Podcasts about scce

This episode is a rare opportunity for #teamgwic to catch up in person at one of the key Ethics & Compliance events, the SCCE Compliance & Ethics Institute (CEI). CEI was in Grapevine, Texas, and, as usual, was a great experience. In this episode, Lisa, Hemma, Ellen and Sarah discussed their highlights from the event. The first keynote was from Principal Deputy Assistant Attorney General Nicole M. Argentieri, who announced revisions to the Evaluation of Corporate Compliance Programs, and the group touches on this and the significance of the changes and having them announced at SCCE. There will be much more to come on this topic. Each of the women discusses their favorite panels and some of the key takeaways they had, including discussions of DEI, controls, and how to work with Boards, as a few examples. They also sent their well-wishes to Nick Gallo, who was missed but, more importantly, is on the road to recovery. One of the best parts of the conference is the opportunity to network and share best practices, and the whole group thought this year's exhibit hall, and the format of the conference with longer breaks, allowed people to make great connections and have some in-depth discussions that don't always happen when you are moving so quickly to not make a panel or event. And the second morning keynote from Matt Friedman discussing his work in fighting human trafficking and modern slavery was moving and inspirational, a reminder of the importance of what we do every day with our due diligence and knowing our customers. All in all, it was a great week of connections, learning and providing so much optimism for the contributions that ethics and compliance professionals make, and to connect (or reconnect) with the amazing people in our community. If you were not able to attend, the team hopes this gives you a sense of the event. #GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards. This is a people's choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting closes October 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164 Resources: Join the Great Women in Compliance community on LinkedIn here.

By Adam Turteltaub Data analytics is a pretty darn big deal in compliance and ethics these days, with rising expectations for compliance programs to be able to demonstrate their effectiveness using hard data. The word “data” even appears a dozen times is the US Department of Justice Criminal Division's Evaluation of Corporate Compliance Programs document. Walter Appleby, formerly VP, Compliance & Ethics at Georgia-Pacific and Rosie Williams, Director, Compliance & Ethics there will be addressing “Harnessing the Power of Data:  Unleashing Compliance Excellence” at the SCCE 23rd Annual Compliance & Ethics Institute, which will be held September 22-25 in Grapevine, TX. In this podcast they explain that better use of data carries a number of benefits including a stronger risk assessment and management program, better informed decision making, and more effective use of compliance resources. Data analytics begins with collecting together the data you have and determining its quality. As the old adage says: bad data in, bad data out. Sources of data can include your helpline, training statistics, HR and even legal. You will also need to determine which metrics best reflect the performance of the compliance program. Here, the risk assessment is helpful, but so too is taking the time to listen to and think through the needs of your customers in the business unit. Next, determine the proper recipe for integrating the various data resources so you and leadership can gain insights into gaps and deficiencies. This likely includes taking the time to think graphically to determine how best to visualize the data in ways management finds useful. Listen in to learn more about how to use data to pinpoint issues, identify opportunities and assess the effectiveness of your program. And, don't forget to catch their session at the 23rd Annual Compliance & Ethics Institute.

By Adam Turteltaub Risk assessment and management is at the core of compliance and front and center on the agenda at the SCCE 23rd Annual Compliance & Ethics Institute, which takes place September 22-25 in Grapevine, TX (and virtually, too).  Elizabeth Simon, Vice President of Compliance & Risk at Progress Residential will be contributing to the discussion with her session, “Enter at Your Own Risk: Optimizing Your Enterprise Risk Assessment”. In this podcast she provides a preview of her session and shares that compliance plays a unique role in enterprise risk management since it touches so many risk areas, from culture to operations to finance. This, in turn, requires that the compliance team become a part of the broader risk assessment process to know where the potential challenges are. It also requires that the compliance team bring its experience and solutions to the table and to the board to demonstrate it's value to the enterprise and its risk assessment. Listen in to learn more, and then join us in Texas for the 23rd Annual Compliance & Ethics Institute.

By Adam Turteltaub Some people have a gift for invisibly attending a conference, and no one knows that they were even there. That's great for a conference of spies, but most people at compliance conferences like to meet at least some of the other attendees. For many, though, connecting with strangers is difficult, whether they know no one or they are shy about going beyond their usual circle of contacts. So what do you do if you are one of them? To find out we spoke with Richard Bistrong (LinkedIn), newsletter author and CEO Of Frontline Antibribery, who will be moderating a general session at the 2024 SCCE European Compliance & Ethics Institute in Amsterdam. If you spot someone standing alone and looking a bit lost, he recommends you think like a host and invite them to join you. Even if you're already talking with friends, he advises being a croissant and not a bagel: be sure there is an opening for others. Make the effort to catch them up with the conversation – “we were just discussing helplines”—and ask them to share their thoughts. If you hesitate to join conversations because you don't feel you are good at small talk, think of a few questions in advance to use as ice breakers. They don't have to be traditional compliance-related questions. You could ask people about what excited them the most in the last year. Richard often uses Vertellis cards to start or help conversations. For those at the conference with a friend or colleague, use the other person as your wingman or wingwoman. Tell them who you are interested in meeting and have them serve as a second set of eyes and ears. Also, don't forget about the SCCE & HCCA staff as a source of connection. See if they know someone it would be good for you to talk with. Listen in to learn more, including how to follow up properly after the conference is over. Then, be sure to say hello to Richard (and offer him a croissant) in Amsterdam at the 2024 SCCE European Compliance & Ethics Institute, March 18-20.

Welcome to the Great Women in Compliance Podcast. In this #GWIC episode, Ellen Hunt and Sarah Hadden visit with Asha Palmer and Jason Meyer about their experiences with neurodiversity and neurodivergent workers. You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw We live in a neurodiverse world, but what should Compliance do to reach neurodivergent workers? In this roundtable discussion with Asha Palmer, SVP of Compliance Solutions at Skillsoft and Jason Meyer, founder of the NeuRO Inclusion Initiative, we explore this question and talk about how Compliance can get its critical messages out in a way that they are understood by all. With an estimated 20% of the workforce being neurodivergent, now is the time to adapt and adjust how we are presenting compliance information so that it is neuroinclusive. Listen in to learn more about: How to create easy-to-digest bite-sized learnings to avoid cognitive overload not only for neuro divergent workers but for everyone; Methods other than “separate but equal” to include the neuro divergent; and Getting the feedback that you need to meet your learners where they are.  Additional Resources  Neurodiversity Network | Learn. Connect. Work. Achieve.  Neurodiversity at Work (hbr.org)  ‘Critical for Some and Good for All': Neurodiversity Calls for New Compliance-Program Thinking | COSMOS Compliance Universe (compliancecosmos.org) (SCCE subscription or membership required) 

Welcome back to the Great Women in Compliance podcast. Today's episode was recorded by the full GWIC 2.0 team, Lisa, Hemma, Ellen Hunt and Sarah Hadden during the Society for Corporate Compliance and Ethics conference (CEI) in Chicago. It was a fantastic event, and all four women valued the opportunity to connect with friends and meet some new people as well. The episode was recorded before Deputy Attorney General Lisa Monaco spoke, but all were looking forward to hearing that. In this episode, each one of the group mentioned some highlights from the beginning of the conference, and their advice about how to get the most out of the SCCE (or any conference). They also discussed things that they are looking forward to discussing on the podcast this fall - in particular, Ellen mentioned how to make the investigation process better for reporters and people involved in investigations, and Sarah is excited to bring her perspective as a business leader and publisher to the discussions.  The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings. GWIC is also sponsored by Corporate Compliance Insights, where we have a page where you can hear every episode. If you are enjoying this episode, please rate it and/or provide a review. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have the quartet of Jonathan Armstrong, Matt Kelly, and Tom Fox, with guests Kristy Grant-Hart and Karen Moore joining us on this episode of our fan-fav Shout Outs and Rants section. 1. Matt Kelly rants about former House Speaker Kevin McCarthy and the GOP's refusal to govern create chaos. 2. Karen Moore rants about lawyer hourly rates. 3. Tom Fox shouts out to the MLB playoffs and former Monster of the Midway Dick Butkus. 4. Jonathan Armstrong shouts out to Kortney Nordrum, who, on an SCCE panel, discussed a data breach and how it impacted her organization. 5. Kristy Grant-Hart shouts out to My Crazy Ex-Girlfriend. The members of Everything Compliance are: Jay Rosen– Jay is Vice President of Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com Karen Woody – One of the top academic experts on the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is our UK colleague, who is an experienced data privacy/data protection lawyer with Cordery in London. Armstrong can be reached at jonathan.armstrong@corderycompliance.com Jonathan Marks can be reached at jtmarks@gmail.com. Special Guest Kristy Grant-Hart is the founder of Spark Consulting.  The host and producer, ranter (and sometimes panelist) of Everything Compliance is Tom Fox, the Voice of Compliance. He can be reached at tfox@tfoxlaw.com. Everything Compliance is a part of the Compliance Podcast Network. 

By Adam Turteltaub You're all signed up for the Compliance & Ethics Institute or another SCCE or HCCA conference. Now, how do you make the most out of your time there? Kristy Grant-Hart CEO of Spark Compliance Consulting and a former compliance officer, herself, shares in this podcast several excellent tips for making your conference time truly valuable. Her recommendations: Plan out which sessions you want to attend before you arrive. It makes for a much more strategic and less stressful approach than picking sessions hurriedly at the breaks. Pick the sessions based on both the topic and the speakers you want to listen to and meet. Map out time to do work and answer email. It's a lot easier to sit and listen to a session when you have a defined times to work and a defined time to be fully present at the conference. Start your networking before you go. Announce on LinkedIn that you'll be there and try to connect with others who will be attending. Take advantage of vendor receptions and dinners to meet more people. When you connect onsite, also connect on LinkedIn right then and there. If you promise you'll send someone a follow up email, do it that night before you forget. Don't be afraid to approach people you don't know. They're probably there to meet new people, too. Put your follow-ups for once you're back in the office into a list that you can easily find. Listen in to hear more great ideas for getting the most out of your time at the conference.

By Adam Turteltaub When it comes to networking and sharing ideas with other compliance professionals, people tend to think of attending conferences. That's not the only way to do it. In this podcast Steve Pavlicek, Community Engagement Manager at SCCE & HCCA shares the free resources the association provides and how to take advantage of them. First stop are HCCAnet and SCCEnet. They were created to be a social network just for the compliance community. People post and answer questions, share their opinions and even documents. To see all that's there, first login on the SCCE or HCCA site. Next, click the Login button on HCCAnet or SCCEnet. You'll find approximately 40 different communities discussing issues such as auditing and monitoring, the Foreign Corrupt Practices Act, privacy and more. There are also communities organized by industry. If you're looking for real-time interactions try one of our Meet Ups. You'll find a schedule of them at HCCAnet and SCCEnet. These sessions take place via Teams. The group selects topics to discuss, breaks up into smaller groups for conversation, then returns for further conversation. In addition, there are active LinkedIn groups for SCCE and HCCA. Read the messages there, share insights of your own, or use the group to connect directly with other compliance professionals. In sum, there are a host of vehicles out there for you to connect with and meet the wider compliance community. Be sure to take advantage of all of them.

By Adam Turteltaub One of the more well-attended sessions at the SCCE 22nd Annual Compliance & Ethics Institute, promises to be “ESG and DEI: How to Position for Stakeholder Success”. The session will be lead by Adrian Taylor, Director of Diversity, Premier Health; Ahmed Salim, Chief Compliance Officer, iRhythym; and Nakis Urfi, Product Compliance Officer, Babylon Health. ESG and DEI are two of the hottest issues in compliance, and in this podcast preview of their session they start by taking on a controversial topic: Should DEI and ESG be combined? Traditionally, DEI has been its own discipline. Many now argue it should considered a part of the S (Social) in ESG, while others feel that doing so would diminish the emphasis on DEI. Ideally, DEI should not be affected by being included in ESG, they say. If handled correctly, it can maintain its focus and management commitment and even strengthen ESG efforts. When the two are aligned they create a more sustainable business model that balances people, profit and planet. Together they can also help foster engagement with stakeholders, improve culture, encourage greater accountability, and help the company's reputation. To be successful, Nakis, Ahmed and Adrian argue, organizations need to manage four key challenges of ESG ratings: A limited focus on DEI Having accurate, valid data A lack of standardization Subjectivity All of these can lead to ratings that are more judgement scores than a true measure of an organization's commitment to DEI and ESG. Listen in to learn more, including how to identify data that is truly useful for measuring your organization's DEI and ESG success. Then, don't miss their session at the SCCE 22nd Annual Compliance & Ethics Institute.

