsel at the Sherwin-Williams Company, as well as General Counsel & Secretary, Head of Human Resources, and Ethics Officer at Safelite AutoGlass. Across these various roles, Mark has been relied on for executing legal, compliance, and business strategies that mitigate risk and drive value. In our discussion, Mark talks about the DHL Legal Innovation Summit in June, his approach to team-building and shaping culture, the important advice he received on delivering value, and his DHL team's approach to managing risk. Read the full transcript of today's episode here: https://www.seyfarth.com/dir_docs/podcast_transcripts/Pioneers_MarkSmolik.pdf

Radio Islam
Trauma Counselor and ethics officer: Maureen Masher

Radio Islam

Play Episode Listen Later Sep 6, 2024 18:25


Trauma Counselor and ethics officer: Maureen Masher by Radio Islam

Spirit of the Hall
Jess Milligan

Spirit of the Hall

Play Episode Listen Later Mar 26, 2024 20:35


In this episode, hear Olly Belcher, Immediate Past President of the St Edmund Hall Association, in conversation with Jessica Milligan who came up to the Hall in 2023 to read Geography.  Jess is Teddy Hall's current Environment and Ethics Officer and feels that students really do care about the College's green agenda being led so effectively by the Principal and her Senior Leadership Team.  Jess also plays a vital role in College offering other students peer support when needed. Spirit of the Hall podcast is produced by the St Edmund Hall Association, the voluntary alumni body independent which represents all Aularians. The views and opinions expressed in the podcast are those of the speakers and do not necessarily reflect the official policy or position of the Association, St Edmund Hall or the University of Oxford.

Great Women in Compliance
Gitanjali Sakhuja on Dancing and Diplomacy in Compliance

Great Women in Compliance

Play Episode Listen Later Feb 7, 2024 41:00


Welcome to the Great Women in Compliance Podcast. In this episode, Hemma Lomax visits with Gitanjali Sakhuja, a Fractional Chief Compliance and Ethics Officer based in Washington, D.C. In her current role, Gitanjali works with small to mid-cap companies and nonprofits in the strategic implementation and management of their ethics and compliance programs. Gitanjali mentors regularly with StreetWise Partners, hosts Compliance Socials, a DMV-based community for ethics and compliance professionals and is currently also founding a path for Eyesea, an app mapping pollution in the oceans. She previously worked for the United Nations Development Programme in New York, Geneva and Jakarta and both UNICEF and Maersk in Copenhagen. Gitanjali received her J.D. from the Santa Clara University, School of Law and is CCEP certified. Gitanjali is a passionate lawyer with a unique approach to compliance and diplomacy, known for her creative infusion of dance into her work. Gitanjali's perspective on the "dancing lawyer's unique approach to compliance and diplomacy" is rooted in her belief that her passion for dance enhances her compliance skills and fosters a positive collaborative atmosphere. She likens the unique rhythm and movement of every dance to the tailored approach required in her compliance work, seeing a synergy between the two. Gitanjali's experiences in diverse communities and international organizations have shaped her belief that all complex problems can be solved by understanding the intricacies of the business and finding creative, practical solutions with business partners. Join Hemma Lomax and Gitanjali Sakhuja on this episode of Great Women in Compliance to delve deeper into her unique approach. Key Highlights ·      The Vibrant Connection: Dance and Compliance ·      The Dance of Diplomacy: A UN Career ·      Creative Problem Solving for Compliance Success ·      Leveraging relationships for impactful influence ·      Leveraging diverse experiences for diplomatic superpowers ·      Harnessing Influence: Empowering Change Through Collaboration Resources Join the Great Women in Compliance community on LinkedIn here. 

The Real Life Buyer
An Innovation Odyssey: Crafting Tomorrow's Business Landscape Today, Using Intentional Mastery with William Buist

The Real Life Buyer

Play Episode Play 34 sec Highlight Listen Later Feb 6, 2024 41:59 Transcription Available


In this podcast we dive into the art of strategic empowerment with our exceptional guest. As a speaker, mentor, and author, he empowers business owners to reign as market masters, elevating their operations and outshining competitors. Join us as we uncover the profound impact of strategic intentions, delve into the transformative pages of his book, and explore the five stages of Collaboration for Buyer-Supplier brilliance. Get ready to conquer challenges with real-world case studies and embrace the future through innovation. Tune in to unravel the secrets of building better businesses and fostering unstoppable success.ABOUT THE GUESTMy Guest today is William Buist, a Strategic Mentor, Speaker and Author, with a resume that includes Ethics Officer, Finance Director and Collaboration Specialist to name a few. William gained his Batchelor of Science at the University of St Andrews and intriguingly also sports the qualification of Chartered Insurer.As an author, his most recent 5 star rated book is “Intentional Mastery - Step beyond your expertise and Build Better Business” that was published in February 2022 so is available to purchase now.Today I wish to explore how William uncovers opportunities, supports, educates, and helps drive business improvement and innovation with his clients.Discover more using these links:Website:https://www.williambuist.com/Facebook:https://www.facebook.com/william.buistLinkedIn:https://www.linkedin.com/in/wbuist/ABOUT THE HOSTMy name is Dave Barr and am the Founder and Owner of RLB Purchasing Consultancy Limited.I have been working in Procurement for over 25 years and have had the joy of working in a number of global manufacturing and service industries throughout this time.I am passionate about self development, business improvement, saving money, buying quality goods and services, developing positive and effective working relationships with suppliers and colleagues, and driving improvement through out the supply chain.Now I wish to share this knowledge and that of highly skilled and competent people with you, the listener, in order that you may hopefully benefit from this information.CONTACT DETAILS@The Real Life BuyerEmail: david@thereallifebuyer.co.ukWebsite: https://linktr.ee/thereallifebuyerFor Purchasing Consultancy services:https://rlbpurchasingconsultancy.co.uk/Email: contact@rlbpurchasingconsultancy.co.ukFind and Follow me @reallifebuyer on Facebook, Instagram, X, Threads and TikTok.Click here for some Guest Courses - https://www.thereallifebuyer.co.uk/guest-courses/Click here for some Guest Publications - https://www.thereallifebuyer.co.uk/guest-publications

Wharton Business Radio Highlights
Hybrid Work is Here to Stay and is Essential to Maintaining Diversity in the Workplace

Wharton Business Radio Highlights

Play Episode Listen Later Oct 12, 2023 11:54


Lynn Haaland, Chief Compliance & Ethics Officer at Zoom, recently joined the show to discuss the impact of the pandemic on women in the workplace and the future of remote work. Hosted on Acast. See acast.com/privacy for more information.

The JustPod
White Collar Talks: Scott Schools

The JustPod

Play Episode Play 30 sec Highlight Listen Later Aug 16, 2023 37:05


White Collar Talks makes its return! In this episode, Nina and Joe engage in a compelling discussion with Scott Schools, the Chief Compliance and Ethics Officer at Uber. Scott takes us through a typical day at Uber, where he navigates the intricacies of his role, and mentions the challenges he encounters as the Chief Compliance Officer of a corporation of Uber's magnitude. 

Data Protection Breakfast Club
"The Back 40" w/ Amy Stewart, GC & Global Data Ethics Officer @ LiveRamp

Data Protection Breakfast Club

Play Episode Listen Later Aug 9, 2023 52:27


For many years Amy Stewart was a complex commercial litigator specializing in competition and trade secrets.  After 30+ years at the Rose Law Firm in Little Rock, Arkansas, Amy took the leap to join LiveRamp as General Counsel and Chief Privacy Officer.  It was a wild time, as LiveRamp's parent company Acxiom, her long-time client, had just sold its data business to IPG and LiveRamp began operating as a stand-alone public company headquartered in San Francisco.   Amy has seen a ton of change and has the incredible ability to connect to the immediately salient strategic business narrative and craft a legal growth plan to complement

On Air
From Internal Auditor to Ethics Officer: Building a Values-Driven Company

On Air

Play Episode Listen Later May 31, 2023 51:19


Get ready to discover the secret to building a successful company! It all starts with core values - the foundation upon which every great company is built. In this episode, we sit down with Scott McKay, the Manager of Asset Protection at Lennox, to learn more about how preventive measures can help businesses stay true to their mission and goals. Scott has an incredible journey to share, having transitioned from an internal auditor to an ethics and compliance officer. He explains that his role is not just about catching someone doing something wrong, but also about training people to avoid such situations in the first place. Learn the best practices for creating a work culture of excellence where people are motivated to contribute at their highest level. Don't miss this engaging conversation about the power of core values in business success.On Air is a Lennox Learning Solutions Production 

AI Business Podcast
BCG Chief AI Ethics Officer on Implementing Responsible AI

AI Business Podcast

Play Episode Listen Later May 17, 2023 21:55


BCG's chief AI ethics officer, Steve Mills, joins AI Business Editor Deborah Yao to talk in detail about how enterprises can implement responsible AI to help avoid existing and emergent risks. Generative AI poses a particularly tricky problem in what's called a 'massive capability overhang.'

Dive Into Reiki
Dive Into Reiki with Kelly McDermott

Dive Into Reiki

Play Episode Listen Later Mar 9, 2023 52:34


Welcome to Dive Into Reiki With... an interview series that explores the journeys of high-profile Reiki teachers & practitioners. Hosted by Nathalie Jaspar.You can support the mission of spreading Reiki education through my Patreon for less than the cost of a cup of coffee or for free by rating this podcast on your app!IMPORTANT NOTICE: Dive Into Reiki's mission is to bring information that allows Reiki practitioners from all over the world to deepen their practice. Although this information is shared freely on my platforms, all content is tied to copyrights. Please do not repurpose or translate these interviews without previous authorization.EPISODE 31: KELLY McDERMOTT Based in Vermont, Kelly has been bringing heart-centered healing to people and animals in Vermont since 2006. Kelly trained in the Let Animals Lead® Method of Animal Reiki with Kathleen Prasad, with Frans Stiene of the International House of Reiki and Hyakuten Inamoto of Komyo Reiki Do. She is a certified Meditation and Mindfulness Teacher and End of Life Care for Companion Animals Doula. She is also the East Coast Director and Ethics Officer for the Shelter Animal Reiki Association and is on the board of Tree of Life for Animals in the US. When it comes to humans, Kelly was instrumental in creating the Reiki program at the Rutland Regional Medical Center and helped develop the Hospice Reiki program in Rutland as a trainer and volunteer, among other achievements. You can find more about Kelly at: https://heartsongreiki.com/Nathalie Jaspar, founder of Dive Into Reiki,  is a Reiki master with over a decade of experience. She's a graduate teacher from the International House of Reiki, led by world-renowned Reiki master Frans Stiene. She also trained with the Center for True Health and the International Center for Reiki. To gain an even deeper understanding of Reiki practice, Nathalie went to Japan to practice Zen Buddhism at the Chokai-san International Zendo. She is the author of Reiki as a Spiritual Practice: an Illustrated Guide and the Reiki Healing Handbook (Rockridge Press). Support the show

The Ethics Experts
Episode 142 - Scott Schools

The Ethics Experts

Play Episode Listen Later Jan 30, 2023 46:13


In this episode of The Ethics Experts, Nick welcomes Scott Schools. Scott is the Chief Compliance and Ethics Officer at Uber Technologies, Inc. He joined Uber after a legal career that has included twenty-one years at the Department of Justice as well as seven years in the private sector. Scott spent a total of seven years as Associate Deputy Attorney General.