By Adam Turteltaub While many would say that you couldn't pay them enough to take a job in compliance, managers often feel as if compliance officers are being paid too much. So how do you get what you deserve? In this podcast, and at the 2023 SCCE Compliance & Ethics Institute, Amii Barnard-Bahn, Partner, Kaplan & Walker and Melanie Sponholz, Chief Compliance Officer, Waud Capital Partners, take on this touchy subject. Before asking for more money, they advise doing your homework. Take the time to talk to peers and recruiters to see what the market rate is. Also, know your employer's compensation system. Do they tend to pay at the top, bottom or middle of the range. You can also check the SCCE or HCCA compensation survey and sites like Glassdoor and Indeed. When you do meet with your manager or leadership, go in knowing that this is a difficult conversation for them as well as for you. Do your best to keep things professional. Focus on why the increase in compensation is beneficial for them and not just for you. Spell out what contributions you have and will be making. Above all, be realistic and don't go in angry. Want to know more? Listen in to learn how to make the conversation successful, what to do if it isn't, and how to ask for more compensation or a changed title when your role is expanded. And, don't forget to attend their session at the 2023 Compliance & Ethics Institute.

By Adam Turteltaub You really should listen to this podcast. That's my advice. If you do you'll hear Scott Garland, Managing Director, Sanctions, Cyber, Fraud and Ethics Compliance & Monitoring at Affiliated Monitors give better advice on giving advice. He begins by advising a bit of humility: remember that having a quick and ready answer is not always best. You are likely the newest person to learn about the problem and least familiar with it. As a result, you need to take the time to learn and determine not just what the immediate problem is but also what the situation as a whole is. Don't be afraid to ask others to slow down to ensure you understand things completely. Then, make sure you get the facts and context right. Be sure, too, to identify assumptions being made by the advice seekers to ensure that they are correct. They may not be. Once you have that information and the goal that the advice seekers have in mind, as well as what they see as the ideal outcome, then it is time to give advice. When you do, give them, he advises, a recipe and not a treatise on cooking. They don't need to know the long history of the rules and the many exceptions. Instead focus on bite-sized information that they can use and share with others. The BLUF approach can be very effective: Bottom Line Up Front. By summarizing the issues succinctly at the top, you are more likely to reach people who are far more focused on the advice than the reason behind it. Listen in to learn more about how to give advice wisely, the importance of documentation and the role of empathy, and if you're in SCCE member, read two articles on the topic by Scott on COSMOS.  

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.

In September, the Department of Justice Fraud Section announced a new policy direction on corporate misconduct, clearly stating that personal accountability for employees, executives, and directors was their number one priority. The revised DOJ policy clearly states that an organization's compensation and benefits program must be aligned to its values and ethical culture. So, what does this mean for compliance? In this episode of the Principled Podcast, host Susan Divers discusses how to implement a meaningful performance management system that meets DOJ objectives with Stephanie Ragan, a Certified Compliance and Ethics Professional (recently of SOFEC) and now solo practitioner after 14 years as a compliance specialist and manager in the oil and gas industry.    Featured guest: Stephanie Ragan As an experienced, well-rounded compliance and ethics specialist, Stephanie has recently struck out on her own by launching Ragan Export Compliance, a consulting company focused on providing services and guidance for regulatory compliance. A subject matter expert in trade compliance for the past 10 years, she holds both a Masters of Science in Regulatory Trade Compliance and a degree in International Trade Management. Her credentials include special certifications as a Certified United States Export Compliance Officer (CUSECO), a Certified Compliance & Ethics Professional (CCEP) and an FCPA Expert (FCPA Blog).With a passion for developing efficient, integrated and automated compliance systems and programs, Stephanie's philosophy is that the intentional integration of compliance and ethics elements within an organization is at the core of every successful business model; and through making compliance accessible and approachable to all stakeholders, the value of a company's culture is significantly increased.   Featured host: Susan Divers Susan Divers is the director of thought leadership and best practices with LRN Corporation. She brings 30+ years' accomplishments and experience in the ethics and compliance arena to LRN clients and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.  Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics.    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. Susan Divers: Last September, the Department of Justice Fraud Section announced a new policy direction on corporate misconduct. And they clearly stated that personal accountability for employees, executives, and directors was the department's number one priority. And as part of that, the revised policy that DAG, Lisa Monaco put out that day makes clear that an organization's compensation and benefits program must be aligned to its values and ethical culture. That means that positive behavior, for example, turning down a tainted business opportunity should be an essential factor in evaluating performance. And that there should be financial penalties, real financial penalties for misconduct. So what does that mean for compliance professionals? Hello, and welcome to another episode of LRN's DAG, Lisa Monaco. I'm your host, Susan Divers, director of thought leadership and best practices at LRN. Today I'm joined by Stephanie Ragan, a certified compliance and ethics professional, and most recently of Sofec, an oil and gas provider that's global in its operations. Stephanie has just left Sofec and is now consulting on her own after 14 years of a compliance specialist and a manager in the oil and gas industry. We're going to be talking about implementing a meaningful performance management system that meets DOJ objectives and how you go about that. Stephanie, thanks for joining me on Principled Podcast. Stephanie Ragan: Thanks for having me, Susan. Susan Divers: It's my pleasure. Interestingly, one of the questions we ask in LRN's annual program effectiveness survey is about organizations using ethical behavior as a significant factor in compensation, bonuses, hiring and promotion. And last year 69% of the over, I think it was about 1200 ENC programs that we surveyed, indicated that they required that an employee's ethical behavior be evaluated as part of their annual performance review. And we found that top rated programs were much more likely with 88% including such criteria. But Stephanie, as you know, with all things compliance, the devil is in the details. So I'd really like to hear about how you implemented your program that does just that at Sofec. And I'm sure our listeners would love to profit from your experience and your wisdom on this subject. So let's start at the beginning, how did you start this initiative or how did it start and how did you get support for it? Stephanie Ragan: Well, sure. So coming from a company like Sofec, we just celebrated our 50th year and we have a lot of mature programs and some that are still coming along. And our compliance program was one of our newer initiatives. We started it in about 2011. And it was interesting to see that when we formalized that department and all of our programs, policies, everything that helped sustain it, there was a need to measure it against other overhead type departments like HR, HSE and quality. So looking toward those types of departments for direction to see how we could measure effectiveness of programs and tie that back to our professional performance goal setting efforts that we do on an annual basis was a challenge for us. And we decided that as the new kid on the block, we could look at what worked for everybody and what didn't. And we decided that it would be necessary to look at what weight we needed to hold within the organization for each of our compliance initiatives. So for a starting point for our listeners, I would suggest that you look at the way your organizations measure performance. And if there is already an existing HSSEQ component or HR component, that you should also be including a compliance and ethics representation. And that should be a key area of focus for your personnel to align with your company culture and your company code and business operations. Susan Divers: That makes a great deal of sense. And I want to pick up on one thing you said in particular, which is that the ENC program needs to have equal status and weight with other similar programs, whether it's HR or audit or security or health and safety. And that's actually in the 2020 guidance from the Department of Justice as well. Because one of the questions prosecutors will ask or are told to ask companies accused of misconduct is, "Does your ENC program have equal status and resources?" So the approach you took fits very nicely with that. Let's talk about how you actually went about it. How did you enlist support? How long did it take? And what did you do in the end to get it up and running? Stephanie Ragan: Well, you know it takes a village to have any kind of success. And our compliance and ethics global team really took on this call to bring compliance and ethics to the forefront, it having an equal say in the performance measurements that we do in the company. And we were able to within the last few years, convince our management that along with performance measurement, which was a key area of concern, we needed to have regular meetings, at least an annual meeting, to be able to confer as a team globally and to discuss ideas, work on program development and get training initiatives ironed out. Kind of plan out our year as a whole so that globally we could have a cohesive plan that aligned everyone, didn't leave anyone behind from a planning standpoint for all of our entities, and made sure all personnel were covered by local compliance and ethics designees that could administrate and cover those programs as we rolled them out. So this was very well taken on. And again, we leaned back into HR and HSE were having these types of annual meetings and conferences internally in the company. So we wanted to say, again, we need to make sure compliance and ethics is represented. It was well received and management was very supportive. So in 2019, we had our first global gathering. And at that point, we all discussed how we measured and where we had gaps in measuring those compliance and ethics performance areas. And we figured that the global initiative of tying it into your bonus, your compensation that's measured annually by HR, that we needed to partner with them as well. So we were able to utilize the great guidelines that were out by the Department of Justice that came out in 2018, 2020. And then similarly, we had more guidelines come out again this September. These types of guidelines were helpful in getting the highest levels of buy-in. So using that as leverage, we were able to place value on measuring those individual participation to show evidence of a effective compliance program. And we were able to also work with legal. And I think that that's something that anyone who's struggling with finding a way to tie their individual performance metrics for users to compliance and ethics, that having your legal team work with you, if that's not already part of your compliance and ethics team and working with HR to jointly explain to senior management why the Department of Justice guidelines are so helpful and necessary to pay attention to. No one wants to have those types of individual penalties pointed back toward them. And letting them know what the enforcement and penalty details could entail, it can be a little scary and overwhelming for them, but it lets them know the weight of importance. So moving on, our CNE team wanted to then, after we had our senior buy-in, determine specific ways to quantify a compliance and ethics participation that was acceptable. So we developed a way to be able to measure and do a cumulative total for each employee throughout the year. And with the help and guidance of our compliance council, our general compliance council, which oversees all of our compliance and ethics initiatives from a senior level, and our chief compliance officer who's over our entire group, performance matrix was developed. So we determined what KPIs and metrics were most valuable to our company and also how participating in training and completing mandatory training assigned on time or early would be a key indicator that our personnel were engaged in in meeting their CNE goals. Now that was our initial concern that the training and focusing on training, on time training completion wouldn't be enough, but that's a great baseline. So if you are not measuring that, start there. And we also decided though that's a minimum expectation, that other avenues of participation engagement could then be easily added. This was a chance also for our CNE team to promote all of the tools and the outreach that we had been developing to engage individuals in our annual Compliance Week program, our local newsletters, which we could insert quizzes and different activities for them to complete, optional live and virtual training sessions, surveys, quizzes, and use of compliance videos and slides in their operational meetings and team meetings. And then it gave us an opportunity also for people that really went above and beyond to be recognized and have that tied back into their performance goals as a metric to, so our compliance champions who always went above and beyond, or personnel who brought forward potential compliance and ethics issues that were helping make formative changes to our program could also be recognized. That sounds like a lot to keep track of and could be really overwhelming for our listeners that have a new compliance program, limited resources, budget constraints, but there are a lot of great tools and support out there like LRN that is a great content provider and provides support with measuring that on time participation and a lot of other value that you can add into your program. Let's face it, at a minimum, any functioning compliance program is at least checking the box with mandatory compliance and ethics training like anti-corruption or your company code training, general CNE program awareness. So if you start with training as your first building block to measurement, it'll be less of a shock and easily accepted because your population and your personnel are already participating in those training initiatives. Susan Divers: That's a great story. And the way that you worked with other people in the company to identify where you were going to start with the criteria I think is very powerful for people who are grappling with this subject. And I know it's not just companies that are new or small, it's an area that I think a lot of people are still trying to chart their way. And also using the Department of Justice guidance strategically to help management understand why this is a risk that really needs to be managed. I think there is emphasis when you look at the guidance, it's important to realize that it's out there in part to help people like you and your team actually implement it by putting it under an official seal, if you will. So well done. Hey, tell us now, how is it working and are there any tweaks that you would make at this stage? Stephanie Ragan: Well, the great news is we've certainly seen improvement. So we've seen results of greater participation across the board in all of our areas. So whether it's people participating in Compliance Week because they know it ties back to their performance or they attend training that they would've otherwise blown off or not considered taking because it wasn't mandatory. And that is really energizing us to continue to grow the program and continue to find ways to reach people. And we've seen a lot of participation because of this initiative of tying it to performance goals in areas and regions where maybe culturally it wasn't important before to participate in compliance and ethics initiatives. But now they understand because they have something that's tangible material that ties back to their actual individual performance and they want to succeed in that area. So in general, it's helped us create different types of communications. We've been able to go and create management reports to provide managers live specific data on how each of their team members are performing throughout the year. Some managers reach out for that quarterly or semi-annually, but everyone reaches out for it toward the end of the year when they're wrapping up their performance evaluations. And it's great to have that kind of tool. So I do recommend that you work on creating something as simple as an Excel spreadsheet that can start capturing data to keep good records regarding the performance of your personnel. And also, if ever you are audited by a government authority, it's a great tool to provide your training records and say, "We're not just checking the box, we are going above and beyond by tracking every engagement with compliance and ethics." So also following that, we're able to use those participation records to quantify a score for each person. Now, it doesn't necessarily have to be a numeric score. Some companies may want to do it that way. We aligned with what our HR teams were already using, which is kind of a scale one to five, either unsatisfactory and then failed to meet expectations. You either met expectations, exceeded expectations, or you did outstanding work. So because that was already in use in our system, it was a language everybody understood and we created what fell into each category for our measurements on the compliance and ethics side. And again, we don't have to reinvent the wheel, you can use what you have and work smarter, not harder. But tracking the progress is really important. So if you can assign something that you can put a value against, then you can develop statistics over time and track trends within the organization. We did have a lot of discussion across the board about how much weight should be given to compliance and ethics performance compared to HSE or HR. So again, we fought to have equal footing because we preach in our company code of, we have a culture of compliance, we have our compliance code that gives guidelines on how to operate in every aspect and provides best business practices for everyone. So there was no reason to sell ourselves short or give ourselves a discount and say, "We don't want to be considered equally." Even though some companies may need to tweak that based on what their own business practices are, it should have some alignment with your culture and your code. And that way people understand it and can buy into it on an individual basis and an organizational basis. So looking forward in 2023, and this is largely in response to the new DOJ guidelines that you mentioned earlier, which came out September 15th, that does focus a lot on enforcement. So again, we have that leverage to push and say, "This is important. You don't want to be in trouble because this is how it can affect you as an individual." And that does garner a lot of attention and response from senior management, which is great. We don't want to scare anyone, but we want to make sure they understand the weight of their actions or inactions. But our tweaks moving forward would include tiered measurements, and that aligns with the Department of Justice newest guidelines so that you have different measurements and expectations for managers and supervisors and executives. And I think you should really look at that as three different categories, general personnel, people who have an influence over them, managers and supervisors, and then the people at the top. So your executives are going to be viewed differently if enforcement actions are ever taken. So you might as well prepare and have your program mirror that type of focus internally. We also have a lot of questions that come up then from managers that say, "What are my roles? What do I need to do to earn my points or to get a good rating?" And we always encourage them to infuse and integrate compliance and ethics into their team talks, their safety minutes that they have at a beginning of a meeting, replace some of those with compliance moments. And we make those tools available easily so that they can download it from our [inaudible 00:19:23] and they have full access to short videos, to content that we can pull from different training providers or that we've developed internally. That just makes it easier if they have one stop shopping, they can go to your compliance site. And if you don't have that type of setup, don't worry. Companies can always make it available by emailing that out to managers and just having kind of the library available to them. And as you develop and tweak your offerings, let people know. It's good to self-advertise within the organization so that send an email out to all of your managers and say, "Hey, we have a new video available if you want to share it with your teams." And let those managers come back to you and let you know how they used them and what the feedback is, because that's just going to help build the program and continue your process improvement. As the DOJ recommendations indicate, effective compliance program always points to individual emphasis for that compliance and ethics participation and compensation. And I think we can agree that those personnel who embrace and make an effort to incorporate compliance and ethics into their work are more likely to report potential issues, be less likely to become bad actors by breaking rules intentionally or unintentionally. And generally, they're going to support the best practices and the compliance and ethics program in the organization. Susan Divers: Well, we would certainly agree with that. And our research at LRN shows overwhelmingly over the years that I've been here, which are now six, that a culture of compliance that involves employees at as many levels as possible and helps them by giving them materials, you mentioned making it easy for managers to talk about ENC, that that is the best defense to misconduct and it's not how many times you reinvent in your code of conduct. But I do want to mention one other thing that you talked about early on, which is data points and having something that shows exactly where a particular individual is in their ENC journey, whether it's training or touchpoints. We've actually just redone major parts of our platform and we're very excited about it because there's a part that we're rolling out this month called Reveal, which is advanced data metrics from the training experience. And it shows what courses, what subjects people struggle with the most, how much time employees spend on a given subject and a lot of other very relevant data. It's very powerful and it allows you to benchmark against yourself and against other companies in your area. That's something everybody is very focused on. And using that in conjunction with your performance review system can really drive change. And then I'd also mention managing that data is important. We also are including a tool that we've had for some time called Disclosures where we're asking people to tell us when they attest to the code of conduct or when they roll out. You can use it to track how many times they roll out an ethical moment or other times when they talk about ethics and compliance. So the idea is to make it as easy as possible for the compliance team to track that. But we're starting to run out of time, so I want to talk quickly about what are the pitfalls. Because obviously this is a terrific program that has gained traction and is broadening and improving as you go along. But what are the pitfalls to avoid? And then I want to talk about your new company and your new initiative too. Stephanie Ragan: Well, first of all, the biggest pitfall that you can have is to not do anything or to be stymied and overwhelmed. So don't overthink or over design any initial measuring system. Remember that look to the offerings and tools that are made available to your personnel already. So start with finding the easiest way to measure what you're already doing. And you can always scale up as part of your continuous process improvement efforts. And then again, as you saw for development of our program, we could not have done this if we had worked in a silo. You have to engage and partner with HR and other stakeholders in the organization to find a way to infuse that measurement of your ethics and compliance participation. And be sure to include that there is a way to acknowledge excellent contributors. Because that drives people and excites them to participate more. So it can be an incentive for good behavior and make it specific to a task or event that's not evergreen. You can change this around and continue to improve it as years go on and set goals for your compliance and ethics team to be able to continue to develop every year something different to bring more users on board. Susan Divers: That makes a great deal of sense. And again, congratulations. That's a major accomplishment. And it sounds like the program was very well designed for your business and your particular culture and your risks. So let's turn to the future now with your own business, Ragan Export Compliance. What kinds of clients will you be aiding in the development of their ENC programs? I know you have deep experience in the oil and gas industry and are a certified FCPA expert and have the export control function as well. What are you going be focusing on and what risks do you see developing for exporters in particular as they seek to adhere to the DOJ guidance? Stephanie Ragan: Well, thank you for asking about that, Susan. At Ragan Export Compliance, I'll be providing trade compliance support and guidance focused on export or import compliance plans. And large focus now is technology. So we'll be helping develop technology control plans. And also because I do have a background coming from the last five years of doing the certified compliance and ethics professional from SCCE, I also can help develop the corporate compliance program enhancements for any industry, which can include developing training programs, conducting training, auditing, risk manages, strategies, due diligence and screening ,vendor management systems. And if a system needs overhaul, that's something that people sometimes forget. They develop a compliance program and then put it on the shelf, but it really does need continuous review, especially in the light of recent and constant regulatory changes and updates. To get back to your question about what risks do I see developing from an export angle, I do see two areas where exporters can pay additional attention, especially considering the current international policies and issues that are going on in the world. The enhanced due diligence is needed now as part of your program to identify military end users or MEUs. And this is primarily in China, Russia, Venezuela, and Burma. But it's a good habit to get into looking at that and incorporating, identifying military end users and uses as part of your, know your customer and screening system for your full supply chain. And then the second area where there can be some additional attention paid would be that your program includes a really strong level of control for not just your physical shipments, but technology. That's a blindside for a lot of exporters, importers, and just USPPIs in general because they don't realize how wide the definition for technology is when you look at the regulations. So for example, the EAR definition of technology for Department of Commerce for controlled technology is any specific information that relates to development, use or production of controlled items, those technologies would also be controlled. So pretty much any information that relates to those items, because the development use or production is so broad. And the ownness of that comes back to the exporter. Whenever regulations are vague, it puts more pressure on the exporter to understand and have systems in place to be able to address potential violations. And then because of regulatory changes, a lot of stagnant compliance programs can be a real risk for companies because they may not realize it's something that they have always been able to export. For example, certain valves or stainless steel items, things that were pretty innocuous for a large part, didn't need licenses up until recently when regulations changed. And now they fall into this large basket categories like 2B999 ECCN numbers, which I know might sound scary and very technical to people listening that don't have a real firm grasp on the ECCN, but there's a lot of guidance out there, and that's what we hope to provide and be able to help navigate at Ragan Export Compliance. So finally, just in general, I would say that my advice to our listeners today is just to continually evaluate your compliance program and make sure that your CNE engagement measurement that we've discussed today become truly effective ways to ensure that your organization is on the path to executing best practices and avoiding any regulatory infractions. If you follow the guidelines and reach out for help when needed, you won't go wrong. Susan Divers: Well, thanks Stephanie. I certainly agree with everything you've said and want to emphasize your point about don't fall into the trap of stagnant compliance. A lot of times I think it's easy to rely on backward looking metrics and saying, "Well, last year we trained 340 people, and this year we hope to do more." It's important to really keep evaluating what are the new risks that we're facing, and are the procedures that we have in place adequate for those new risks? And certainly that's consistent with the guidance too. So unfortunately, we've run out of time, but I want to thank you very much for spending these minutes with us and giving us the benefit of your insights. I hope you'll come back and speak to us again soon. Maybe we can do a session on export control. And we wish you all the best in your new venture. Stephanie Ragan: Thank you, Susan. Susan Divers: My name is Susan Divers and I want to thank you all for tuning in 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 and 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.  