Compliance Perspectives
Betsy Wade on the Strategic Side of Compliance Budgets [Podcast]

Compliance Perspectives

Play Episode Listen Later Nov 29, 2022 11:16


By Adam Turteltaub A compliance budget is a lot more than the numbers in it, explains Betsy Wade (LinkedIn), Chief Compliance & Ethics Officer at Signature Healthcare. It should be a reflection of the organization's priorities and risk profile. The budget is also a point of focus of the US Department of Justice when examining a compliance program during an investigation. Their Evaluation of Corporate Compliance Program guidance for prosecutors asks not only if there are sufficient resources but if they are allocated on a “risk-tailored” basis. So, what is the right budget to have? To determine that answer she recommends compliance teams do a risk assessment and determine what mitigation efforts will be needed. In addition, benchmark against other organizations to learn what they are spending and doing. Just try to make sure that you do so against as similar a business as possible. Look also to publicly available resources such as benchmarking surveys from HCCA and SCCE. Keep your eye out, too, for what regulators and enforcement authorities are saying. US Assistant Attorney General Kenneth A. Polite, Jr., she reports, recently called for compliance FTE for every thousand employees. The compliance budget should include the cost for all that compliance personnel. Also in the budget should be any travel, certification costs of staff members, staff training, services purchased, and more. To win management approval, she recommends continued analysis of the budget and making adjustments. She also advises using the risk assessment as a tool to support the compliance team's budget request. Listen in. Doing so won't add a penny to your budget.

Insert:Human
Encore Episode - Protecting our Public Intelligence with Sherin Mathew

Insert:Human

Play Episode Listen Later Oct 17, 2022 40:55


Sherin Mathew is an AI strategist, ethicist, public speaker, and data specialist. He founded Public Intelligence, a social enterprise built to represent humanity's response to the inevitable increase in AI-powered roles and occupations. Their primary concern as a platform is job availability and security for future generations. Aside from speaking about AI's impact on job opportunities, Sherin works as an AI strategist at AI Tech UK and as the CTO and Chief AI and Ethics Officer at Lexyfi. Sherin joins me today to discuss his passions for technology and our rights to our own intelligence. He deconstructs “sensitive intelligence” and shares why he named his first robot Gabriel. He explains how AI will take over mechanical jobs and describes what can happen to those left without job opportunities. He reveals the problem with innovating too fast and details the risks associated with data leaks. Sherin also deliberates on what it means to be accountable in how we share and protect our intelligence. "AI is ruthless. It will literally impact every industry." - Sherin Mathew This week on Insert:Human ●     Recapping what Insert:Human is all about●     Where Sherin's passion for tech started●     Sherin's first robot, Gabriel●     What Sherin considers "sensitive intelligence"●     The future of job automation and how we upskill our workforce●     How AI will disrupt and create opportunities simultaneously●     The problem with high-speed innovations●     Ethics in technology and AI●     Defining ethics in various cultures●     Being accountable for how we protect and share our intelligence Resources Mentioned: ●     General Data Protection Regulation (GDPR) Connect with Sherin Mathew: ●     AI Tech UK●     Lexyfi●     Public Intelligence●     Sherin Mathew on LinkedIn Insert:Human - For a Better Life & Better World Thanks for tuning into this week's episode of Insert:Human. If you enjoyed this episode, please subscribe to the show and leave a review wherever you get your podcasts.  Apple Podcasts | TuneIn | GooglePlay | Stitcher | Spotify Be sure to share your favorite episodes on social media to help me reach more seekers and problem-solvers, like you.  Join me on Twitter, Instagram, and Linkedin. For more exclusive content and to claim your free copy of the first chapter of my upcoming book, Technology is Dead, visit my website.

Principled
S8E5 | Thirty years of influence: The impact of the US Sentencing Commission