What you'll learn in this podcast episode Guidance from the US Department of Justice, particularly the recent 2020 memorandum, stresses that a company's compliance program must reflect and evolve with its risks—and should not be a snapshot or on cruise control. But in assessing those risks, it's helpful to see what other companies in the same area or circumstances have done to meet them. Collective action and coordination can be very useful in dealing with common risks. So, when is benchmarking and a collective approach to risk helpful? And when can it backfire? In this episode of the Principled Podcast, LRN Director of Advisory Services Emily Miner continues the conversation from Episode 6 about benchmarking with her colleague Susan Divers. Listen in as the two discuss the benefits and limitations of benchmarking, and how organizations can ensure they benchmark their E&C programs effectively.    Featured guest: Susan Divers Susan Divers is the director of thought leadership and best practices with LRN Corporation. She brings 30+ years' accomplishments and experience in the ethics and compliance arena to LRN clients and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.  Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics.  Featured Host: Emily Miner Emily Miner is a director of LRN's Ethics & Compliance Advisory services. She counsels executive leadership teams on how to actively shape and manage their ethical culture through deep quantitative and qualitative understanding and engagement. A skilled facilitator, Emily emphasizes co-creative, bottom-up, and data-driven approaches to foster ethical behavior and inform program strategy. Emily has led engagements with organizations in the healthcare, technology, manufacturing, energy, professional services, and education industries. Emily co-leads LRN's ongoing flagship research on E&C program effectiveness and is a thought leader in the areas of organizational culture, leadership, and E&C program impact. Prior to joining LRN, Emily applied her behavioral science expertise in the environmental sustainability sector, working with non-profits and several New England municipalities; facilitated earth science research in academia; and contributed to drafting and advancing international climate policy goals. Emily has a Master of Public Administration in Environmental Science and Policy from Columbia University and graduated summa cum laude from the University of Florida with a degree in Anthropology.   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. Emily Miner: Guidance from the US Department of Justice, particularly the recent 2020 memorandum, stresses that a company's compliance program must reflect and evolve with its risks and should not be a snapshot or on cruise control. But in assessing those risks, it's helpful to see what other companies in the same area or circumstances have done to meet them. Collective action and coordination can be very useful in dealing with common risks. So when is benchmarking and a collective approach to risk helpful, and when can it backfire? Hello, and welcome to another episode of LRN's Principled podcast. I'm your host, Emily Miner, director of Advisory Services at LRN. Today I'm continuing my conversation from episode six about benchmarking with my colleague Susan Divers, our director of Thought Leadership and Best practices. We're going to be talking about the benefits and the limitations of benchmarking and how organizations can ensure they benchmark their E&C programs effectively. Susan brings more than 30 years experience in both the legal and E&C spaces to this topic area with subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Susan, thanks for coming on the Principled podcast. Susan Divers: Oh, Emily, it's always nice to talk with you. Emily Miner: So Susan, before we get started, let's kind of define benchmarking and summarize the conversation that I had in our last podcast with our colleague Derek. So benchmarking means comparing what you do as an organization in this case to a usually large number of comparable organizations or individuals. And most often, this is done in a quantitative way, although there are also opportunities to benchmark qualitatively. And at LRN, we've been using benchmarks for a number of years now through our research reports. We've conducted major panel research on the role of ethical culture in an organization and in organization's risk of misconduct. So looking at how that varies across countries, across industries. We conduct every year research into ethics and compliance program effectiveness research that you lead and that you and I collaborate on. And we've been doing that for, oh gosh, coming up on, I don't know, maybe eight years now. That's been given us a insightful look into Ethics & Compliance Program best practices, and how they've evolved over time. We've also conducted research on codes of conduct, analyzing nearly 150 publicly listed codes of conduct from the top listed companies around the world and looking at similarities and differences and best practices in that space. But we have a brand new product at LRN that we're launching later this month that I know we're all really excited about called Catalyst Reveal, which is a platform that will, as it's name suggests, reveal insights to our clients about their ethics and compliance program, things like course level data training, data, employee sentiment, ethical culture. It will also give our clients the ability to see how their results along these metrics compare with other organizations in the LRN client universe. So looking at by industry, by company size, and a few other comparable filters. So with that exciting launch as our backdrop, I wanted to talk to you as an expert and a thought leader in this space about benchmarking compliance programs, when to do it, when not to do it, et cetera. So let me turn it over to you, Susan, and let's start with the benefits. What are the benefits of benchmarking in ethics and compliance program? Susan Divers: Sure, Emily, I'd be happy to talk about that. In thinking about this topic, there are really three really good functions that benchmarking is appropriate for. And then there are some where it's not so appropriate and we can talk about all of that. But starting with what it's very appropriate for, the first is if you're setting up a program, you need to figure out kind of what are the basics that you need to do at the outset. And it can be very helpful particularly if it's a new program, and it usually is if it's setting it up to be able to say your management, "We have to have a code. We have to have policies. We have to have audit. And we have to have training" and those are kind of the four basic pillars and being able to make that case. That's very basic, but it can be very helpful in terms of people who are struggling to get started in what we all know is a really complicated area. So that's kind of the first setting where benchmarking I think can be very helpful. And then the second is you've got your program and you're up and going. Now, no two companies are alike, no two industries are alike, and I can get into that a little bit later, but it's helpful to know if you're mainstream or not. Like for example, our Ethical Pulse Culture check lets you sort of get an idea from a short questionnaire embedded in our platform in Reveal whether your culture is really out of whack or pretty much along the same lines as mainstream. And again, that's really helpful because it can show you an area where you're maybe excelling and it's good to take credit for that and scale it, or it can show you an area where you're deficient and it's good to know about that too. And then the last is, and this is where for example Ethisphere has done a lot of really good work, best practices. People are constantly innovating. I'm always amazed at how ethics and compliance programs are changing and getting better. And we can talk about that a little bit, and Reveal's going to be very helpful there. But benchmarking can give you ideas that can be very valuable for enhancing your program. So those are sort of the three big areas where I think benchmarking can be extremely helpful. Emily Miner: Yeah, thanks Susan. And on that last point that you shared, that's really resonating because if nothing else, benchmarking or surveying what other companies are doing out there with respect to ethics and compliance and different facets of that, it gives you as an ethics and compliance professional just an idea of what's possible. Maybe there's a new approach to communicating with your employees that you haven't thought of that might work for your organization. I'm at the SCCE's Compliance & Ethics Institute right now, and there was a session yesterday about one particular organization's sort of their evolution of their compliance program following some significant trust that was lost in the organization to senior leader misconduct. One of the things that they talked about was having employees around the globe put on skits that they turned into videos that dealt with ethics moments and how the actors, which were the employees of the organizations, would kind of get famous around the world for their skits. It was a very lighthearted way of communicating very serious topics that resonated for this particular organization. But a lot of people in the room were asking questions, "Oh, well, how could I put together a skit like that? Did you write the script or did the employees come up with it and this and that?" Just that it's a way of sharing ideas and fostering innovation across the industry that can be really exciting and powerful. Susan Divers:    Yeah, that's a great example, but maybe it's time to talk a little bit about the limits of benchmarking too because that's a good illustration of the point that benchmarking's good for the three things we just talked about. Setting up, making sure that you're in the mainstream and not at either end, or maybe you want to be excelling and then getting ideas and best practices. What it's not good for is saying, "Hey, we met the criteria." And the reason is there isn't a criteria. In fact, there was a quote two days ago or so from the CEO of Advanced Micro Devices, and she said, I quote, "It's like running a different company every two years." So the point I'm trying to make here is that your program has to be based on your risks, and those risks can change dramatically, I mean, certainly in the semiconductor area, and that's what she was talking about. The risks have changed, they basically changed radically with all the changes with China and the export sanctions and the war in the Ukraine. So it's not enough to say, "Hey, I'm doing what everybody else is doing in that area." And secondly, the other big problem is comparing apples to apples. I picked three consumer companies to sort of illustrate this. One is Walmart, which obviously is a big consumer company. Another is PepsiCo, another is Mondelez. And if you look at all three, they all have really different risk profiles. They may be in the same area generally, but Walmart's much bigger than the other two. Walmart had a major scandal a number of years ago where they wound up paying, I think it was 137 million in 2019 because in order to get permits for their stores in Latin America, particularly Mexico, their lawyers were actually paying bribes. When you think about it, that should have been something that they were sensitive to on their risk profile and both training and auditing the local lawyers. Also, there was some lawyers on their teams internally. That was a risk and they failed to mitigate it. PepsiCo is bottling, and so do Mondelez has plants, but it's not quite the same level of regulatory intensity as setting up a store, hiring people, environmental health. So I use that example because I'm trying to pick an industry and say, "Well, if you compared yourself to one, you might miss some of the particular risks that you have." One of the also things to bear in mind, and you alluded to it when we started, is that DOJ has never recommended benchmarking in all of the guidance. In fact, they've said things that kind of contradict benchmarking if you were using it to say, "Hey, we met the norm." They've said, "You don't want to be on cruise control," and that's because things change. And they've also said, "You don't want to just take a snapshot of your program at a given time." And that's kind of what the CEO of Advanced Micro Devices was saying too. And that's because any time you're looking backwards rather than forwards, you could miss the iceberg that's looming up ahead and going to sink the Titanic. So at any rate, I think benchmarking can be very useful, but you have to use it for the right purposes and you have to bear in mind the limitations. Emily Miner: Right. Absolutely. It's never the be all end all. It's one data point that we should be collecting and looking at in some situations and not others. And in those situations, it's one of many that we should be considering when we're thinking about program effectiveness. Susan Divers: Yeah, it's an element. Yep, absolutely. Emily Miner: So let's kind of tease this out a little bit more. Where do you see benchmarking being helpful? I know that you gave those three scenarios, but maybe if you could pick out a concrete example to share against any of those three scenarios to illustrate how it can be helpful or when it can backfire. Susan Divers: Sure. Well, let's pick another consumer company, Anheuser-Busch. This is a great example because it illustrates how benchmarking can be used very effectively to drive a best practice. Anheuser-Busch had a very prominent CECO who has very recently left to go to the Department of Justice in the last couple of months. When he was there, he set up an internal data analytics program that was able to pull data from their own systems, payments, SAP of course, onboarding and pick out red flags without, if you will, human intervention. In other words, he was able to take a number of data streams from various parts of the company and meld them together. And because he was very good CECO, he was able to figure out what some of the risk signs were or the red flags. What it did is it enabled Anheuser to manage its third parties, which if you think about it, beer distribute, beer companies have a lot of third parties. And then they could focus in on those companies, those third parties where there were red flags. They didn't have to audit everybody to the same degree of intensity. And that approach of internal data analytics was a best practice that was gathering steam, sorry. But once Matt really took it to the next level and showed how it could be done, then it really became mainstream in the E&C area. And Matt's now at DOJ. So if you're going to go in and have tense talks with regulators, being able to talk about what you're doing in benchmarking is important. And it takes us back to Reveal where Reveal is a really powerful tool that we've developed that will enable you to see red flags or predictive factors. And again, remember looking backwards doesn't really help you because it doesn't tell you if there's a big iceberg about to sink the Titanic. But looking forward and saying, gosh, the data that's coming in from Asia on attempts to pass courses or on our Ethical Pulse Culture check or other features is worrying. It's nothing specific that we know about at this point, but it indicates that, I'm just picking on Asia randomly, it indicates that we need to spend some time in Asia figuring out what's going on. So that's really an excellent use of benchmarking and that's a good story as to how understanding what best practices are emerging and adapting them then for you, because nobody could simply take Matt's system of third party analytics and plug it into their company and come up with the same results. It has to be tailored and it has to be specific. But that's a really good example of what DOJ is talking about in this area where they say you have to tailor it to your risks. So does that make sense? Emily Miner: Yeah, absolutely. It's a great example with Anheuser-Busch and the system that they set up. I want to kind of talk about specific types of data that we collect in ethics and compliance or can collect, because I feel like the kind of two most common ones that organizations want to benchmark are training completion rates, that's a metric that is easy to collect and is often one that is shared, and hotline. "Oh, my hotline reports. How does this compare?" And the hotline providers will publish annual benchmarking reports on hotline. So we've got course completions, we've got hotline data, but we also collect other data points, or there are other places where we could to think about program effectiveness. I'd love to hear from you, as you think about the universe of ethics and compliance data, where do you think kind of benchmarking holds water and where does it not? Susan Divers: That's a great question, Emily, and I'm glad you asked it. Let's start with the hotline because that's a really good example in a lot of ways of two of the pitfalls. One of the major pitfalls that we touched on is are you comparing apples to apples or apples to potatoes? A company, let's take Starbucks for example, they have 300,000, relatively young, many of them first job employees. And are they going to call the hotline if they see something or worried about something? The odds are probably no even though they've got a big kind of young and engaged workforce because they're inexperienced. Most of their employees, I was talking to their CECO last week, and most of their employees really haven't worked extensively in the workplace. So Starbucks might have really low hotline numbers. Another company that's largely unionized, on the other hand, because unionized workers generally know about the hotline and they know about formal complaint processes, they'll have high hotline usage compared to other companies. Let's just pick a slightly ridiculous example, but a big manufacturer of clothing like the Gap or something. You'll have unionized workers in the plants, but Booz Allen is a consulting company. Are you going to compare hotlines between Booz Allen and the Gap? That really is an apples to potatoes comparison. So I think hotline benchmarking, and I know most of my colleagues in the E&C area would agree is very, very difficult because you'd have to really know what the workforces are to try to get an idea. And then secondly, it can be driven by other factors such as when I was at AECOM, we deployed a lot of people in the Middle East and the conditions were harsh. So our hotline complaints would go up when people were under stress, but another company might not have that circumstance. Emily Miner: Yeah, that's such a great point about when you're using benchmarking and you're considering using benchmarking, you have to be really thoughtful about what that benchmark pool is made up of. The union example is such a great one because even within the same industry, you compared the Gap to Booz Allen, but even within the manufacturing industry, for example, not all manufacturing company has a unionized workforce. So you can think, "Oh, well it's manufacturing, so it's comparable," but it might not be depending on the workforce dynamics. That level of insight isn't always available when we're benchmark data sources. Susan Divers: We forgot one thing that both of us know, which is I think the last stat I saw was more than 90% of meaningful issues are not raised through the hotline, they're raised in conversations with managers. So I've never been a fan of hotline benchmarking. Emily Miner: Yes, absolutely. Susan Divers: But to turn to training completions, that's an interesting one too. Again, it really depends. If you're using an old fashioned training provider whose library consists of 45 minute or even longer lectures, sort of Soviet style on the evils of sexual harassment, first, it's probably not very effective. And secondly, a lot of people won't complete a 45 minute course just because it's long. If the training is repetitive and hectoring, they'll drop out. Whereas the kinds of courses that we have and that we emphasize are very engaging, they tend to be shorter, they tend to be more microburst learning. So again, what are you comparing? Do you have a lot of employees on the shop floor? Well, it's hard for them. They can't really just take a break, sit down at their laptop and open up a course on antitrust. So again, I think training completions can be tricky. It doesn't mean it isn't interesting to see that data, but figuring out, again, whether you're making an apples to apples or an apples to potato comparison, I think is really important. And then secondly, remember, it's retrospective looking. It's not telling you anything about what's coming around the corner. Emily Miner: Mm-hmm. One thing that we've focused on in this discussion is comparing ourselves to other organizations. I mean, that was how I even defined benchmarking at the outset, but there's also internal benchmarking, comparing your own performance year over year or whatever the period of time is. When you were just talking about training completion, it made me think about that internal comparison, less so with training completion because I think it tends to be high, a lot of companies mandate it so there can be penalties for not completing training. So if it's high for that reason alone whether or not it's good or relevant to employees or they liked it or whatever. But thinking about metrics like pass/fail rates or number of attempts or test outs or some of those more nuanced training related data points and comparing against yourself year over year and seeing what has changed and what might be the result of that. I mean, maybe you noticed in year one that it was taking the majority of your employees or a significant minority of your employees more attempts than you wanted to answer certain questions correctly related to a certain risk topic. And so then as a result, you rolled out some focused communication and maybe you targeted specific groups of people where you noticed were particularly struggling for additional manager led conversations or whatever. And then in year two, does that pass rate or attempt rate improve? That's a helpful metric because you're comparing apples to apples, you're comparing yourself and you're able to connect it back directly to specific interventions that you may have need to make improvements in that area. So I just wanted to point out that benchmarking can be done internally as well. It's not always an external exercise even though that does tend to be how we talk about it. Susan Divers: Well, and you're exactly right, and that's where it gets really valuable because first you can make sure that you're comparing apples to apples. For example, if you've just done a merger and suddenly your population of employees has doubled, well obviously then you know that you've got a much different comparison year over year, but you can break that down and you can make those comparisons by manipulating the data. Secondly, your Ethical Culture pulse survey is a really good tool year over year adjusted for employee population size. And if we've got new people coming in the company, a merger for example. And it can be proactive. It can, again, spot trends as you were just saying that indicate that you may need to spend more time with people. But the beauty of internal benchmarking, particularly the way Reveal has set that up for our clients and made it easy is that you can get genuine insights looking at what happened last year, what happened this year and you know some of the reasons why there may have been a change. Whereas if you're comparing yourself to, I don't know, Ernst & Young, you don't. You don't have visibility in terms of their numbers. So internal benchmarking, I think you're right to stress that. And it's a very, very valuable tool. Emily Miner: I've done, as you know, a lot of work with organizations evaluating and assessing their ethical culture. The trend that I've noticed with those clients that we've done this type of work year over year over year is that the benchmark, the external benchmark just grows. It's important kind of in year one and maybe year two, but after that it ceases to be relevant and the companies don't really care what it is anymore because it's also they're not shooting for the benchmark. The benchmark is often the average and they want to be above average. And so it's more about competing with yourselves and how did we improve against our own performance last year? And so that's just been interesting to observe. I think as companies get more robust in their use of data and their tools and how it informs their strategy in some areas like ethical culture for example, that external comparison just becomes less relevant over time. Susan Divers: That's a really good point too. And that gets back to the Department of Justice saying, "Don't put your program on cruise control." And I do remember, I think it was 15 years ago when benchmarking was much more trendy and before people really thought through the limitations, someone was bragging that they had benchmarked their program against Boeing. Boeing then subsequently had major meltdowns left, right, and center most specifically and tragically the 737 MAX where people died. And so running around saying, "Hey, my program benchmarks well against Boeing" may not have been really a compliment to the program in the end. But it also misses the point which you're making, which is you have to look at your program and what's gaining traction with your people and where the proactive red flags are emerging because that's what enables you not to be Boeing, not to pick on Boeing, but it's a good example. Emily Miner: So Susan, let's wrap up by offering some recommendations to organizations that are thinking about program effectiveness, how they measure that. They want to have those benchmarks. Maybe they fall into those three scenarios that you outlined at the beginning. What recommendations or best practices would you offer to those organizations, to your peers? Susan Divers: Well, the first one is be really smart about it and avoid comparing apples to potatoes. And to do that, you have to really think it through. What are we comparing to whom and how similar are they? I really, again, think that's most useful for kind of like, "Are we in the mainstream? Or is there something maybe we forgot?" If it turns out that everybody in your industry has suddenly amended their training curriculum to train about trade controls in the wake of the Ukraine war and you haven't, well, that's a helpful benchmark. But I think the main ones that are valuable are what we were talking about with best practices and data analytics and the creative use of data analytics that are tailored to that particular company is a great example of that. And then the second one as you pointed out which I think is equally valuable and really essential too, is internal benchmarking up to a point where you're able to see what direction things are going in. And again, it's more in the nature of red flags rather than a way of saying, "Hey, we met the requirement, we're good." It's, "How are people doing this year compared to last? What does that tell me about where I need to focus my resources?" Emily Miner: Mm-hmm. Mm-hmm. Yeah, Susan, thank you so much. And thank you for joining me on this episode. We are out of time for today. So to everyone out there listening, thank you for listening to the Principled Podcast by LRN. It was a pleasure to talk with you, Susan. Susan Divers: Oh, it's always a pleasure to talk to you, Emily. 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.        