Principled

Play Episode Listen Later Oct 7, 2022 29:56


What you'll learn in this podcast episode “Thirty years of innovation and influence” is the subtitle of the recent report issued by the United States Sentencing Commission. But what does that really mean in the context of the organizational sentencing guidelines? In this episode of LRN's Principled Podcast, Eric Morehead, LRN Director of Advisory Services Solutions, is joined by one of the report's authors: Kathleen Grilli, the General Counsel for the US Sentencing Commission. Listen in as the two discuss how the commission impacts business leaders and the creation of compliance programs.    Read LRN's takeaways from the report here.  Principled Podcast Show Notes coming soon   Featured guest: Kathleen Grilli Kathleen Cooper Grilli is the General Counsel for the United States Sentencing Commission, having been appointed to the position on October 7, 2013. Ms. Grilli has been on the staff of the Commission since 2003, serving as an assistant general counsel from 2003-2007 and deputy general counsel from 2007-2013. As the General Counsel, Ms. Grill provides legal advice to the Commissioners on sentencing issues and other matters relating to the operation of the Commission. Ms. Grilli is the agency's Ethics Officer and has conducted training on white collar crime and the organizational guidelines at numerous training events.Prior to working for the Sentencing Commission, Ms. Grilli was with the Office of Staff Counsel for the Fourth Circuit Court of Appeals. Before relocating to Virginia, Ms. Grilli was a partner in a small firm in Fort Lauderdale, Florida, handling civil and criminal litigation. Her previous work experience includes serving as an Assistant Federal Public Defender in the Southern District of Florida and as an associate at Akerman, Senterfitt and Edison, handling commercial litigation. Ms. Grilli is a member of the Bars of Florida and Virginia. She received a Bachelor of Arts in International Relations, with honors, from Florida International University. She graduated cum laude from the University of Miami School of Law.   Featured Host: Eric Morehead Eric Morehead is a member of LRN's Advisory Services team and has over 20 years' experience working with organizations seeking to address compliance issues and build effective compliance and ethics programs. Eric conducts program assessments and examines specific compliance risks, he drafts compliance policies and codes of conduct, works with organizations to build and improve their compliance processes and tools, and provides live training for Boards of Directors, executives, managers and employees.    Eric ran his own consultancy for six years where he advised clients on compliance program enhancements and assisted in creating effective compliance solutions.  Eric was formally the Head of Advisory Services for NYSE Governance Services, a leading compliance training organization, where he was responsible for all aspects of NYSE Governance Services' compliance consulting arm. Prior to joining NYSE, Eric was an Assistant General Counsel of the United States Sentencing Commission in Washington, DC. Eric served as the chair of the policy team that amended the Organizational Sentencing Guidelines in 2010. Eric also spent nearly a decade as a litigation attorney in Houston, Texas where he focused on white-collar and regulatory cases and represented clients at trial and before various agencies including SEC, OSHA and CFTC.     Principled Podcast Transcript Intro: Welcome to the Principled Podcast, brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers.   Eric Morehead: 30 Years of Innovation and Influence is the subtitle of the recent report issued by the United States Sentencing Commission, but what does that really mean in the context of the organizational sentencing guidelines?   Hello, and welcome to another episode of LRN's Principled Podcast. I'm your host today, Eric Morehead, Director of Advisory Service Solutions at LRN. Today, Kathleen Grilli, the General Counsel of the United States Sentencing Commission is joining us. She's one of the authors of this recent report, and we're going to be talking about how the commission impacts business leaders and the creation of compliance programs across the world. Kathleen is a real expert in this space and is a guest of ours last season where we talked about the seven hallmarks of an effective ethics and compliance program enshrined in the US Sentencing Commission's federal sentencing guidelines. Kathleen Grilli, thanks for joining us again on the Principled Podcast.   Kathleen Grilli: Well, thanks for inviting me, Eric. I appreciate it.   Eric Morehead: The commission just released this new report, The Organizational Sentencing Guidelines: 30 Years of Innovation and Influence. Even after more than 30 years, there are still, I think, at least from my perspective, many people who, when they start their career in compliance, are confused a little bit about why the Sentencing Commission is involved in corporate compliance. Can you talk just a little bit about how the US Sentencing Commission came to assume the role it has regarding compliance standards?   Kathleen Grilli: Sure. You say that people in compliance are confused about it, but the truth is, even in the criminal justice arena where the commission operates... Our guidelines are used in federal courts for sentencing organizations and offenders. Even in that arena, there's not really widespread knowledge about Chapter 8 and the hallmarks for an effective compliance and ethics program. That's because there aren't a lot of organizational cases sentenced every year.   But the reason the commission got into the business of corporate compliance has to do with its statutory mission. The commission was created in 1984 through a bipartisan piece of legislation called the Sentencing Reform Act, and that act did a couple of things as it related to sentencing of organizations. It provided that organizations could be sentenced to a term of probation, sentenced by way of a fine, and it required that at least one of those be imposed. This was something new.   It also subjected organizations to orders of criminal forfeiture, meaning the proceeds of the criminal activity could be taken from them, order of notice to victims, and orders of restitution. That act also created the commission, which is a bipartisan agency and tasked the commission with developing guidelines for use in criminal cases for sentencing. It told us what the purposes of sentencing are, which is just punishment, deterrence, protection of the public, and rehabilitation of the offender. The commission had to decide what to do for sentencing of an organization. Obviously, you cannot put an organization in prison. Unlike individual offenders where sentencing ranges in terms of incarceration are something of the norm, you had to figure out what to do to sentence organizations.   With an organization, as we know, the bottom line is they're in business to make money. In developing the organizational guidelines, the commission came up with its notion that it should use fines to incentivize self-policing. It would punish organizations who were not self-policing or not trying to prevent a crime or commit the offense with certain aggravating factors more severely than those who were trying to prevent and detect crime. That's how we got into the business of corporate compliance.   Eric Morehead: Yeah. And it is interesting that the original writ was from the statute that you examine this. Can you talk a little bit about how the commission got specifically to those hallmarks, those programmatic pieces that we talked about a little bit on our last podcast a while ago? What was the process for the commission to get to those standards, those specific compliance pieces of the puzzle, if you will?   Kathleen Grilli: The commission started its work in 1986 on organizational guidelines with a public hearing at which it received testimony from a variety of witnesses across various different wakes of the world: academics, people in business, government agencies, and the like. Over about a five-year period, because as I said, the Commission started its business in 1986 and didn't actually promulgate the organizational guidelines until 1991. During that period of time, there were numerous public hearings attended by a wide range of witnesses from different areas of the law, academics, government agencies, business owners, representatives of just different industries, and the like. The Commission had these hearings, they heard testimony, the Commission went back and developed drafts with proposals for how organizations would be sentenced. They published those drafts. The process of publishing is really a solicitation for public comment, so they got public comment on the drafts. This went on for a good period of time.   In the meantime, the Commission was doing research. We had academics writing proposals and giving us ideas on how to implement the purposes of sentencing, which again, as I said, were just punishment, deterrents, protection of the public, and rehabilitation. Eventually, it came back to how does an organization get in trouble to begin with? An organization doesn't act alone. We have this theory in the law called vicarious liability where an organization is held responsible for the acts of its agents, meaning its employees. If the employees are the bad actors, everyone finally came to the conclusion that the best way to incentivize or prevent corporate crime was for the organization itself to self-police and to direct its employees and talk about what is and is not appropriate. That's how we ended up with compliance standards.   At the time that they started all this work, compliance and ethics was not widely accepted in the industry. There was a little bit of compliance in the context of antitrust and then there was, in the defense industry, there was an initiative relating to that. Those ideas got floated before the commission and it generated a lot of interest. That's how they started developing the standards.   Again, the standards were included in proposed guidelines that were published and they got public comment and not long before the actual vote where they adopted these guidelines. Even folks who were skeptical about whether this was going to work or not thought that the Commission had gotten the hallmarks of a compliance program right. They thought that they made sense and that they gave sufficient guidance to folks on what would and would not work.   Eric Morehead: That's a really important point too, and I often will say this when I'm talking to people and I talk about my background. Full disclosure, I'm a former employee of the US Sentencing Commission, so I have a strong belief in the mission of the organization. But oftentimes, I will say, "Well, they were first," and part of being first is you've tried different things and maybe you don't know exactly what's going to work and what is going to be successful. But I think over time, and this report really homes in on that, this notion that the direction that the Commission took from '86 to '91 really has paid off a lot of benefits.             One of the conclusions, one of the key conclusions from the report is that perhaps one of the biggest wins for the organization over the years is the widespread of adoption of the guidance and, in particular, the standards for what makes an effective compliance program.   I have a two-parter here. Do you think the Commission recognized in '91 how important that might be? And does the Commission today understand the overall importance of the organizational guidelines, and in particular, 8B2.1, those compliance hallmarks? Did they understand it then and what's the understanding of the Commission now of the relative importance of these?   Kathleen Grilli: Well, let me just back up a minute and just say that the commissioners who promulgated the organizational guidelines in 1991 no longer serve on the Commission. Commissioners have term limits. It's a different group then. It was a different group in 2004 that made the changes that brought ethics into the standards for compliance and ethics programs. As we were talking about before we started this podcast, we have a brand new group of seven new commissioners recently nominated by the President and confirmed by the Senate. You have different folks working on it. I can say that in the process of doing the research for this publication and others that I've worked on in this area, the Commission I don't think ever expected what we see today 30 years later. This widespread influence not only in terms of its use in the criminal justice arena, but how it has impacted other agencies.   And we'll talk about that and the global reach. The Commission itself said, "This is an experiment." They had hopes that it would lead to better actors in the corporate world, but those were hopes and there was a lot of skepticism from the business community when this process was ongoing about whether this was going to work or not. I think we're always blown away when we realize the impact of it, and I say that from a personal point of view, too. Because when I came to the Commission and I've been on the staff for some time, I was not aware of Chapter 8. I had never represented in court an organization, but only individuals.   And the first time I went to a compliance and ethics program where I saw and understood how well received and well regarded and what an impact we had had outside of the criminal justice arena, it sort of blew my mind that I know Judge Murphy and her Commission in 2004 or just before 2004, when they adopted the changes, they learned about it too when they came on board and it sort of blew them away. And I don't know with my current new bosses how well informed they are about this. This is really one of the reasons why, before they came on board, the staff and the then Commission, the one member, Judge Brier wanted to put this report out, memorializing the 30-year anniversary of the organizational guidelines. We're very excited about it, I have to say.   Eric Morehead: No, it is an amazingly effective rubric that the Commission put together and that the Commission is taken a measured approach from my opinion, both in 2004. And then I had an up-close look in 2010 when I was on staff through that process. I think that its impact is pretty incredible 30 years later, looking back.   One of the other things that's incredible... And I talk about new things when you come to the Commission. I had never really paid much attention to sentencing data until I joined the Commission in 2007. And the majority of the actual pages of this report have a lot of really interesting data about the organizations that have been sentenced over 30 years. Some key takeaways include trends that many of us, for those of us who are sentencing nerds, have seen over the years about the impact on small organizations, for example, versus larger organizations, making up the vast majority of defendants in that data set.   To me, a lot of looking for what makes... Because compliance professionals that are listening to this podcast and that are not necessarily interested in sentencing per se, but interested in the sentencing guidelines because of compliance, they're looking for what makes a successful compliance program from sentencing data. To me, a lot of it is what you don't see. It's sort of like looking for... I liken it to looking for a black hole when you're an astronomer. You can kind of tell the telltale characteristics of a black hole existing because of how it affects everything else. And we don't really see organizations that have successful programs in this data. There were just 12 organizations out of those 5,000 or so in 30 years.   Kathleen Grilli: 11.   Eric Morehead: 11. See? I even increased the number. It's just 11 organization out of 5,000 or so, 4,900 and some change, that have ever been deemed to have a successful program. What are some other striking things that you and the team noticed looking over this data and these trends for 30 years?   Kathleen Grilli: Let me just first say what this data is and what it is not so that listeners can understand why they may not find what they're looking for as to what makes a successful compliance program from the data. This data is for organizations, whether it be a corporation, a closely held corporation, partnership, whatever, but organizations that a federal prosecutor has decided to charge and gets convicted of a federal crime. It doesn't include organizations that the prosecutors decide, "Oh, we're going to enter into a deferred prosecution agreement or a non-prosecution agreement." It doesn't include organizations where a regulatory agency has seen that they violated some of the regulations, but they've decided not to proceed against them criminally but to pursue civil adjudications. I mean, in some ways, this data is about the folks that prosecutors decided were the worst of the worst organizations. You don't see what makes a successful compliance program in this data, but I like to say what we do see is that some of the things that the Department of Justice says to you about what they're looking for in deciding whether to prosecute an organization or not might find support in this data. We concluded that the lack of an effective compliance and ethics program might be a contributing factor to criminal prosecutions against organizations. And what specifically led us to that?   Well, in the 30 years that we've been collecting data, overwhelming majority of the organizational offenders in our data set didn't have any program at all, much less an effective program. 89.6%, as you said, as you mentioned and asked me the question, there were only 11 sentences in fiscal year 1992 that got a culpability score reduction for having an effective compliance and ethics program. And I want to stop on those 11 because we went back. Everybody's always interested in what happens with those organizations or why was their program effective? And we were not able to suss a lot of information from the documentation to sort of tell people what it was. There wasn't a lot of descriptive information in the documents we received that would answer that question, but there's only 11 of them. And most of those 11 were very small organizations. It means they didn't have to have a very complex type of program.             More than half, 58.3%, of organizational offenders sentenced under the fine guidelines got a culpability score increase for involvement in or tolerance of criminal activity by upper management would suggest to you. If the management or the substantial authority personnel are in on it, they may well end up sentenced before a federal court. I think that's an important point, too. And very few of these organizations, we'd only saw 1.5% overall that did the three things that get you the maximum reduction off your culpability score, which is self-report, cooperate, and accept responsibility. There were very few organizations, even though there were many that pleaded guilty and accepted responsibility, that actually self-reported. That's important because you hear the Department of Justice talk about why that matters. And this data sort of offers support for the fact that it does.             And then the other thing we saw is that courts are now ordering organizations to implement effective programs in about 20%, one-fifth of the cases that come before them when they impose probation. This was the kind of data that we thought would help fuel the discussion or the debate on the importance of having an effective compliance and ethics program. The other thing you should note about our data, I think it's important too, is that a good percentage of the organizations that have been sentenced over the last 30 years are smaller organizations. It's not large publicly-traded Fortune 500 companies. It's smaller, less number of employees. I think that matters too.   Eric Morehead: That's a trend that I think we've noted in the data, because the size of organizations, the number of employees has been a data point that the commission has released over the years on an annual basis. And by the way, as it's worth mentioning for people who are interested, there'll be a link in the show notes here for this particular report we're talking about. But the Commission puts out data all the time. And at least on an annual basis, there's the Sentencing Commission's Sourcebook on sentencing, which has discussion on organizational cases and includes some of this data. You don't have to wait 30 years to see the trends again. You can keep up with it at the Sentencing Commission website.   Yeah. The small organizations... I think a big surprise to people who have first heard about this because we see the headlines all the time about the Enrons and, I'm going to date myself here, World Comps and Volkswagen and some of the other organizations. Some of those aren't actually even criminal sentences, as you point out. Those are deferred prosecution agreements or civil settlements of some sort, but those are the companies that make the headlines. It's the little guys, small and medium-sized organizations, that take these big hits more frequently than the larger organizations. That, I think, is surprising to people who aren't familiar with the data, but that's a consistent trend throughout the entirety of the enforcement, at least throughout the 30 years that the Commission's been keeping track.   Kathleen Grilli: Yeah. It may change now, given what the Department of Justice said last week.   Eric Morehead: Yeah. You never know. Yeah never know. We'll have to pay attention and then look at the Sourcebook next year and see what the differences are. The other impact beyond our friends at the Department of Justice and the courts throughout the United States is the impact that the Commission and the organizational sentencing guidelines and these standards have had on other enforcement agencies besides the criminal enforcement and also internationally, which I think is very interesting.   Can you talk a little bit... And that's documented in chapter three of this report. The first chapter is talking a little bit about the history. The second chapter is the data that we were just discussing. And then chapter three talks about how the USSC has encouraged other enforcement agencies and regulators to focus on good governance and compliance. Can you discuss a little bit about what the team found when you researched that?   Kathleen Grilli: Yeah. I think that using the word that the USSC has encouraged suggests that there's some sort of active work going on by the Commission. Let me just say that I don't think that is a fair statement. The Commission did its work and let its work speak for itself, and it has sort of spread throughout regulatory agencies and/or the globe just because it makes sense, I think. Anyway, that's my personal opinion. But I made reference to the Department of Justice, and so I'll start with a Department of Justice if I could.   The Attorney General, where it's his designee is an ex-officio member of the Commission, a non-voting member. Obviously, the Attorney General Department of Justice were actively involved in the development of the chapter eight itself and then the subsequent amendments in 2004 and 2010. But you see the impact of the guidelines in their evaluation of corporate compliance programs and all of the information that they release and discuss on how they focus on compliance in deciding how to prosecute an organization.   Just last week, the Deputy Attorney General, Lisa Monaco, talked about changes that they're going to make. There was sort of an oblique reference to our data, which is that there's been a drop in corporate prosecutions that we see in the data. I think there were less than a hundred last year, and they talked about sort of reversing that trend and looking at that, that the department thinks this is important. And they've placed a lot of importance recently on compliance programs because she said companies need to actively review their compliance program to ensure that they adequately monitor for and remediate misconduct or it's going to cost them down the line.   Kenneth Polite, who is the... I think it's Assistant Attorney General of the Criminal Division. He's a former chief compliance officer and they've made a lot of emphasis in the department on active review of programs and true independence for the chief compliance officer. That's the Department of Justice who obviously are actively involved in using the guidelines in federal courthouses, but then you have other regulatory agencies.   I'm going to run through them real quick and just say the SEC, HHS, EPA, FERC, which is Federal Energy Regulatory Commission, and the FAR all have requirements built into them about compliance programs. And most of them say that they're looking to the guidance on the guidelines. Some of them adopted them full scale, some of them may have modified them a little bit. And all of that came after chapter eight in 1991. All of those agencies look to the guidelines.             And then we see that if you look internationally at what's happening around the world in terms of anti-corruption, anti-bribery, and all the like, that elements of the hallmarks for an effective compliance and ethics program found in the guidelines are making their way into legislation, into programs, into initiatives that foreign governments are releasing. And I can't even keep track of it, truthfully, but it seems to be coming up more and more and more.             When the Commission promulgating the guidelines in 1991, they described them as an experiment. We wanted in this publication to sort of show, did the experiment bear fruit? And I think all of that suggests that it did. These changes and everything that goes back to those original seven steps laid out in the guidelines and elevated in 2004 to give them a little more prominence. It really is very, very exciting. I feel bad. I sound sort of like I'm patting myself on the back, and so I want to make it really clear to the listeners. I was not on this staff in 1991. I wasn't working on this. I did not have anything to do with the 2004 amendments. I came into it after the fact, but it's just really exciting to see it and to see the impact and how well regarded the Commission's work is.   Eric Morehead: No, I think that's right. I think the report really sums up what I think a lot of us have felt. Again, I'm probably biased, but a lot of us have felt this way for a while, that the standards, really, have set the bar and provided kind of a North Star for compliance programs for that whole generation, that whole 30 years. And it's made a difference in millions of people's daily lives in their working lives, because it affects how their company operates for the good or for the bad. And that really makes all the difference to us. I think you guys can successfully pat yourselves on the back a little bit.   Well, last thing, again, knowing that we're talking to a lot of compliance officers who hopefully have, if they're new, have a little bit more appreciation as to why the US Sentencing Commission is involved in their lives, are there other takeaways from the research and work that the team put into this report that you think are particular importance for compliance professionals or things they should be aware of? Kathleen Grilli: Well, one of the things that I hear when I intend conferences and one of the things that I think folks [inaudible 00:26:26] is the fact that there's not enough investment in compliance. The bottom line in business is money and making money, and you can't necessarily provide metrics that show how your work is going to add to the bottom line. Then it's hard to make the case. Now, I know these days, in recent years, folks have come up with ways to measure how compliance and ethics does contribute to the bottom line, and I really believe it does. But this data can offer you the picture of what happens if you don't.   Eric Morehead: Yeah.   Kathleen Grilli: Because since 1992, courts have imposed nearly $33 billion in fines on organizational offenders. The average fine was over $9 million. Although the median was a little lower, it was only $100,000. But for a small mom and pop organization, a hundred grand is a lot of money. And the other thing is that courts will sentence organizations to probation. Over two thirds of the organizational offenders in the last 30 years have been placed on probation with an average term of 39 months, where you're going to have to be reporting to a probation officer and complying with all these requirements. And that's time consuming and costly, too, when you think about it. There's a little bit there that can answer the mail in terms of why am I going to invest in compliance and ethics.   Eric Morehead: I'm a big believer in making the positive business case, but you also need to make the "everybody's going to go to jail" case too.   Kathleen Grilli: Well, especially in light of the recent guidance that the Department of Justice, I mean, where they're going to be looking at individuals and they're going to be requiring organizations to give up all individuals who might be involved, I think that's something that folks should keep in mind as well. It's important because it's not just going to be the company, it's going to be the employees too.   Eric Morehead: Yeah. And again, that's important data. That's in chapter two of this report, that over 50% of the time over the period, you've got at least one living, breathing human being who's also faced charges consistent with the charges that the organizations faced. It includes actual human beings in this process, not just the organization.   Kathleen Grilli: I think we're only going to see an increase if the department's guidance holds true that those numbers may go up.   Eric Morehead: Yeah. We'll have to check. We'll check in next year after the Sourcebook comes out and see if the trend has moved. Kathleen Grilli, it's been a tremendous honor again to have you on our podcast and really appreciate you taking the time.   Kathleen Grilli: Oh, it's an honor for me to be here. Thank you so much for inviting me.   Eric Morehead: No problem. My name is Eric Morehead and I want to thank all of you for tuning in once again to the Principled Podcast by LRN. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us lrn.com To learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen, and don't forget to leave us a review.  