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. The 2022 Society of Corporate Compliance and Ethics, Compliance and Ethics Institute took place last week in Phoenix, Arizona.  There was a mix of both in person and virtual attendees with a person presence significantly bolstered compared with the 2021 crowd, the first in person ECI since the pandemic hit.  In 2023 it really felt like things were back and the Great Women in Compliance podcast hosts, Lisa Fine and Mary Shirley, debrief listeners with a roundup of highlights and musings from the conference, as well as handing out a few prized GWICies.  Lisa and Mary both critically analyze some aspects of the conference and sessions, as well as take their usual lighthearted and informal approach to discussing what they thought went well, where there were areas of opportunity, surprises and how they each dealt with unforeseen challenges – from the beginning of the conference and throughout – including Lisa's hangry misfortune and Mary nearly causing an international incident at a piano bar.  Join us for this special joint episode and re-live the conference for those that attended and cure your FOMO for those who were unable to make it.  The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020).  If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here. 

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.  As Lisa and Mary prepare for the end of 2022 with their fall hiatus, they thought they would mix it up by posting their Ethics Experts episodes.  We've heard from Mary, and now it's Lisa's turn.  In 2021, Lisa finally met Nick Gallo in person at the SCCE conference, and they talk about how they became "conference BFFs."  In the episode, they talk about the importance of ethical decision-making and how to empower employees to do that.  In particular, they also discuss how to grow and stretch yourself by doing things that scare you, and that's where Lisa committed to her annual solo episode. The release date is also the last day of the 2022 SCCE CEI, and Mary and Lisa will be back next week with their joint episode which will include some event highlights. The Great Women in Compliance podcast is excited to look at topics like this one, and we are always open to suggestions for guests. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here. 

By Adam Turteltaub The recently-released Health Care Fraud and Abuse Control Program FY 2021 report contains a treasure trove of information for healthcare compliance teams. To gain a better understanding of lessons to be learned from this document we sat down with SCCE & HCCA board member Gabe Imperato, Partner at Nelson Mullins. The report makes clear, he explained, how much coordination and review there is now among the Office of Inspector General at HHS, the US Department of Justice and also CMS. As a result, a subpoena, or even an inquiry needs to be taken very seriously. Compliance teams need to treat these external actions as if they are a report of non-compliant activity. The report also reveals that there has been an increase in cases based on failures of organizations to appropriately collect copays. Some organizations have taken egregious activity that could be characterized as ignoring the obligation. In other cases the provider has made what it considers to be a reasonable effort to collect the payment – asking at time of service, sending follow up letters – others think that more could be done such as calling patients and setting up a payment plan. With no clear definition of what's reasonable, the potential for a whistleblower case is high. The report also illuminates the challenges of Stark and Antikickback cases. In his opinion these cases makes it clear that if you are looking at a circumstances where on the one hand there is a potential source of business and on the other hand a potential source of revenue, and there is a financial relations between the two, it is best to bring in competent outside counsel to determine if there may be a violation of these highly complex laws. Kickback cases are very popular with qui tam attorneys, he notes, because of the difficulty in defending them completely. Looking to the future, Gabe sees a large number of Covid-related fraud cases that will likely take years to play out. Listen in to learn more, and be sure to read the report.

News and interesting articles brought to you by the Southern Colorado Computer Enthusiasts (SCCE). SCCE is a no-nonsense computer enthusiast group based in Colorado offering a buy/sell Facebook group focused on fair pricing, anti-scalping, and general helpfulness. SCCE runs a website, a discussion forum, and a special boosted Discord server for discussions on hardware, software, and everything in between. Check us out at the links below. SCCE Website: https://scce.group SCCE Forum: https://boards.scce.group SCCE Facebook Group: https://www.facebook.com/groups/1426387574228298 SCCE Discord server: https://discord.gg/QXVsngcTSx Sources: https://www.hardwaretimes.com/nvidia-rtx-4070-to-be-on-par-or-faster-than-the-1999-rtx-3090-ti-likely-to-cost-400-450-with-tgp-of-300w-rumor/ https://www.nextplatform.com/2022/07/08/now-comes-the-hard-part-amd-software/ https://www.polygon.com/23198875/terminator-survival-game-project-teaser https://www.fingerhut.com/product/NRADY https://www.tomshardware.com/news/overclocked-4-8ghz-threadripper-5995wx-64-core-amd https://www.tomshardware.com/news/amd-amf-encoder-quality-boost https://arstechnica.com/information-technology/2022/07/introducing-lockdown-from-apple-the-coolest-defense-youll-probably-never-use/ --- Support this podcast: https://anchor.fm/pcplanet/support

Joseph E. Murphy, JD, CCEP, is Senior Advisor to Compliance Strategists. For over 40 years, Joe has been a tireless champion of compliance and ethics in organizations and has done compliance work on six continents. He did compliance work in-house for 20 years, and co-founded a company that did online training. Joe has published over 100 articles and given over 200 presentations in 21 countries. He is Editor of SCCE's Compliance & Ethics Professional magazine, has served on SCCE's board, and is SCCE's Director of Public Policy (pro bono). Joe has been recognized with SCCE's Compliance and Ethics award, received the Concurrences 2021 Antitrust Compliance Awards, Special Award, and was named one of The National Law Journal's 50 Governance, Risk and Compliance Trailblazers and Pioneers. He was co-author of the first book ever written on compliance, Sigler & Murphy, Interactive Corporate Compliance: An Alternative To Regulatory Compulsion (Greenwood Press; 1988), and the author of Murphy, Policies in conflict: Undermining corporate self-policing, 69 Rutgers U.L. Rev. 421 (2017), Policies in Conflict: Undermining Corporate Self-Policing .Joe's web site: Joe Murphy, CCEPLinkedIn cite: https://www.linkedin.com/in/joemurphyccep/

Post By: Adam Turteltaub Bankruptcy doesn't come up a lot at compliance conferences, but it did at the SCCE 2021 Compliance & Ethics Institute. Kasey Ingram, General Counsel & Chief Compliance Officer at ISK Americas and Rocco Debitetto, Partner at Hahn Loesser addressed the topic, which is one worth considering. There's no guarantee that any company won't end up in Chapter 11 or won't acquire another company going through it. As they explain in this podcast, while the importance of compliance doesn't change during a bankruptcy, the environment in which it operates transforms dramatically. Chapter 11 is designed to help the company breathe, reorganize, redeploy its assets and hopefully continue to operate. But while for rank and file employees it is likely business as usual (with a good amount of stress added) for management it's a frantic time. More, who and where compliance reports may be very different. The debtor in possessions appoints officers and managers to run the company, and these individuals may be different than the people the compliance team had reported to. They also are focused on, as quickly as possible, saving the company and getting it back on its feet.  Compliance is not a priority. As a result, it's important for compliance to do two things quickly. First, make sure the new management knows who the compliance team is and what it does. Second, let them know that you are not there to get in the way but to help avoid potential problems that will add greater complexity to the reorganization efforts. On a tactical level there's a need to ensure that leadership, when reviewing contracts, knows which ones are essential to running the compliance programs. Canceling the helpline contract, for example, may save money but should not be on the table. Compliance also needs to be on the lookout for empty chairs. Chapter 11 is typically a time when there is substantial turnover. Keep a vigilant eye out for departures by people who have compliance responsibilities, and be prepared to backfill the positions. What happens if your company is healthy and acquiring a company out of Chapter 11? Expect insufficient time to do the standard due diligence. The good news is that the US Department of Justice generally understands that post-acquisition due diligence may be necessary, but don't wait too long to do it. Then if you find issues, be sure they are addressed promptly. In sum, even if bankruptcy seems far away, it's worth taking the time to listen to this podcast. Even seemingly healthy companies can take a sudden downturn, or acquire another entity that is in Chapter 11.