Insert:Human
Protecting our Public Intelligence with Sherin Mathew

Insert:Human

Play Episode Listen Later Aug 15, 2022 40:55


Sherin Mathew is an AI strategist, ethicist, public speaker, and data specialist. He founded Public Intelligence, a social enterprise built to represent humanity's response to the inevitable increase in AI-powered roles and occupations. Their primary concern as a platform is job availability and security for future generations. Aside from speaking about AI's impact on job opportunities, Sherin works as an AI strategist at AI Tech UK and as the CTO and Chief AI and Ethics Officer at Lexyfi.Sherin joins me today to discuss his passions for technology and our rights to our own intelligence. He deconstructs “sensitive intelligence” and shares why he named his first robot Gabriel. He explains how AI will take over mechanical jobs and describes what can happen to those left without job opportunities. He reveals the problem with innovating too fast and details the risks associated with data leaks. Sherin also deliberates on what it means to be accountable in how we share and protect our intelligence."AI is ruthless. It will literally impact every industry." - Sherin MathewThis week on Insert:Human●      Recapping what Insert:Human is all about●      Where Sherin's passion for tech started●      Sherin's first robot, Gabriel●      What Sherin considers "sensitive intelligence"●      The future of job automation and how we upskill our workforce●      How AI will disrupt and create opportunities simultaneously●      The problem with high-speed innovations●      Ethics in technology and AI●      Defining ethics in various cultures●      Being accountable for how we protect and share our intelligenceResources Mentioned:●      General Data Protection Regulation (GDPR)Connect with Sherin Mathew:●      AI Tech UK●      Lexyfi●      Public Intelligence●      Sherin Mathew on LinkedInInsert:Human - For a Better Life & Better WorldThanks for tuning into this week's episode of Insert:Human. If you enjoyed this episode, please subscribe to the show and leave a review wherever you get your podcasts. Apple Podcasts | TuneIn | GooglePlay | Stitcher | SpotifyBe sure to share your favorite episodes on social media to help me reach more seekers and problem-solvers, like you. Join me on Twitter, Instagram, and Linkedin. For more exclusive content and to claim your free copy of the first chapter of my upcoming book, Technology is Dead, visit my website.

PI’s Declassified!
Encore Do You Want to Write a Book?

PI’s Declassified!

Play Episode Listen Later Aug 11, 2022 56:15


It is not a surprise that any private investigator has a plethora of experiences and stories to provide terrific fodder for an interesting read. It could be a tale of an interesting case, a compilation of short stories, or an instructional how-to book. The topics are endless. Where do you start? How do you get published? What are your available options? Private Investigator and Chief Ethics Officer of a major global provider of whistleblower hotline and compliance services in over 150 countries, Eugene Ferraro has published more than a dozen books. Through the publishing process, Gene became annoyed with the tactics of big-name publishers and developed an efficient process to enable to individuals to get their works published. Tune in to hear Gene provide tips and guidelines to enable you to become a successful author.

PI’s Declassified!
Encore Do You Want to Write a Book?

PI’s Declassified!

Play Episode Listen Later Aug 11, 2022 56:15


It is not a surprise that any private investigator has a plethora of experiences and stories to provide terrific fodder for an interesting read. It could be a tale of an interesting case, a compilation of short stories, or an instructional how-to book. The topics are endless. Where do you start? How do you get published? What are your available options? Private Investigator and Chief Ethics Officer of a major global provider of whistleblower hotline and compliance services in over 150 countries, Eugene Ferraro has published more than a dozen books. Through the publishing process, Gene became annoyed with the tactics of big-name publishers and developed an efficient process to enable to individuals to get their works published. Tune in to hear Gene provide tips and guidelines to enable you to become a successful author.

The Ethics Experts
Episode 127 - Blake Wilson

The Ethics Experts

Play Episode Listen Later Jul 11, 2022 39:22


In this episode of The Ethics Experts, Nick welcomes Blake Wilson. With more than 25 years of auditing experience, Blake is the BDO's Chief Compliance and Ethics Officer and its National Managing Partner – Assurance Quality management. As Chief Compliance and Ethics Officer, Blake is responsible for overseeing the firm's Compliance Office to effectively manage risk and ensure the firm continues to uphold the highest ethical standards and complies with internal policies and external laws and regulations.

Chariot TechCast
TechChat Tuesdays #50: ETE 2022 Keynote, Elizabeth Adams

Chariot TechCast

Play Episode Listen Later Apr 20, 2022 40:27


It’s our 50th episode! We welcome an extraordinary guest, Elizabeth Adams! Elizabeth Adams was one of our keynote speakers at Philly ETE 2022 this year. She is the Global Chief AI Culture & Ethics Officer of Women in AI, and a Forbes “15 AI Ethics Leaders Showing The World The Way Of The Future.” Host ... Read More The post TechChat Tuesdays #50: ETE 2022 Keynote, Elizabeth Adams appeared first on Chariot Solutions.

Gale Force Wins
#102 Dr. Chandra Kavanagh - Director Bounce Health Innovation

Gale Force Wins

Play Episode Listen Later Mar 8, 2022 50:43


Dr. Chandra Kavanagh is the Director of Bounce Health Innovation. Bounce Health Innovation is a medical technology cluster and health innovation incubator. The vision of Bounce is to help Newfoundland and Labrador become the testbed for medical technology innovation in North America. Prior to this she served as the Ethics Officer for the Newfoundland and Labrador Health Research Ethics Authority. She also teaches biomedical ethics for the Memorial University of Newfoundland and Labrador School of Medicine, and the MUN philosophy department. Chandra received her PhD in 2019 from the philosophy department at McMaster University, where she studied biomedical ethics and feminist philosophy. Chandra's presentations on political and ethical issues have received high acclaim across Canada, the United States, Europe and Australia and she has been widely published in both academic and popular media.Areas of Specialization: Bioethics, Mental Health Ethics, Feminist Philosophy, Moral Philosophy.Connect with Chandra on LinkedIn here: https://www.linkedin.com/in/chandra-kavanagh-phd-4a376a122/#GaleForceWins New episodes every Tuesday evening on Youtube or wherever you get your podcasts.You can also visit https://galeforcewins.com/To message Gerry visit: https://www.linkedin.com/in/gerrycarew/To message Allan visit: https://www.linkedin.com/in/allanadale/