Post By: Adam Turteltaub Bankruptcy doesn't come up a lot at compliance conferences, but it did at the SCCE 2021 Compliance & Ethics Institute. Kasey Ingram, General Counsel & Chief Compliance Officer at ISK Americas and Rocco Debitetto, Partner at Hahn Loesser addressed the topic, which is one worth considering. There's no guarantee that any company won't end up in Chapter 11 or won't acquire another company going through it. As they explain in this podcast, while the importance of compliance doesn't change during a bankruptcy, the environment in which it operates transforms dramatically. Chapter 11 is designed to help the company breathe, reorganize, redeploy its assets and hopefully continue to operate. But while for rank and file employees it is likely business as usual (with a good amount of stress added) for management it's a frantic time. More, who and where compliance reports may be very different. The debtor in possessions appoints officers and managers to run the company, and these individuals may be different than the people the compliance team had reported to. They also are focused on, as quickly as possible, saving the company and getting it back on its feet.  Compliance is not a priority. As a result, it's important for compliance to do two things quickly. First, make sure the new management knows who the compliance team is and what it does. Second, let them know that you are not there to get in the way but to help avoid potential problems that will add greater complexity to the reorganization efforts. On a tactical level there's a need to ensure that leadership, when reviewing contracts, knows which ones are essential to running the compliance programs. Canceling the helpline contract, for example, may save money but should not be on the table. Compliance also needs to be on the lookout for empty chairs. Chapter 11 is typically a time when there is substantial turnover. Keep a vigilant eye out for departures by people who have compliance responsibilities, and be prepared to backfill the positions. What happens if your company is healthy and acquiring a company out of Chapter 11? Expect insufficient time to do the standard due diligence. The good news is that the US Department of Justice generally understands that post-acquisition due diligence may be necessary, but don't wait too long to do it. Then if you find issues, be sure they are addressed promptly. In sum, even if bankruptcy seems far away, it's worth taking the time to listen to this podcast. Even seemingly healthy companies can take a sudden downturn, or acquire another entity that is in Chapter 11.

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 Kortney Nordrum, Regulatory Counsel and Chief Compliance Officer at Deluxe. Back in MN, Nordrum opened her own practice focusing on animal rights, where she saved a bunch of horses and cows from starving. She next worked at Thompson Reuters, working on WestLaw. From there she went to SCCE, where she found her true calling, compliance. At SCCE, Nordrum helped pioneer many initiatives such as the conference the social media lounge/booth/wall, she founded the SCCE blog and the SCCE podcast. She became an expert in social media and compliance. One of her great joys was working with Adam Turteltaub and flying literally around the world evangelizing compliance. Learn more about your ad choices. Visit megaphone.fm/adchoices

Post By: Adam Turteltaub What do the current times and the times to come mean for corporate values? To answer that question we turn in this podcast to Marjorie Doyle, Principal, Marjorie Doyle & Associates, and Art Weiss, Principal, Strategic Compliance and Ethics Advisors, SCCE & HCCA President and Chief Compliance and Ethics officer at TAMKO Building Products. These two compliance veterans, and members of the SCCE Basic Compliance & Ethics Academies faculty, will be addressing the topic in their session “Polish Your Brand! Make Your Values Apply to Current Issues” on September 19th at the 2021 SCCE Compliance & Ethics Institute. When faced with such monumental changes as we are today they advise sticking to your values but looking to see if it is time to evolve the definitions. As an example they point to the value of safety, which now should likely reflect not just preventing injuries from things such as falls, but also from COVID-19. Likewise, they argue that with remote work values remain just as important, but organizations need to recognize that the application of those values is different. Studies have long shown that company values tend to be stronger for employees in the corporate headquarters than they are for those farther away. With so many workers no longer in the office, organizations will need to work harder to keep their values front and center and a driver of corporate culture. And how can organizations bridge the very different experiences of workers who come into the office and those who don't? They advise regular communications from leadership filled with examples that reinforce the organizational culture. Those communications, and others, should also explain how the organization's values are being applied to meet the changing environment. Listen in to learn more, and be sure to join us at the 2021 SCCE Compliance & Ethics Institute.

Post By: Adam Turteltaub What do the current times and the times to come mean for corporate values? To answer that question we turn in this podcast to Marjorie Doyle, Principal, Marjorie Doyle & Associates, and Art Weiss, Principal, Strategic Compliance and Ethics Advisors, SCCE & HCCA President and Chief Compliance and Ethics officer at TAMKO Building Products. These two compliance veterans, and members of the SCCE Basic Compliance & Ethics Academies faculty, will be addressing the topic in their session “Polish Your Brand! Make Your Values Apply to Current Issues” on September 19th at the 2021 SCCE Compliance & Ethics Institute. When faced with such monumental changes as we are today they advise sticking to your values but looking to see if it is time to evolve the definitions. As an example they point to the value of safety, which now should likely reflect not just preventing injuries from things such as falls, but also from COVID-19. Likewise, they argue that with remote work values remain just as important, but organizations need to recognize that the application of those values is different. Studies have long shown that company values tend to be stronger for employees in the corporate headquarters than they are for those farther away. With so many workers no longer in the office, organizations will need to work harder to keep their values front and center and a driver of corporate culture. And how can organizations bridge the very different experiences of workers who come into the office and those who don't? They advise regular communications from leadership filled with examples that reinforce the organizational culture. Those communications, and others, should also explain how the organization's values are being applied to meet the changing environment. Listen in to learn more, and be sure to join us at the 2021 SCCE Compliance & Ethics Institute.

Post By: Adam Turteltaub Jim Passey, Vice President, Chief Audit & Compliance Officer at Honor Health sat down with us to record three podcasts focused on compliance career development: Setting Career Goals Moving Your Career Forward Making it to the Top You've set your career goals. You've mapped out the interim steps. Now, how do you keep moving along the path you have made for yourself? The first step that Jim Passey outlines in this podcast is to do your homework. Compliance, he explains, is about giving good advice. As a result, nothing can destroy your credibility (and prospects) faster than giving bad advice. To avoid that trap he advises investing the time to understand the government's expectations. That begins, of course, with the Federal Sentencing Guidelines, but it doesn't stop there. Stay on top of what is going on in enforcement. Focus on what the enforcement community is focusing on. Also, have a strong grasp of your organization's business so you know to implement your program effectively within its culture. That includes understanding the structure and political flow of decision making, including who has formal and informal authority. That's only the beginning. As we all know, compliance isn't just about knowing what the law and regulations requires. In many ways that is the easy part. The more difficult challenge is getting people to comply. Success is guiding behavior comes from persuasion, collaboration, motivation and inspiration. So, to ensure success for your compliance program and your career, it is essential to develop strong communication skills, and even know a bit about salesmanship. Negotiation skills are also a necessity. There are lots of grey areas in compliance where the laws and regulations aren't perfectly clear, or a new business idea doesn't fall neatly within existing frameworks. Having the ability to navigate the grey and find a potential solution is an invaluable skill. What else does he recommend? Be dependable. Take initiative. Be the voice of solutions not problems. Work well with others. Build your network. Get involved in the compliance community, and take advantage of what SCCE and HCCA have to offer. You can even start with this podcast.  Listen in.

Post By: Adam Turteltaub Jim Passey, Vice President, Chief Audit & Compliance Officer at Honor Health sat down with us to record three podcasts focused on compliance career development: Setting Career Goals Moving Your Career Forward Making it to the Top You've set your career goals. You've mapped out the interim steps. Now, how do you keep moving along the path you have made for yourself? The first step that Jim Passey outlines in this podcast is to do your homework. Compliance, he explains, is about giving good advice. As a result, nothing can destroy your credibility (and prospects) faster than giving bad advice. To avoid that trap he advises investing the time to understand the government's expectations. That begins, of course, with the Federal Sentencing Guidelines, but it doesn't stop there. Stay on top of what is going on in enforcement. Focus on what the enforcement community is focusing on. Also, have a strong grasp of your organization's business so you know to implement your program effectively within its culture. That includes understanding the structure and political flow of decision making, including who has formal and informal authority. That's only the beginning. As we all know, compliance isn't just about knowing what the law and regulations requires. In many ways that is the easy part. The more difficult challenge is getting people to comply. Success is guiding behavior comes from persuasion, collaboration, motivation and inspiration. So, to ensure success for your compliance program and your career, it is essential to develop strong communication skills, and even know a bit about salesmanship. Negotiation skills are also a necessity. There are lots of grey areas in compliance where the laws and regulations aren't perfectly clear, or a new business idea doesn't fall neatly within existing frameworks. Having the ability to navigate the grey and find a potential solution is an invaluable skill. What else does he recommend? Be dependable. Take initiative. Be the voice of solutions not problems. Work well with others. Build your network. Get involved in the compliance community, and take advantage of what SCCE and HCCA have to offer. You can even start with this podcast.  Listen in.

Ricardo Bocutti e a importância do COMPLIANCE na cadeia de suprimentos com a Ericsson - O Ricardo é executivo com mais de 12 anos de experiência em Compliance, Enterprise Risk Management (ERM) e Controles Internos, atuando em diversos setores como Power and Energy, Agronegócio, Telecom, Varejo e alimentos. Conhecimento em metodologias de risco, compliance, leis e ISO´s e certificação CCEP-I: Profissional Certificado de Conformidade e Ética Internacional pela SCCE. Graduado em Administração de Empresas pela Universidade Presbiteriana Mackenzie e Pós-Graduado em Finanças pelo Insper.Se você estiver ouvindo esse episódio pelo Spotify não esqueça de clicar no botão “seguir”, se você estiver ouvindo pelo Apple Podcasts deixe 5 estrelas e comentário que eu leio todos. Me adiciona também no

Post By: Adam Turteltaub The Environmental, Social and Governance (ESG) movement has been around for a long time, but over the last year it has hit a tipping point. In fact, according to Roy Snell, former SCCE & HCCA CEO and now advisor to Osprey ESG Software, it has hit several tipping points. In this podcast he and Alison Taylor, Executive Director of Ethical Systems, outline how strong the ESG movement has become and how important it is for compliance professionals to embrace it. They will also be addressing this topic at the SCCE ESG and Compliance Conference on June 17, 2021. As they share here, recently the EU announced it was looking to create regulations monitoring the truthfulness of ESG claims, particularly for investment firms. The US Securities & Exchange Commission (SEC) has set up an enforcement working group of its own. Standards bodies are emerging and setting some very high bars, and many organizations have committed to various ESG goals. One of the difficulties of ESG is that there is a mix, Alison notes, of hard and soft obligations. In the area of modern slavery, for example, many countries already have requirements in place for, at a minimum, reporting what the company is doing to managing the risk. And in environmental arena there are already a host of laws and regulations. But, in many other areas that fall under ESG there are not yet laws. Nevertheless, a corporate commitment should be taken just as seriously and with great rigor. In sum, ESG has come of age, and with it has come the risk that organizations will start fudging the numbers to meet their proclaimed and required ESG goals. That leads to an opportunity and need for compliance teams to get involved. As in other areas, compliance should not necessarily be directly involved in the initiatives since it can create a conflict of interest. Instead, they advise, compliance should, as it traditionally has, ensure the integrity of the organization’s work by creating control processes and procedures and investigating claims of potential wrongdoing. For the compliance team to be effective they recommend working with related units in the organization: ESG, corporate social responsibility, sustainability and investor relations. Increasingly investors are demanding that organizations report on their ESG efforts, and that has caught the attention of leadership and the board. Listen in to learn more, and then join us at the SCCE ESG and Compliance Conference.

Post By: Adam Turteltaub With the 25th annual HCCA Compliance Institute about to take place we have been collecting some rememberances of the last 25 years from various members of the compliance community. In this podcast, SCCE & HCCA board member, and the association’s next president Robert Bond shares his history in compliance. Robert, who is Senior Counsel and Notary Public at the London firm of Bristows actually has roots that dig even. About 35 years ago he was living in the Midlands of the UK and had a neighbor who was developing (loudly) a video game, often at all hours of the night. As Robert and the neighbor talked, it became clear that the programmer needed some legal help, which led Robert eventually to move fully into the then emerging field of video game law. Even at that time, he reports, gaming firms were collecting vast troves of data with often insufficient understanding  of both the opportunities and risks it posed. By the time of the first Compliance Institute he had moved to London and was leading a small firm’s multimedia practice. Notably by the 1990s privacy, which Robert specializes in, was already becoming a concern. As he shares in the podcast, with the birth of the web, more data was collected and increased focus was being paid to the ethical side and the need to be careful with what was fast becoming the new oil. His advice when it comes to data; don’t think about a privacy compliance program. Think about a compliance program and how data protection and privacy fit in. Listen in to learn more about his fascinating career, the evolution of compliance, and what he sees as a C-suite future for privacy officers. And plan on joining us for the 2021 Compliance Institute.

Post By: Adam Turteltaub In 2016 France adopted a new law to help combat corruption. Inspired by legislation in the US, UK and Netherlands, Article 17 of what is known as Sapin II, includes provisions requiring organizations above a certain size to have an anticorruption program. The law also led to the creation of the Agencie Francaise Anticorruption, or AFA. To ensure the independence and integrity of the AFA, its director is a senior judge appointed by the President for a 6-year non-renewable term. In order to understand more about the AFA and its mandate we spoke with Julien Betolaud, Senior International Affairs Officer, and Izadora Zubek, International Affairs Officer. Julien will also be speaking at the SCCE 2021 European Compliance & Ethics Institute, which will be conducted in a virtual format 15-17 March. As they explain in this podcast, the AFA plays a central role in monitoring organizations that have a corruption-related DPA in place. Airbus is one notable example. AFA auditors are authorized to access documents and interview anyone whose assistance is deemed necessary. They are also authorized to interview suppliers, intermediaries, and clients. In addition to these responsibilities the AFA also provides extensive guidance to both public and private entities on the development of anticorruption compliance programs, including how to meet the eight points included in the Sapin II law. The list of these points will be familiar to anyone in compliance and includes a code of conduct, whistleblowing system, risk mapping, and internal monitoring. On the AFA website are a number of documents designed to help inform compliance efforts (Note: many of these are in English, and Google Chrome’s translate feature works very well with the site). Most notably, their recommendations were updated earlier in 2021 after an extensive review. An English version will be published to the site in late February. The AFA also actively engages with the business community, seeking opportunities to have as wide an impact as possible. They have held meetings with industry sectors designed to help identify the challenges they face and facilitate the sharing of solutions. They even provide direction to organizations who request it. Listen in to learn more about the AFA’s work, and then plan on joining us 15-17 March for the 9th Annual European Compliance & Ethics Institute.

This episode, we chat with Jared Kunar from McMaster University's Science Career and Cooperative Education Office (SCCE). Jared tells us about how he helps students develop job search techniques, create targeted resumes and cover letters, and figure out where the heck their life is going! Episode transcript SCCE Instagram: https://www.instagram.com/mcmasterscce/ SCCE Website: https://science.mcmaster.ca/scce/ SCCE drop in hours and live chat: https://science.mcmaster.ca/scce/contact/drop-in-advising.html Cost of hiring: https://toggl.com/blog/cost-of-hiring-an-employee Email: soyougotalifescidegree@gmail.com Webpage: https://anchor.fm/soyougotalifescidegree Patreon: https://www.patreon.com/soyougotalifescidegree?fan_landing=true Rate us on Apple Podcasts: https://podcasts.apple.com/ca/podcast/so-you-got-a-lifesci-degree/id1531348565 Music copyright notice: No Regrets (2015) - Royalty-Free Music by https://audiohub.com

Post By: Adam Turteltaub No matter what the size of the organization, you need to have a compliance program these days. But for smaller organizations, that can be difficult to do, given the reduced resources. It is far from impossible, though, explains Tracy E. Tracy, Vice President, Compliance and Legal at NovuHealth. You just have to think strategically. As she explains in this podcast that includes: Starting by understanding the laws and regulations that govern your business Gaining support of inside and outside counsel Embracing the basics of the seven elements in the US Federal Sentencing Guidelines Assessing your risks Signing up “engaged collaborators” Having a willingness to be flexible Taking a roll-up-your -sleeves approach Looking to past audit activity Working with customers so that they understand how your organization works and have reasonable expectations Listen in also to learn what taking a “snout to tail” approach means and how it can help small organizations, and large ones as well. And, for additional ideas for smaller organizations be sure to check out the SCCE publication A Compliance & Ethics Program on a Dollar a Day:  How Small Companies Can Have Effective Programs.

Post By: Adam Turteltaub Back in 2019 Samantha Kelen, Chief Ethics and Compliance Officer at Cardinal innovations Healthcare and Lisa Beth Lentini Walker, CEO and Founder of Lumen Worldwide Endeavors, proposed a session for the 2020 SCCE Compliance & Ethics Institute on recession-proofing your career.  By the time they conducted it in September a theoretical exercise had become an all-too-practical one.  These days, like most everyone else in business, compliance professionals have experienced serious erosion in job security. In this career-essential podcast they explain both how to prepare for and find a new opportunity while also ensuring your current employer understands the value you and the compliance team provides.  That includes keeping a business mindset and knowing the right language to use based on your audience. They also provide some unexpected advice, including checking employment ads on the SCCE (and HCCA) job boards and elsewhere, too, even if you aren’t on the market.  The job listings can tell you what employers are looking for these days and the skills you need both for finding new work and strengthening the program where you are now. Also included in this podcast are tips for improving your resume and advice on how to improve your networking. Listen in for valuable advice on improving your current compliance program and your chances of finding a new position, even in tough times like these.

SVP of Audit, Ethics, and Compliance at AARP, Ellen Hunt is talking about her teams implementation of dashboards as well as how to get in front of the C-suite.   You can see the dashboard Ellen and her team use to show the status of an audit by watching this short YouTube clip.   If you want to see more of Ellen then check out some of the training sessions she leading as well as her feature in Great Women in Compliance (coming Fall 2020): Re-opening the workplace: how are we going to do this??! SCCE 19th Annual Compliance & Ethics Institute 2020 PLI Advanced Compliance & Ethics Workshop 2020  

Post By: Adam Turteltaub NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda. In 2020 the SCCE will again be proud to offer the Compliance Law track at the Compliance & Ethics Institute. The meeting will take place September 14-16. Rebecca Walker (Partner at Kaplan & Walker) and Kasey Ingram (General Counsel and Chief Compliance Officer at ISK Americas, Inc.) served as co-chairs of the track and explain in this podcast that what animated the session selection process was an understanding that law and compliance are exceedingly intertwined. They sought to select the best sessions for increasing expertise in the laws that impact organizations and their compliance programs. The track includes sessions addressing a wide range of legal issues and, it will do so from a practical rather than a strictly legalistic perspective. No J.D. required. Listen in to learn more about the issues and what to expect at the Compliance Law track at the 2020 Compliance & Ethics Institute.

Post By: Adam Turteltaub Why do people find it hard to come forward when they see behavior that is clearly wrong?  According to Catherine Sanderson, the Poler Family Professor and Chair of Psychology at Amherst College, it gets down to fundamental psychological principles. People are wired to worry about the personal consequences of their actions. In addition, when we are in a group setting we are less likely to come forward because if we see others not react we tend to think that there may not be a problem. Another challenge: we often make the wrong assumption about what other people are thinking. For example, remember back when you were in college and a professor asked if you had any questions? You were confused, had a question, but no one else was raising their hand and you thought, “Gee, I must be the only one who is confused.” It doesn’t dawn on us that others in the class also might be afraid to show how confused they are, too. In this podcast, Professor Sanderson, who is the author of Why We Act: Turning Bystanders into Moral Rebels and will be speaking at the SCCE 2020 Compliance & Ethics Institute, explains the psychological factors that can inhibit or encourage people to speak up. She addresses the personality traits of people who are more likely to be “moral rebels”: individuals willing to point out moral failures and respond to bad behavior when others won’t. She also explains what can be done to encourage more people to come forward. Fortunately, there are skills and strategies that can inspire our inner moral rebels. Listen in to learn more about why we need moral rebels and how to foster them in your organization. Then plan on gaining additional insights from her at the virtual Compliance & Ethics Institute.

Post By: Adam Turteltaub Like organizations everywhere the SCCE and HCCA have been affected by the global COVID-19 pandemic. In this podcast, the organization’s CEO Gerry Zack explains how the association has been handling the crisis and what the future holds. Fortunately, there is much good news. The vast majority of the staff is working remotely, while a small crew at the office ensures that the mail gets answered and orders get shipped. On the meetings front, the association has transitioned to virtual meetings very successfully and actually expanded the educational opportunities. One example of that is our regional meetings. In the past a compliance professional in City A would be unlikely to travel to City B for a one-day regional conference. Now that the meetings are virtual that’s not an issue. As a result, there are dozens more meetings to choose from. The association will continue to move meetings to virtual formats where possible. For the Compliance & Ethics Institute it’s still too early to make the call, as Gerry explains, but we’ll be watching how things develop closely. And, for the Academies we hope to be able to resume live meetings in the fall. Listen in as he shares more details about our meetings, the new, free web conferences for SCCE and HCCA members, and how COSMOS is helping our members access their magazines electronically. Plus, there’s even more available now on COSMOS with new content to come.

The FINAL episode - since we're over in the clinical side of the house, we wanted to reach out to a NEW TO THE SHOW guest, Edye Edens, to find out how clinical research has been rolling during #COVID19. Bio: Joining First Class Solutions, Inc. in 2017, Edye T. Edens serves as Senior Research Compliance Consultant focusing on research compliance and life sciences. Edye is a licensed attorney with an international human rights, ethics, and health law background. Her legal consulting services include, but are not limited to, research administration, healthcare compliance, grants/contracts to IRB, COI, education, privacy, HIPAA, FDA, AAHRPP, misconduct and site-level compliance work as it relates to QA, monitoring, and auditing (particularly oncology). Services provided include education and training, program creation and management, organizational change management, or even as a complete outsourcing solution. Additionally, Ms. Edens regularly publishes articles and speaks at regional and national professional research and compliance association meetings, including HCCA, SCCE, PRIM&R, MAGI, AAHRPP, SPARC, RAPS, and AHLA. Previously, while in-house for a decade at Indiana University, she focused on the role of human rights in health and worked at the Human Subject Offices on both the Bloomington and Indianapolis campuses, the Indianapolis Grant Services office, Clinical Research Compliance Office and the Research Integrity Office aiding in quality assurance and compliance matters including managing accreditations, internal auditing, education and managing consultation projects involving outside entities. In 2016, she became the first Quality and Compliance Manager for the IU Simon Cancer Center over all aspects of compliance related to all clinical trials performed at IUSCC, before departing for the consulting world. Educationally, she completed her MA in International Research Ethics in 2012, and was the program manager for a NIH grant to aid in creating a joint international institutional review board (IRB) in conjunction with IU’s existing Moi University medical school partnership in Kenya and the IU Center for Bioethics, which expanded her ability to consult in compliance matters globally. She is also a Certified IRB Professional (CIP), Certified Clinical Research Professional (CCRP), and holds a green belt certification in Lean Six Sigma. Additionally, she teaches at IU’s McKinney School of Law and Fairbanks School of Public Health in Indianapolis, and oversees the Hall Center for Law and Health’s Externship Program. BTW - here's my interview with Edye on The Point Podcast at Apex Benefits - about COVID-19 Vaccine development: https://www.youtube.com/watch?v=gaVPi9DQwrA Thanks to ALL #TheNewNormal guests for the month of April!