Principled
S7E02 | How the U.S. Sentencing Commission has defined E&C

Principled

Play Episode Listen Later Feb 11, 2022 24:39


Abstract: Most ethics and compliance professionals have heard of the “seven hallmarks” of an effective E&C program that is enshrined in the U.S. Sentencing Commission's Federal Sentencing Guidelines: Implementing written standards of conduct, policies, and procedures. Designating a compliance officer and compliance committee. Conducting effective training and education. Developing effective lines of communication. Conducting internal monitoring and auditing. Enforcing standards through well-publicized disciplinary guidelines. Responded promptly to problems and undertaking corrective action. But where did these guidelines come from, and who is involved in the process of deciding these standards? In this episode of the Principled Podcast, host Eric Morehead of LRN's Advisory group talks about the evolving role of the U.S. Sentencing Commission with Kathleen Grilli, the commission's General Counsel. Listen in as the two discuss the history of compliance—going back more than 30 years—and unpack what sentencing data can tell us about E&C today. Read the full Federal Sentencing Guidelines for an effective E&C program.   What You'll Learn on This Episode: [1:19] - The history of the sentencing commission and the different roles of the organization. [2:36] - How did the sentencing commission become such an integral part of corporate compliance? [6:40] - With whom does the sentencing commission consult with to find collaboration when considering revisions to guidelines? [12:35] - The 2004 amendments and incorporating ethics into the criteria for an effective program and examples of how changes to the organizational guidelines can come about. [15:36] - Does public comment have to come from advocacy organizations? [17:01] - Trends seen in organizational data over the years. [21:26] - Potential future changes to the organizational sentencing guidelines.    Featured guest: Kathleen Cooper Grilli is the General Counsel for the United States Sentencing Commission, having been appointed to the position on October 7, 2013. Ms. Grilli has been on the staff of the Commission since 2003, serving as an assistant general counsel from 2003-2007 and deputy general counsel from 2007-2013. As the General Counsel, Ms. Grill provides legal advice to the Commissioners on sentencing issues and other matters relating to the operation of the Commission. Ms. Grilli is the agency's Ethics Officer and has conducted training on white collar crime and the organizational guidelines at numerous training events. Prior to working for the Sentencing Commission, Ms. Grilli was with the Office of Staff Counsel for the Fourth Circuit Court of Appeals. Before relocating to Virginia, Ms. Grilli was a partner in a small firm in Fort Lauderdale, Florida, handling civil and criminal litigation. Her previous work experience includes serving as an Assistant Federal Public Defender in the Southern District of Florida and as an associate at Akerman, Senterfitt and Edison, handling commercial litigation. Ms. Grilli is a member of the Bars of Florida and Virginia. She received a Bachelor of Arts in International Relations, with honors, from Florida International University. She graduated cum laude from the University of Miami School of Law.   Featured Host:  Eric Morehead is a member of LRN's Advisory Services team and has over 20 years of experience working with organizations seeking to address compliance issues and build effective compliance and ethics programs. Eric conducts program assessments and examines specific compliance risks. He drafts compliance policies and codes of conduct, works with organizations to build and improve their compliance processes and tools, and provides live training for Boards of Directors, executives, managers, and employees. Eric ran his own consultancy for six years where he advised clients on compliance program enhancements and assisted in creating effective compliance solutions. He was formally the Head of Advisory Services for NYSE Governance Services, a leading compliance training organization, where he was responsible for all aspects of NYSE Governance Services' compliance consulting arm. Prior to joining NYSE, Eric was an Assistant General Counsel of the United States Sentencing Commission in Washington, DC. Eric served as the chair of the policy team that amended the Organizational Sentencing Guidelines in 2010. Eric also spent nearly a decade as a litigation attorney in Houston, Texas where he focused on white-collar and regulatory cases and represented clients at trial and before various agencies including SEC, OSHA and CFTC.   Transcription:  Intro:                                     Welcome to The Principled Podcast, brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business, and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change-makers. Eric Morehead:                 Why is the US Sentencing Commission involved in compliance and ethics? It's a question that both new compliance officers, as well as seasoned professionals, often ask. We've all heard of the seven hallmarks of an effective compliance program that are enshrined in the sentencing guidelines, but where did they come from and who is involved in the process of deciding these standards? Hello, and welcome to another episode of LRN's Principled Podcast. I'm your host, Eric Morehead with LRN's advisory services team. And today, I'm joined by Kathleen Grilli, the General Counsel for US Sentencing Commission. We're going to be talking about the Sentencing Commission, discussing a little compliance history going back more than 30 years, covering what the Commission's role is and was, and talking about what sentencing data might tell us about compliance today. Kathleen, thanks for coming on The Principled Podcast. Kathleen Grilli:                   Eric, thanks for inviting me. Eric Morehead:                 Can you tell us a little bit about the history of the Sentencing Commission itself and the different roles of the organization? Kathleen Grilli:                   Certainly. The Commission is an independent agency in the judicial branch of the federal government. It was established in 1984 by a bipartisan act of Congress called the Sentencing Reform Act of 1984. Congress tasked the Commission with the responsibility of developing federal sentencing policy. So the Commission's principle purposes are to establish sentencing policies and practices for the federal courts, including issuing guidelines regarding the appropriate form and severity of punishment for offenders convicted of federal crimes, to advise and assist Congress, the federal judiciary, and the executive branch in the development of effective and efficient crime policy, and to collect, analyze, research, and distribute a broad array of information on federal crime and sentencing issues. The Commission effectuates this mission in various ways through the guideline amendment process, our data collection research on the issuance of publications, and by providing training to judges, lawyers, and probation officers on federal sentencing issues. Eric Morehead:                 And historically, why and how is it that this Sentencing Commission became such an integral part of corporate compliance? Kathleen Grilli:                   Well, in 1984, when the Sentencing Reform Act was enacted white-collar crime scandals abounded, and the prevailing view was that corporate crime was a cost of doing business, Congress was concerned about inequities and sentencing and created the Commission to ensure that similarly situated defendants convicted of similar crimes received similar punishments. One of the perceived inequities was that affluent defendants were treated more leniently than indigent defendants. Although the primary focus of the Sentencing Reform Act was individual defendants and not organizational defendants or companies, the Act did make changes to the law that impacted companies. It authorized courts to impose a sentence of probation, or fine, or both on companies, and further permitted companies to be subject to orders of forfeiture notice to victims and restitution orders. The Commission understood these changes to mandate that it developed guidelines for sentencing organizations in addition to developing guidelines for sentencing individual defendants. This was quite controversial at the time and many in the business community openly opposed the Commission as it engaged in the process of developing the organizational guidelines. Back then, as I understand the historical record, there were no professional ethics and compliance officers, no professional organizations focused on ethics and compliance, no professional field of study, no business certifications in the topic. There was at least one voluntary association of defense contractors seeking to promote business ethics, and compliance programs in some form were recognized in the antitrust field but were not a prevalent part of corporate America. So the Commission wanted to find a way to deter corporate crime. Because it arises when an employee or an agent commits a crime while acting within the scope of his employment, the Commission thought that self-policing by corporations was the most effective tool to accomplish the goal of deterring corporate crime. Corporate criminal sanctions are a monetary payment to the court and/or restitution to the victims. Since corporations are in the business of making money, the Commission came to the realization that financial incentives would probably be the best way to incentivize corporations to self-police. The implementation of ethics and compliance programs was an outgrowth of the notion of self-policing. Under the chapter 8 guideline fine provisions, an organization has the ability to significantly reduce its fines by having an effective compliance and ethics program, reporting its crime to authorities, and cooperating with those authorities. The Commission thought that this punishment scheme would promote crime deterrence in this area of the law. Chapter 8 was the product of years of work with input from a wide variety of sources. The Commission started work on it in 1986 and held several public hearings featuring witnesses from federal and state agencies, probation officers, academics, the corporate sector, and special interest groups. After publishing several drafts of the organizational guidelines and about five years' worth of study, the Sentencing Commission received and considered a broad array of public comment, including proposals for incorporating affirmative governance factors into the guidelines. These efforts were informed by staff and outside working groups, and the seven elements for an effective ethics and compliance program grew out of this collaborative process. In addition, the Commission purposely drafted the elements in broad terms so that they could be individually tailored by a vastly different types of organizations to which they would apply. Eric Morehead:                 One of the things that I think comes up when you start talking about the role and the process of the Commission is this collaborative effort you mentioned. And the organizational sentencing guidelines have evolved since that first promulgation back in 1991, now, over 30 years. Can you talk a little more specifically about where the Sentencing Commission looks for that collaboration? Whom does it consult with when considering revisions to, not broadly speaking the guidelines, but maybe more specifically, the organizational sentencing guidelines? Kathleen Grilli:                   Sure, Eric. So I've already briefly described the multi-year pro that led to the creation of chapter 8. I would note that while the Commission has made over 800 amendments to the guideline manual, only two of those in the last 30 years have made substantive changes to chapter 8, where you find the organizational guidelines. The 2004 amendment and the 2010 amendment, both of which changes to the criteria for an effective ethics and compliance program. Each of those changes became part of the Commission's amendment cycle in a different way. So let me just briefly describe how that cycle works. The amendment cycle is annual, it's scheduled around certain deadlines set by Congress in the Sentencing Reform Act, our organic statute. For example, the earliest that the Commission can deliver amendments to Congress is at the start of a congressional session in January. And the latest date for delivery is May the 1st. The Act requires the Commission to comply with a notice and comment provisions of the Administrative Procedures Act, which means the Commission has to publicize proposals for Commission action and receive and consider public input about those proposals. So there are various opportunities for solicitation for public comment throughout the amendment cycle. The cycles typically starts in May or June when the Commission holds a planning session. At that session, they consider written materials that detail the work completed on priorities from the prior year and identifying any work that remained to be completed, and includes possible ideas for Commission action from a variety of outside sources. Correspondence, possibly received from judges and/or other members of the public. If we receive those suggestions outside of common period, what we do is we save them and we deliver them to the Commission during an open common period. We look at case law, particularly focusing on opinions from circuit court of appeals that arrive at conflicting decisions on issues surrounding the guidelines. We look at other scholarly materials that suggest changes to the guidelines. Crime legislation is considered. Our helpline database is looked at to find frequently occurring questions that we receive on guideline issues. And our training staff provides input on questions that they receive while training on the guidelines around the country. Sometimes, individual commissioners receive notes from judges or their other acquaintances containing similar suggestions. And the commissioners themselves often have ideas on policy issues that they want to address an amendment cycle. So they discuss these materials and they decide on a tentative list of priorities for the upcoming amendment cycle. We publish that in The Federal Register and on the Commission's website with a deadline for submission of public comment. And the Commission considers that public comment prior to deciding on its final priorities. Certain organizations send a letter to the Commission every year, like the Department of Justice who provides the executive branch a suggestion, for Commission action, the federal public defenders who represent indigent defendants. They also offer suggestions. The Commission has standing advisory groups that represent specific interest groups. Privately retained criminal defense lawyers, probation officers, victims, and Native American tribes who also submit public comments. And then we have certain advocacy groups that are regular submitters to the Commission. But in any given year, the Commission receives a variety of public comment letters from any number of organized groups and individual members of the public. The Commission reads that, decides on final priorities, votes on that at a public meeting, and then we begin our work. Work on these priorities is assigned to the staff of the Commission, which includes lawyers, social scientists, and training staff. And we assist the Commission in developing a robust administrative record on the issues under consideration. So we review case law, legislation, legislative history, Commission historical documents, and other scholarly or scientific literature. We also conduct data analysis using the sentencing data regularly compiled by the Commission. We meet with interested stakeholders to obtain additional information designed to inform the Commission's policy discussion. The staff working groups or the teams report their findings to the Commission in written materials and in oral presentations at the Commission's regular monthly business meetings. Ultimately, these teams develop proposed guideline amendments for the Commissioner's consideration. Draft amendments are published in The Federal Register for a 60-day comment period after the Commission votes to publish those amendments at a public meeting. Those are usually held in December, January. And during the public common period, the Commission holds at least one public hearing, which invited witnesses testify on the policy changes under consideration. After the hearing and review of all public comments, the Commission votes to promulgate amendments at a public meeting in April. The Commission delivers those amendments to Congress no later than May the 1st, at which point Congress has 180 days to review the amendments. Unless Congress enacts legislation, affirmatively disapproving the amendments, the guidelines automatically take effect at the end of the 180-day review period. So the 2004 amendment initially grew out of comments made to a group of seven new commissioners who were appointed in 1999. And they began hearing from these commenters that the organizational sentencing guidelines had been successful in inducing many organizations, both and indirectly, to focus on compliance and to create programs to prevent and detect violations of the law. But these commenters also suggested that changes could and should be made to chapter 8, to give organizations greater guidance regarding the factors that are likely to result in effective programs. Among other things, the Commission was urged to expressly incorporate ethics into the criteria for an effective program. In light of this feedback, the Commission decided to create an ad hoc advisory group to examine the issue and develop proposals for its consideration. Among the members of that group were the current Inspector General for the Department of Justice, Mike Horowitz, the former Attorney General, Eric Holder, and many ethics and compliance professionals from both small and large organizations. Not long after the formation of that group, Congress enacted the Sarbanes–Oxley Act, which directed the Commission to examine penalties for organizations. So the ad hoc groups work tied in very nicely to help the Commission respond to that directive. The ad hoc group did its due diligence, reviewing literature, public comment, soliciting feedback, conducting a hearing. And its work resulted in a draft proposal for changes to chapter 8 for the Commission to consider. The Commission then went through the regular amendment cycle that I just described to you, which resulted in the 2004 changes. As you well know, Eric, since you were at the Commission in 2010 and worked on this policy issue, that amendment grew out of the Commission's catch-all priority for the miscellaneous guideline amendment issues. Then Commissioner, now Chief Judge for the United States District Court in DC, Beryl Howell, believed that chapter eight could be approved upon. And she was able to convince her colleagues to consider this issue. Because the Commission believed that the issue would be very important to the ethics and compliance community, the Commission, through its staff, Eric, made concerted efforts to bring the matter under consideration to the attention of the actors in that community, soliciting comment, and inviting witnesses from the ethics and compliance community to testify at a public hearing. I must say, I have been on the staff of the Commission for 18 plus years, and that was the only hearing at which a miscellaneous amendment garnered two panels of witnesses at a hearing and more public comment than any other amendment under consideration during the amendment cycle. So that's a different example of how changes to the organizational guidelines can come about. Eric Morehead:                 And just to clarify one thing, you talked about advocacy groups, and earlier on mentioned that with the original promulgation in 1991, the Defense Initiative was involved. But does public comment have to come from advocacy organizations? Can it come from anyone? Kathleen Grilli:                   Public comment can come from anyone, and it can come in any form. Folks can email it to our Public Affairs Office. They can send a letter to a Commissioner saying, "Commissioner, I think you need to make this change to the guidelines." They can send it to a member of staff and we compile it, and keep it, and present it to the Commission, no matter who it comes from. In the past, in some of our other guideline amendments, the Commission has received and considered a huge amount of public comment that came from individuals out in the community who were not necessarily active at all in the criminal justice arena. Eric Morehead:                 Yeah. And I think that's an important point as that this process is very well documented and transparent. We see guidance on compliance coming from other regulators out there, but the process that goes on at the Sentencing Commission is something that really is public-focused. And I think that's an important distinction. One of the other key components of the Commission that you mentioned when you were talking about the role is data gathering, and that's gathering data on all the individuals and organizations who have either pled guilty, or been found guilty, and are now being sentenced in front of a federal court. What are some of the trends that we see when we look at organizational sentencing data over the years? Kathleen Grilli:                   Well, I'm glad you asked me about trends, Eric, because one of the things that we're working on right now is a publication to sort of commemorate the 30th anniversary of the organizational guidelines. And we're actually going to be taking a deeper dive into looking at trends. Because normally, when we report out data on the organizational guidelines, it's on an annual basis using our fiscal year data. Well, let me give you some information about a couple of things that I do know about. And I have seen in the years that I've been working on this. First of all, in the 30 years since the adoption of the organizational guidelines, only 11 organizations have received a culpability score reduction for having an effective ethics and compliance program. I view this as a very positive statistic because the Department of Justice tells the business world that it considers ethics and compliance program when evaluating whether to prosecute an organization criminally. Now, I know that there are other ways that organizations get sanctioned by regulatory authorities. Civil fines, non-prosecution agreements, and deferred prosecution agreements. But the bottom line is that Commission data reflects that very few organizations with an effective ethics and compliance program have been prosecuted and criminally sentenced. And I think that's a very big deal. I can tell you that the majority of organizations sentenced in recent years have fewer than 50 employees. And as I mentioned, the publication will be able to report whether that trend holds true over the almost three decades that we've been collecting data on organizational offenders.                                                In the last 20 years, we've seen a steady increase in the percentage of cases in which courts have ordered the development of an ethics and compliance program as a condition of probation. In FY 2000, only 14% of cases involve such a condition compared to nearly that 27% in FY 2020, our fiscal year. Likewise, we have observed an increase in the percentage of cases involving co-defendant individual offenders who were not high-level officials of the organization. In the fiscal year 2000, we observed only 31% of the cases involving a co-defendant who is not a high-level official compared to almost 60% in FY 20. Eric Morehead:                 I think that's a real key data point that can be helpful to organizations when they're talking to their employees about the potential risks involved in misconduct and compliance failures, that doubling basically, of the percentage of individual actual humans that might find themselves facing a federal criminal sanction. Kathleen Grilli:                   Yes. But it's also important to note that they are not high level officials, which might contribute to the fact that you haven't seen so many organizations sentenced in our dataset. That and the culpability score reduction. Eric Morehead:                 Yeah. There's a lot of conventional wisdom. I think that can get debunked by looking at the Sentencing Commission's data. There's that point that it's not all the high level officials, but also that it's smaller organizations because we the headlines that involve the Enrons and other major corporations all the time. That's what gets the ink publications about corporate misconduct. But when we look at the data, it tells a different story. Kathleen Grilli:                   Yes, it does. Eric Morehead:                 And then one other thing that I think is helpful when we're looking at this data is it gives a proper context to the organizations that are facing the most significant punishment, if you will. Because you mentioned before, non-prosecution agreements and deferred prosecution agreements and other regulatory settlements, but there are other consequences out there for organizations that take a federal conviction, including debarment from doing future federal work. And I think the most famous case also is Arthur Anderson, that ceased to exist because they could no longer audit public corporations after they took a federal conviction. So there's other consequences out there when organizations face this ultimate consequence. Last area I wanted to spend just a couple minutes talking about, Kathleen, is what we might see down the road. What are some potential future changes to the organizational sentencing guidelines? What might be over the horizon for people that are paying attention to this? Kathleen Grilli:                   Well, Eric, let me get out my crystal ball and see what I can tell you. First of all, let me just say that I need Commissioners. Eric Morehead:                 Yes. That's true. Kathleen Grilli:                  This lack of voting quorum of Commissioners for three years now, and I'm quite hopeful that sometime in the very near future, the president will be nominating a slate of seven to replace the terms of the Commissioners that have expired. And the one last man standing are acting here, judge Brier. So I don't know what the potential future is. What I can say is that the guidelines were purposely drafted. The organizational guidelines that is were purposely drafted to broadly apply to all types of organizations.                                                And the Commission has been loathed to make changes to those guidelines in the absence of a real hue and cry from either enforcement officials like the Department of Justice, or from the ethics and compliance community identifying a real need for changes. We are well aware of the fact that the two times that the Commission has made substantive changes to the chapter 8 guidelines, that it caused quite a ripple in the stream. And we're hearing a lot about the impact whether intended or not of the chapter eight guideline changes. So I think a new Commission would be loathed to take on consideration of policy changes in this area, absent that hue and cry. But I am not a presidential appointee. I'm simply the general Counsel of the agency. And I will go where my bosses tell me to go. So if they want to work on it, I say, Let's do it.: Eric Morehead:                 Wow. I hope that our audiences got a sense that there's a little bit more to the Sentencing Commission than just the seven hallmarks of the sentencing guidelines that they learned about when they first came into this area. But I'm afraid we're out of time for today. But Kathleen, thank you so much for joining me on this episode. Kathleen Grilli:                   Eric, thank you so much for inviting me. I really had a good time. Eric Morehead:                 Well, my name is Eric Moorhead, and I want to thank all of you for listening to The Principled Podcast by LRN. Outro:                                   We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning, ethical cultures rooted in sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google podcasts, or wherever you listen. And don't forget to leave us a review.

Protecting Your Practice
Compliance & Systems for Large Practices with Dr. Hayley Porter

Protecting Your Practice

Play Episode Listen Later Oct 12, 2021 35:39


Large practices need to operate smoothly! In this episode, we speak with Dr. Hayley Porter, the Co-Owner and Chief Compliance and Ethics Officer a very large mental health and wellness center. She talks with us about: Steps for ensuring compliance Creating systems Getting the business support you need If you're looking to integrate systems & strategies for compliance, we hope you'll check this out! Here's how you can connect with Balance Point Wellness. website: https://bpointwellness.com/ (https://bpointwellness.com/) Want to connect with the Protecting Your Practice Co-Hosts? Find us at: protectingyourpractice.com FB: @protectingyourpractice IG: @protectingyourpractice To work with Dan if you're a mental health practitioner in Maryland, go to: https://danielmayerlaw.com/ (https://danielmayerlaw.com/ ) To consult with Melissa about your private practice and group practice questions, go to: intentionalpractice.net

Progress, Potential, and Possibilities
Colonel Dr David Barnes - Chief AI Ethics Officer, US Army - Prof, USMA - Ethics Of War & Emerging Tech

Progress, Potential, and Possibilities

Play Episode Listen Later May 2, 2021 65:51


 Disclaimer - COL Dr. Barnes' remarks are personal views and do not necessarily reflect those of the Department of Defense, the United States Army, the United States Military Academy, or any other department or agency of the United States Government. COL Dr. David Barnes is Professor, United States Military Academy (USMA) and Deputy Head of the Department of English and Philosophy, West Point, NY. COL Dr. Barnes concurrently serves as the Chief AI Ethics Officer for the US Army's Artificial Intelligence (AI) Task Force, advising the Army on incorporating ethics, law, and policy into Army AI design, development, testing, and employment, and in this capacity has provided assistance to the Joint AI Center (JAIC), Defense Innovation Board (DIB), National Security Commission on AI, OSD Autonomy Community of Interest, and others. COL Dr. Barnes' research interests include normative and applied ethics, especially the ethics of war and the ethics of emerging technology. He is a DARPA Senior AI Ethics Advisor, a Senior Advisor for the JAIC Responsible AI Subcommittee, and a Research Fellow at the Stockholm Centre for the Ethics of War and Peace. COL Dr. Barnes is a member of the Editorial Boards for AI and Ethics and the Journal of Military Ethics, and he serves on the Board of Directors for the International Society for Military Ethics (ISME). COL Dr. Barnes is the author of The Ethics of Military Privatization: The US Armed Contractor Phenomenon. 

CHED Afternoon News
Residents search for answers after newborn found inside Edmonton apartment building

CHED Afternoon News

Play Episode Listen Later Apr 21, 2021 15:44


Guest: Gordon Self - Chief Mission and Ethics Officer with Covenant Health See omnystudio.com/listener for privacy information.

Alex MacPhail Podcast
#42 Juanita Vorster - Entrepreneur

Alex MacPhail Podcast

Play Episode Listen Later Mar 29, 2021 61:55


Successful entrepreneur and speaker passionate about doing better business, better. Juanita Vorster is a successful entrepreneur who also holds the designations of Certified Director (SA) and certified Ethics Officer. Because of this she is uniquely positioned to give practical guidance on how to do better business better in a world that keeps changing.Her high energy delivery style combined with examples drawing from her own experience always lead to business audiences feeling inspired with renewed hope.The ideal audience for Juanita's topics are business owners and leaders (executives, directors, heads of department etc) who need to regain focus and propel their organisation forward towards sustainable profitable growth.Watch this interview on Youtube: https://www.youtube.com/watch?v=IO5tVuiMChkGet in touch with Alex to improve the performance of your team: alex@alexmacphail.co.zahttps://twitter.com/AlexMacPhail1https://www.linkedin.com/in/flyingmogulwww.alexmacphail.co.za

Inside Paychex
Culture: Unfiltered - Ep. 26, Be Ethical with Stephanie Schaeffer and Becky Cania

Inside Paychex

Play Episode Listen Later Feb 26, 2021 17:04


If you're curious about what makes Paychex one of the world's most ethical companies, you may as well go straight to the top and talk to our Chief Legal and Ethics Officer, Vice President Stephanie Schaeffer. Stephanie is joined this month by Becky Cania, Manager of Corporate Communications, to discuss with Kevin and Debra the recent honor of being named to Ethisphere's list of most ethical companies for the 10th consecutive year, how we received that distinguishing title, and where ethics play into the flagship value of integrity at Paychex. 

The Compliance Life
Katie Smith on lessons from Covid-19 going forward

The Compliance Life

Play Episode Listen Later Nov 24, 2020 14:27


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent. Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie's commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI). In this fourth and final episode, Katie discusses lessons for the compliance professional from the Coronavirus health crisis. We take a look at the role of the CCO after Coid-19 and whether there is an opportunity for you to refocus your compliance program. We conclude with a look at where the compliance professional and compliance profession might in in 2025 and beyond. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life
Katie Smith on when is it time to move on?

The Compliance Life

Play Episode Listen Later Nov 17, 2020 13:53


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent. Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie's commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI). In this third episode, we take up a topic not often discussed by compliance professionals: when is it time to move on? Katie gives six pivots points, including the following: (1) Incredible opportunity – lateral, upward, or balance; (2) Jaded. Objectivity is dying a slow death; (3) Bored as you have stood up a program, survived a crisis, now what do you do? (4) Retire and stay on Autopilot; (5) The support for you program is simply not there; and (6) Died on a compliance hill. Katie provides guidance on what compliance professionals should do if they find themselves in any of these situations. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life
Katie Smith on helping the next generation of compliance professionals

The Compliance Life

Play Episode Listen Later Nov 10, 2020 18:01


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent. Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie's commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI). In this second episode, we take up the some of the skills, tasks and roles that Katie used in her CCO/CECO roles. She discusses how the compliance profession and compliance professionals have evolved over the past two decades. We move into some of the challenges Ethics and Compliance functions face in the Covid-19 world. We conclude with some of Katie's thoughts on how persons just getting into the compliance field can garner mentors. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life
Katie Smith, a CCO with a Liberal Arts Degree

The Compliance Life

Play Episode Listen Later Nov 3, 2020 18:56


The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent. Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie's commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI). In this first episode, we consider Katie's journey to the CCO role. She talks about how her Liberal Arts degree, not a JD, facilitated her success in compliance. She details her initial corporate work in HR and moving over to the compliance field and her journey to the CCO chair. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Way Forward Webcasts with Leon Goren
'Intentional Integrity: How Smart Companies Can Lead an Ethical Revolution' with Rob Chesnut

The Way Forward Webcasts with Leon Goren

Play Episode Listen Later Nov 1, 2020 59:49


In this week's episode of The Way Forward, Robert Chesnut, former Chief Counsel and Ethics Officer of Airbnb and author of his new book Intentional Integrity: How Smart Companies Can Lead an Ethical Revolution, speaks with Leon Goren.  In the talk, Rob argues that the “do no evil” mantra is no longer enough, and companies that do not think seriously about a crucial element of corporate culture – integrity – are destined to fail. Defining integrity is difficult. As our workplaces become more diverse, global, and connected, integrity matters more than ever. It requires leadership from the top, but it also requires that everyone in the company have a shared sense of what integrity means and a strong, empowered voice to put that integrity into practice. Sounds difficult to achieve, but through his 6 C's, Rob shares how leaders can engage and empower employees to recognize and tackle integrity dilemmas as they would any other business challenge, by considering both short- and long-term consequences. Join us for our  PEO Leadership Annual Conference. We are expecting 1,500 C-level executives, many with their entire leadership team, to join us on November 18th and 19th. Tune in to our new podcast, Snippets! In short segments, Leon Goren brings together business leaders to share stories, best practices and learnings with the rest of the community. Available on Apple podcasts or wherever you get your podcasts, https://podcasts.apple.com/ca/podcast/snippets-with-leon-goren/id1510439127.If you'd like to find out more about our leadership community, please feel free to reach out directly to lgoren@peo-leadership.com. If you enjoyed today's podcast, please subscribe and give us a review on Apple podcasts, or wherever you get your podcasts.  

Wisdom, Leadership & Success
6 – How Practicing Love and Getting Results Will Change Your Life

Wisdom, Leadership & Success

Play Episode Listen Later Oct 16, 2020 7:32


Welcome to the sixth episode in our series on how you can achieve happiness and success in life. From our earlier episodes, we know that Happiness and success in life come from high-trust, covenant relationships. In our last episode, we said that the best way of developing good relationships is to live the three virtues: Seek Wisdom Practice Love Get Results The more people trust your wisdom, that you love them, and that you get things done, the stronger your relationships. In our last episode we also talked about what wisdom is and why its critical for your success. In this episode, we’ll go deeper into the other two important virtues—Practice Love and Get Results. PRACTICE LOVE Back in the early 2000’s, I spent some time as the Ethics Officer for the Los Angeles Unified School District. The district had gone through a major scandal and was doing some reform. I was 36 years old. This was a senior position in a multi-billion-dollar agency, and my boss Hal gave me a great opportunity. It was a fantastic experience. Hal taught me about the law, government, politics, unions and leadership—all good stuff. What made Hal a great leader however, was that he genuinely cared about his people. We all worked harder for Hal because we knew he cared about us. Twenty years later, many of us are still friends with Hal. How did I know that Hal cared about me? He showed it several ways. Hal believed in me. He asked for my input on major issues within the broader legal office. He actively listened to what I said. In my area of responsibility, he gave me the authority to make district-wide decisions. When I was attacked, Hal backed me without hesitation—even when it cost him politically. Hal treated me like a teammate, not a minion. Hal really focused on doing the right thing for kids and the district instead of what was politically expedient. Finally, Hal took an active interest in my personal and career development. He challenged me to continuously improve my ideas, writing and work. He made sure that I learned important lessons about leadership, politics and big organizations that I could use throughout my life. I picked up a lot of knowledge from Hal, but more important, I learned the power of genuine care for others. Care doesn’t just get better performance from people. Care transforms both the person giving and the person receiving the care. Remember that. My junior high school wrestling coach, Jim, had a big impact on my life. The impact wasn’t that he taught me a better wrestling move. It was because he took the time to care. More than 40 years later, we’re still friends. Think back to the people who made the biggest differences in your life. Did they make that difference by teaching you a better way to throw a ball or do a math equation? Or did they make a difference because they cared? We have been talking about people caring for each other, so why is it practice love instead of care about others? It is because love is the deepest kind of caring you can have for another. Love gets the most commitment. Love builds the strongest relationship bonds. Love-based covenant relationships are deeper, stronger and more committed than contract/transactional relationships or power-based relationships. Of course, it’s really important to know what we mean by love. Love is much more than a feeling. Love is taking action to do what is best for another. The ancient Greeks recognized different types of love including philia and agape. Philia is brotherly love. That’s why Philadelphia is known as the City of Brotherly Love. Philia is a mutual friendship where you care about the other person’s well-being—what is best for them. Agape love is deeper, self-sacrificing love. It is when you are willing to die for another. Love doesn’t just benefit the person receiving the love. When you practice love, it transforms you. You become what you do.

Wisdom, Leadership & Success
6 – How Practicing Love and Getting Results Will Change Your Life

Wisdom, Leadership & Success

Play Episode Listen Later Oct 16, 2020 7:32


Welcome to the sixth episode in our series on how you can achieve happiness and success in life. From our earlier episodes, we know that Happiness and success in life come from high-trust, covenant relationships. In our last episode, we said that the best way of developing good relationships is to live the three virtues: Seek Wisdom Practice Love Get Results The more people trust your wisdom, that you love them, and that you get things done, the stronger your relationships. In our last episode we also talked about what wisdom is and why its critical for your success. In this episode, we’ll go deeper into the other two important virtues—Practice Love and Get Results. PRACTICE LOVE Back in the early 2000’s, I spent some time as the Ethics Officer for the Los Angeles Unified School District. The district had gone through a major scandal and was doing some reform. I was 36 years old. This was a senior position in a multi-billion-dollar agency, and my boss Hal gave me a great opportunity. It was a fantastic experience. Hal taught me about the law, government, politics, unions and leadership—all good stuff. What made Hal a great leader however, was that he genuinely cared about his people. We all worked harder for Hal because we knew he cared about us. Twenty years later, many of us are still friends with Hal. How did I know that Hal cared about me? He showed it several ways. Hal believed in me. He asked for my input on major issues within the broader legal office. He actively listened to what I said. In my area of responsibility, he gave me the authority to make district-wide decisions. When I was attacked, Hal backed me without hesitation—even when it cost him politically. Hal treated me like a teammate, not a minion. Hal really focused on doing the right thing for kids and the district instead of what was politically expedient. Finally, Hal took an active interest in my personal and career development. He challenged me to continuously improve my ideas, writing and work. He made sure that I learned important lessons about leadership, politics and big organizations that I could use throughout my life. I picked up a lot of knowledge from Hal, but more important, I learned the power of genuine care for others. Care doesn’t just get better performance from people. Care transforms both the person giving and the person receiving the care. Remember that. My junior high school wrestling coach, Jim, had a big impact on my life. The impact wasn’t that he taught me a better wrestling move. It was because he took the time to care. More than 40 years later, we’re still friends. Think back to the people who made the biggest differences in your life. Did they make that difference by teaching you a better way to throw a ball or do a math equation? Or did they make a difference because they cared? We have been talking about people caring for each other, so why is it practice love instead of care about others? It is because love is the deepest kind of caring you can have for another. Love gets the most commitment. Love builds the strongest relationship bonds. Love-based covenant relationships are deeper, stronger and more committed than contract/transactional relationships or power-based relationships. Of course, it’s really important to know what we mean by love. Love is much more than a feeling. Love is taking action to do what is best for another. The ancient Greeks recognized different types of love including philia and agape. Philia is brotherly love. That’s why Philadelphia is known as the City of Brotherly Love. Philia is a mutual friendship where you care about the other person’s well-being—what is best for them. Agape love is deeper, self-sacrificing love. It is when you are willing to die for another. Love doesn’t just benefit the person receiving the love. When you practice love, it transforms you. You become what you do.

Fraud Eats Strategy
Critiquing Leadership and Living to Tell About It

Fraud Eats Strategy

Play Episode Listen Later Oct 14, 2020 28:07


In this episode, we talk about the uncomfortable and sometimes terrifying situation when a compliance officer must critique a member of leadership team and living to tell about it. In recent years, the expression “tone at the top” has been displaced by “conduct at the top” ushering in a new era of leadership accountability and transparency by the DOJ and other enforcement agencies in the U.S. and overseas. As a practical matter, compliance officers must on occasion investigate or critique members of the leadership team when conducting an internal investigation or assessing the ethics and compliance program. Joining me today is Matt Tanzer. For 13 years, Matt held various positions at Tyco including Chief Compliance & Ethics Officer. A position he also held after Tyco was merged into Johnson Controls.  

A.S.N Web Novels and Short Stories Audiobooks
BONUS! r/HFY Tails from Outer Space #341 - 2 Stories - The ethics officer & Where everybody knows your name

A.S.N Web Novels and Short Stories Audiobooks

Play Episode Listen Later Aug 4, 2020 13:50


Original Story https://www.reddit.com/r/HFY/comments/9p42v6/fourteen_beings_left_one_stayed_back/ https://www.reddit.com/r/HFY/comments/8cj5s3/oc_they_torture_themselves/https://www.reddit.com/r/HFY/comments/9y4t4k/oc_humans_wtf/   If You enjoyed consider leaving a Tip : https://www.paypal.me/agrosquerril  OR Patreon : https://www.patreon.com/agrosquerrils  Greetings Ladies and Mentlegents and welcome to my channel where I like to make LEGAL Audiobooks of various types from web novels and short stories. If you are new to the channel then click on the information icon for the entire playlist to help get you up to current faster. This Oneshot was Taken from the HFY subreddit which hosts mostly Sci-Fi based short stories called oneshots and series. As Always i hope you enjoy and can find some content on my channel you like. Feel free to recommend a series or a story and i will have a look into it. Email : Agrosquerrils@gmail.com  Twitter : https://twitter.com/agrosquerrils  Streamlabs : https://streamlabs.com/agrosquerrils  Discord : https://discord.gg/XeMwEqX  All Donation are welcome and much appreciated. Thank you all for listening and your support.

The Chris Voss Show
The Chris Voss Show Podcast – Ethics & Why It Matters with Kirk Hazlett, APR, Fellow PRSA, Adjunct Professor, Communication, University of Tampa

The Chris Voss Show

Play Episode Listen Later Jul 21, 2020 40:25


Ethics & Why It Matters with Kirk Hazlett, APR, Fellow PRSA, Adjunct Professor, Communication, University of Tampa Kirk Hazlett Bio A public relations professional-turned-public relations professor, Kirk Hazlett, APR, Fellow PRSA, is Adjunct Professor of Communication at the University of Tampa (FL). He is passionate about ethical PR practice and currently serves as PRSA Tampa Bay’s first Ethics Officer. In addition, he is Chair of the Ethics Committee, Global Listening Centre, an international non-profit organization promoting the noble cause of listening worldwide and encouraging individuals, organizations and institutions to work together to meet the urgent challenges of society. Before moving into academia, Kirk practiced nonprofit and government public relations and marketing for more than 35 years in the US as well as Asia. During his professional career, he managed communication programs for healthcare and member services organizations as well as the US Army and US Air Force in Vietnam, the Philippines and the United States. He also provided consulting services for both the Manila and the Singapore Red Cross.

Creativity and Compliance
Corporate Compliance and Ethics Week, Part 2-Talk Shows

Creativity and Compliance

Play Episode Listen Later Nov 5, 2019 8:02


Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection - they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network. In this episode Ronnie and Tom continue our five-part series on creative ideas you can use during the Corporate Compliance and Ethics Week.  In this Part 2, we discuss using talk shows to communicate about compliance. In this episode we consider how you can create a compliance and integrity themed Talk Show to help foster greater communications with your employee base. Tom and Ronnie both agree that Corporate Compliance and Ethics Weekinitiatives must be followed up throughout the year.  Some of the ideas include: §  A talk show hosted interview Ethics Officer and Leadership. §  A Letterman type talk show complete with Top-10 lists and desk bits. §  Using Improv Performance to emphasize your Core Values around integrity, compliance and ethics and corporate culture. §  You can do a show live or recorded but remember to avoid talking head.  §  Finally it can be dialogues or monologues. Resources: Ronnie Feldman (LinkedIn) Learnings & Entertainments (LinkedIn)  Ronnie Feldman (Twitter) Learnings & Entertainments (Website) 60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches. Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care. Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.

Four Decades In Scientology
Twisted Sophie's Choice

Four Decades In Scientology

Play Episode Listen Later Aug 2, 2019 21:11


As a Sea Org member, I had to keep my pregnancy secret. I knew what had happened to other women that got pregnant: they were sent away to strange and unknown places to run small and failing Scientology organizations (they don't call them churches). I was getting sick a lot and that means you are in trouble and sent to the Ethics Officer to "figure out" what you are doing to cause your sickness. That's when I spilled the beans and was immediately branded an unethical human. Why would I choose to have my baby over "putting in ethics on Planet Earth"? Who was the woman that trapped me in a room in an attempt to get me to abort my baby? Where would I go to get help or try to change the ugly future I was expecting to live? I went to David Miscavige and I share exactly what his response was to me BEGGING for help. Support the show (https://www.patreon.com/sarita88)

Matt Brown Show - CLIPS!
Which Industries Are Ripe For Disruption- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 2:24


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
Where Does Different Come Into Play In The Success Game- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 3:21


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
You Don't Have To Be Extraordinary To Be Extreme- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 2:33


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
The Overwhelming Question Behind Machine Learning- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 0:59


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
Understand And Lead The Future- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 4:21


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kick-start innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
Impactful Change Is Always Possible- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 4:40


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
What Is Disruptive Change And Can You Benefit From It- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 2:55


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kick-start innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Matt Brown Show - CLIPS!
The Ology Of Disruption- Juanita Voster (Certified Director, Certified Ethics Officer and Chartered Public Relations Practitioner)

Matt Brown Show - CLIPS!

Play Episode Listen Later Feb 19, 2019 4:44


Disruptology. This is the study of the discipline of disruption in business. Self-confessed naive optimist and change-advocate, Juanita Vorster has studied the world of disruption and change, how work used to be and where it is likely going to be heading. A successful business owner with designations of Certified Director (SA), Certified Ethics Officer, and Chartered Public Relations Practitioner, she is uniquely positioned to give practical guidance on how to stay ahead of the curve of change and how to remain relevant in the face of a world permeated with robots and artificial intelligence. She regularly inspires audiences to embrace change, welcome disruption, and kickstart innovation. In this episode we discuss the importance of learning, unlearning and how to prepare yourself and your loved ones for the future. Taken From MBS(Episode 149): https://www.youtube.com/watch?v=qymPR9LXtgw

Where R.A. Now?
Episode 42: Joseph Azam '03 & '05 CAS Lawyer & Chief Compliance Officer cohost David Zarowin (Coral)

Where R.A. Now?

Play Episode Listen Later Jan 23, 2019 25:15


Joseph Azam is Senior Vice President and Global Chief Compliance & Ethics Officer at Infor, a privately held major provider of business-specific software across the manufacturing, distribution and service industries worldwide. In his role, Joe oversees business conduct, internal investigations, corporate criminal matters and compliance in a wide range of areas, including anti-corruption, sanctions and export controls. Prior to his position at Infor, he served as SVP & Group Chief Compliance Officer at News Corp and SVP & Associate General Counsel, Global Anti-Bribery at London-based HSBC where he was also a member of the bank’s Global Internal Investigations Group investigating bribery, money laundering, sanctions violations, and other financial crimes. He has held similar in-house positions at Accenture and Oracle. He began his legal career at Willkie Farr & Gallagher LLP in New York. His work has taken him throughout the Americas, Europe, Asia, the Middle East and Africa. He is a graduate of the University of California, Hastings College of the Law, where he was co-Editor-In-Chief of the Hastings International & Comparative Law Review and now serves on the law school's Board of Governors. He holds a B.A. and M.A. from NYU where his graduate research focused on Political Islam in the Middle East and South Asia. His has written for Ethisphere Magazine, the San Francisco Chronicle, Lucky Peach Magazine, the LA Times, and MTVNews. In 2018, he contributed to The Displaced, an acclaimed book of essays published by AbramsPress and edited by Pulitzer Prize-winning author Viet Thanh Nguyen. Proceeds from the book go directly to the International Rescue Committee. Joe was an RA at Goddard (02-03) and GA at Coral Towers (03-05).

We're Only Human
We're Only Human 39: Ohio Living Serves 70,000 Clients Annually with Core Values

We're Only Human

Play Episode Listen Later Jul 31, 2018 46:28


Do you know the core values of your business? Do your employees? More importantly, do they live them?  In today's episode, Ben interviews Dana Ullom-Vucelich, Chief Human Resources Officer and Ethics Officer at Ohio Living. Ohio Living provides services to a range of individuals, reaching more than 70,000 clients per year. The company's 3200 employees are guided not just by policy and procedure, but by a strong sense of ethics and core values that permeate the culture and atmosphere of the firm.  In the discussion, Ullom-Vucelich gives her insights into what it takes to engage employees and get their best. In addition, she gives a variety of business and clinical/healthcare impacts of having engaged employees, going beyond the "pat on the back" to more substantial value that engagement and recognition can bring. If your business is looking for ways to create more engagement and drive better business results, this is the show for you.  Learn more: https://www.ohioliving.org If you enjoyed this, be sure to check out episode 20: Growing a Business with Your Heart

AML Conversations
AML/CFT since 9/11 and the Vast Array of Challenges in 2018 from an AML Public Servant

AML Conversations

Play Episode Listen Later Jul 6, 2018 41:11


In this edition of AML Conversations, AML RightSource Vice Chairman, John Byrne, sat down with John Roth. John Roth has spent his career addressing the major challenges facing the AML community in the public sector and now is leading an effort for an important component in a new part of the private sector. John Roth’s distinguished career includes being the lead of the 9/11 Commission Report on terrorist financing, serving as Inspector General at the Department of Homeland Security, and serving as the Department of Justice’s liaison to the Financial Action Task Force (FATF). Today he works for a digital currency exchange, Bittrex, as the Chief Compliance and Ethics Officer. The discussion focuses on John Roth’s career and ends with where Bittrex fits in with financial technology and his views on artificial intelligence.

The Big Unlock
Sheila Colclasure: Ethical data use has to be “just” and “fair” – Sheila Colclasure, Chief Data Ethics Officer, Acxiom

The Big Unlock

Play Episode Listen Later Jun 21, 2018 24:44


Sheila Colclasure, Global Chief Data Ethics Officer of Acxiom discusses with Paddy Padmanabhan, CEO, Damo Consulting Inc.about ethical data use and the impact of GDPR on healthcare data

The Big Unlock
Sheila Colclasure: Ethical data use has to be “just” and “fair” – Sheila Colclasure, Chief Data Ethics Officer, Acxiom

The Big Unlock

Play Episode Listen Later Jun 21, 2018 24:44


Sheila Colclasure, Global Chief Data Ethics Officer of Acxiom discusses with Paddy Padmanabhan, CEO, Damo Consulting Inc.about ethical data use and the impact of GDPR on healthcare data

The Online Counselling Podcast
016 - Philippa Weitz

The Online Counselling Podcast

Play Episode Listen Later May 26, 2016 44:33


I am thrilled to have the one and only Philippa Weitz on the podcast today. She is arguable THE leading voice for ethical online counselling in the UK – if not the world. She is an online counselling supervisor and founder of pwtraining.com – where they offer training for mental health professionals who are working therapeutically online. She is also the Standards and Ethics Officer for the Association for Counselling and Therapy Online. And most recently she is the author of Psychotherapy 2.0 – Where Psychotherapy and Technology Meet. If you haven't had a chance yet to get her book – it is a MUST read – exploring all aspects of online counselling. I haven't been able to put it down. It's a major work for our field. I am honored to have such a distinguished guest talk with us today. www.pwtraining.com www.acto-uk.org

Play the Game 2015
Integrity in practice: How to fight the fixers

Play the Game 2015

Play Episode Listen Later Nov 23, 2015 114:15


Play the Game 2015 Integrity in practice: How to fight the fixers Parallel Session Tuesday 27 October 2015, 14:15-16:00 Chair: Jesper Frigast Larsen Speakers: Nikolaos Theodorou, General Secretary, K.E.A. Hellas - National Sports Integrity Platform (GR) Damian Voltz, Senior Intelligence Analyst, National Integrity of Sport Unit (AU) Peter Nicholson, Ethics Officer, InternationalCricket Council (AU) Severin Moritzer, CEO, Play Fair Code (AT) Sarah Lacarrière & Evangelos Alexandrakis, Secretary General & Sport Executive Secretary, Global Lottery Monitoring System (GLMS) & European Lotteries (CH) Simon Gardiner, Professor, Leeds Beckett University (UK) Play the Game 2015 operated under the subtitle "global sport: reform or revolution" and gathered around 350 journalists, scientists and sport officials on the 25-29th of October in Play the Game's home town of Aarhus, Denmark. Play the Game is an international conference and communication initiative aiming to strengthen the ethical foundation of sport and promote democracy, transparency and freedom of expression in sport. It is run by the Danish Institute for Sports Studies (Idan), an independent institution set up by the Danish Ministry of Culture. The task of Idan is to create overview over and insight into the field of sport nationally and internationally. http://www.playthegame.org

PI’s Declassified!
Do You Want to Write a Book?

PI’s Declassified!

Play Episode Listen Later Mar 12, 2015 56:15


It is not a surprise that any private investigator has a plethora of experiences and stories to provide terrific fodder for an interesting read. It could be a tale of an interesting case, a compilation of short stories, or an instructional how-to book. The topics are endless. Where do you start? How do you get published? What are your available options? Private Investigator and Chief Ethics Officer of a major global provider of whistleblower hotline and compliance services in over 150 countries, Eugene Ferraro has published more than a dozen books. Through the publishing process, Gene became annoyed with the tactics of big-name publishers and developed an efficient process to enable to individuals to get their works published. Tune in to hear Gene provide tips and guidelines to enable you to become a successful author.

PI’s Declassified!
Do You Want to Write a Book?

PI’s Declassified!

Play Episode Listen Later Mar 12, 2015 56:15


It is not a surprise that any private investigator has a plethora of experiences and stories to provide terrific fodder for an interesting read. It could be a tale of an interesting case, a compilation of short stories, or an instructional how-to book. The topics are endless. Where do you start? How do you get published? What are your available options? Private Investigator and Chief Ethics Officer of a major global provider of whistleblower hotline and compliance services in over 150 countries, Eugene Ferraro has published more than a dozen books. Through the publishing process, Gene became annoyed with the tactics of big-name publishers and developed an efficient process to enable to individuals to get their works published. Tune in to hear Gene provide tips and guidelines to enable you to become a successful author.