Post By: Adam Turteltaub Group think, confirmation bias and a lack of critical thinking can all cause lapses in integrity. Seeing high levels of all three led Roy Snell, the former CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association, to write IntegrityWorks: Tools and Skills to Build Integrity. The book was just published and is now available for sale on the sites of the HCCA and SCCE. In this podcast, Roy and his editor Karen Latchana Kenney discuss the risks to integrity and what can be done about them. They also discuss the four chapters of the book, which address bias, being genuine, truth and civil debate, and critical thinking. Designed to be a useful tool, rather than a philosophical discussion, IntegrityWorks provides workshop ideas for putting integrity into practice. It also includes interviews with ethical leaders, and presents integrity in a number of different and compelling ways. Listen in to learn more, and then order your copy of IntegrityWorks from the HCCA or SCCE websites.

Post By: Adam Turteltaub For years In re Caremark was the definitive decision from the Delaware courts on board oversight of compliance programs. Decided in 1996, the Delaware Court of Chancery held that directors had a duty of care. However, as Rebecca Walker of the firm Kaplan & Walker explains in this podcast, the bar was still a bit low. The Board could only be held responsible, the Court found, if it utterly failed to implement monitoring and reporting systems, or consciously failed to oversee them. Now, though, thing seem to have changed. In Marchand vs. Barnhill, the Delaware Supreme Court held that, if boards fail to put in place a reasonable system of monitoring and oversight in key compliance risk areas, they may be subject to liability for related compliance failures. The Court wrote: “Caremark does have a bottom-line requirement that is important: the board must make a good faith effort—i.e., try—to put in place a reasonable board-level system of monitoring and compliance." Listen in as she outlines the Court’s decision and the implications for board oversight of compliance programs. And, to learn more, SCCE members can look up her article in the SCCE magazine or on Cosmos.

By Adam Turteltaub Judy Spain is a professor of business law at Eastern Kentucky University, Compliance Collaborative Program Consultant with the Georgia Independent College Association, and, most importantly for this conversation, the author of the book Compliance Risk Assessments: An Introduction, which was just published by SCCE and available for sale on both the SCCE and HCCA websites. In this podcast we review the changing importance of the concept of risk and risk management, which Judy argues, has moved from an insurance-based approach for mitigating damage after an event to a more proactive one designed to prevent the problem in the first place. She also discusses: The need to stop and think, rather than to react The importance of making ethics a part of the compliance risk assessment The value of including multiple voices in the risk assessment process Knowing your goal before starting The steps involved in getting the assessment done right (which are outlined in great detail in the book) Understanding that not every risk has the same impact The central role of prioritization And much, much more To learn more, listen in on the podcast and then enjoy a preview of Understanding Compliance Risks Assessments on Cosmos, our digital publishing platform.

Dr. Chrissy Ropp, PT, DPT, GCS comes onto the HET Podcast to give us her unique perspective as a Site Coordinator of Clinical Education (SCCE).   Resources Mentioned: OSF Healthcare American Physical Therapy Association (APTA) American Occupational Therapy Association (AOTA) American Speech- Language- Hearing Association (ASHA) APTA Academy of Physical Therapy Education (APTE): Educational Leadership Conference 2019 Credentialed Clinical Instructor Program- Level 1 Credentialed Clinical Instructor Program- Level 2 National Consortium of Clinical Educators Clinical Site Information Form (CSIF)   Biography: Chrissy Ropp, PT, DPT, GCS is a graduate of Mount St. Mary's College and Saint Ambrose University. She is the Coordinator of Clinical Education for Rehabilitation Services for the Illinois Neurological Institute. She is a Board Certified Specialist in Geriatric Physical Therapy and provided therapy expertise for the Illinois Neurological Institute's Amputee Clinic for more than 10 years.     The PT Hustle Website Schedule an Appointment with Kyle Rice HET LITE Tool  Anywhere Healthcare (code: HET)

This week on Democracy That Delivers, we are joined by Martina Hrvolova and Ken Jaques. Martina shares a glimpse of her upcoming presentation at the Society of Corporate Compliance and Ethics (SCCE) 2019 Western Balkans Regional Conference. They discuss CIPE's approach to identifying and combatting corrosive capital through different governance structures, as countries are at different stages in their development, and the steps they are taking to recognize the threat. 

We recorded a special episode of Great Women in Compliance this week.  A roundtable session was held at the Gaylord Resort and Convention Center at National Harbor -  right from the SCCE CEI.  This year’s conference attracted nearly 1900 attendees and was packed full of interesting sessions from substantive topics to soft skills to motivational and inspirational, which we hope our session “Starting the Great Women in Compliance Podcast.  How an Idea from the SCCE 2018 CEI Evolved into a Podcast and What We Learned” was for some of the attendees.  Podcast hosts Lisa Fine and Mary Shirley were joined for this episode by two popular and prominent Great Women in Compliance, Amii Barnard-Bahn and Ellen Hunt to share insights, observations and learnings from this year’s conference.  We talked about a few of the sessions of the conference and the key takeaways from each, top tips for networking specifically at conferences to make the most of the in person experience, developments in relation to women on boards and overall highlights from attending the conference.  Lisa and Mary would like to extend sincere gratitude to the folks that introduced themselves at the conference, supported our session, podcast and supplied us with feedback.  It was a wonderful experience meeting so many of our LinkedIn connections including several Great Women in Compliance in person and we very much look forward to seeing you all again next year.

This episode begins on a somber note as Tom and Jay note the passing of Compliance Week reporter Joe Mont and what he meant to the greater compliance community. They then turn to discuss some of this week’s top compliance and ethics stories which caught their collective eyes.  1.    Tributes to Joe Mont. 2.    Mike Volkov takes a deep dive into the recent Business Roundtable Statement on the Purpose of a Corporation on Corruption Crime and Compliance. 3.    Former Cognizant Technologies COO, Sridhar Thiruvengadam, settles FCPA charges. Dick Cassin.  4.    Netherlands proposes nationwide AML system. John Rusch reports.5.    What is an ethical culture and why does it matter? Jay begins a multipart series. 6.    What is algomerithic corporate misconduct. Milhailis Diamantis explores. 7.    Despite prevaling opinions, CCO is not a ‘god’. Clara Hudson reports on the Odebrecht CCO remarks at SCCE.8.    Do UK DPAs throw individuals under the bus? Ross Dixon asks. 9.    Mary Shirely tells you how to ace job interviews. 10. Tom continues his preview of the Converge19 speakers in a special bonus series of podcasts on the Compliance Podcast Network. Check out the following: Monday-Scott McCleskey on mapping the ethical risk in your company;  Tuesday-Valerie Towery on cross functional collaboration; Wednesday-Kurt Stitcher on Operation Globalization; Thursday-Matt Kelly on Developing Effective Strategies for Third Parties & Data Security Risk and Friday- Anna Aster on The Future CECO: The Executive Recruiter's Perspective. The podcast is available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone,YouTube,  Spotifyand theCompliance Podcast Network. 11. The Everything Compliance gang will be doing its first live podcast at Converge19. You should be there! Listeners to this podcast can obtain a complimentary ticket by using the promotion code foxvip, for registration and information, click here.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Compliance training is both essential to the effectiveness of every compliance and ethics program and an ongoing source of consternation:  Are we doing too much or too little?  Are the courses too long or too short?  Are employees understanding and retaining the learning or are they just clicking through the courses? To help answer these and countless other questions, the SCCE asked Kirsten Liston, a veteran of the compliance training industry and Principal and Founder of Rethink Compliance, to write a book on the topic.  The result is Creating Great Compliance Training in a Digital World. Over its 150 pages the book takes the reader through the principles of effective communication and training for adults. In this podcast Kirsten explains how the book is organized and her focus on providing practical advice on how to communicate effectively and from the perspective of the learner.  She leverages thinking from fields as diverse as advertising and behavioral psychology to show what gets people to pay attention,  engage with the training and take action. She also explores the importance of measuring the effectiveness of the training and the importance of figuring out what works and what doesn’t. Listen in to learn more about the book and how to think about your own training efforts.   Or check out a preview of it online on COSMOS.

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Most every SCCE or HCCA conference has panel discussions led by a moderator.  Done well, they can bring tremendous insights.  Done poorly, and the audience may walk out or, even worse, doze off. Richard Bistrong is a veteran speaker and moderator.  He advises that it’s important for moderators to think of themselves as supporting actors and not stars.  They are there to stimulate engagement with the audience and bring out the best in the presenters.  That means making sure that the conversation covers the key points, moves along deliberately and that there is ample time for questions at the end. In this podcast he also shares his advice for selecting panelists, scripting out questions, building rapport among panel members, and the role of slides:  use them to support the conversation not serve as a script.  Finally, he discusses the importance of the final question for every panel discussion. Listen in to benefit from his expertise.  And, if you want to learn more, he recommends a recent article in The Atlantic.  You can also find additional advice at the bottom of the Call for Speakers page on the SCCE and HCCA websites.

via Adam Turteltaub at SCCE In October 2018 Assistant Attorney General Brian Benczkowski of the US Department of Justice issued a memo entitled “Selection of Monitors in Criminal Division Matters.”  Some took the memo to herald the end of corporate monitorships. Not so, says Eric Feldman of Affiliated Monitors.  In this podcast he explains that, instead, the memo was designed to improve both the selection of monitors and the process for determining whether having a monitor is appropriate. Over the years it had become the default to have a monitor when a Deferred Prosecution Agreement was put in place.  Now a cost/benefit analysis will be conducted before going down this often long road.  The DOJ will be examining factors such as who was involved in the wrongdoing and what progress the company has made on its own to strengthen its compliance efforts.

Welcome to the only roundtable podcast in compliance. The genesis of Everything Compliance was our first podcast three years ago at SCCE in Chicago. We reconvene for this  week’s episode at the SCCE 2018 Compliance and Ethics Institute. This year we record in Las Vegas. We have a potpourri of topics and free flowing conversation. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, I visit with SCCE incoming President Gerry Zack about his new role with the organization. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, we report from the SCCE 2017 Compliance and Ethics Institute, which was recently concluded in Las Vegas. We are joined by Roy Snell, the President of SCCE. We all relate some of our highlights of this year's events and look at some of the most recent compliance and ethics stories which caught our collective eyes.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, we report from the SCCE 2017 Compliance and Ethics Institute, which was recently concluded in Las Vegas. We are joined by Roy Snell, the President of SCCE. We all relate some of our highlights of this year's events and look at some of the most recent compliance and ethics stories which caught our collective eyes.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, I visit with Roy Snell about his recent announcement that he is stepping down as head of the SCCE. We review the current state of the SCCE and how the Roy has seen the compliance evolve from its start after the 1992 US Sentencing Guidelines. We discuss where Roy sees compliance going in the next several years and where the SCCE may go to support the profession.  This announcement comes when the SCCE has grown to 50 staff members and one of the has one of the strongest boards in the professional association world. the SCCE has a strong footprint in the US and is a material player internationally with 17,500 members in 95 countries. It has a great reputation and its success to date has been quite remarkable.  The call for applications will close on August 20th 2017.  A detailed job description and position summary are available at http://www.corporatecompliance.org/CEO.  SCCE plans to complete the interview and selection process in the Fall of 2017 and onboard a Deputy CEO in early 2018. The Deputy CEO will likely assume the role of the CEO sometime in 2019. Roy will stay on with the organization for roughly one year to work on special projects. To be considered for the CEO of SCCE and HCCA, please fill out the questionnaire with return instructions available at: http://www.corporatecompliance.org/CEO. Learn more about your ad choices. Visit megaphone.fm/adchoices

This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss:  Tom reports on Compliance Week 2017. See his articles in Compliance Week, here and here. If the DOJ releases new information in the form of the Evaluation of Corporate Compliance Programs, does anyone read it. See article in GIR (sub req’d). Jay discusses the SCCE event he attended last week in San Francisco. See Jay’s recap in his article I Left My #SCCE Heart in San Francisco or I Love It When A Plan Comes Together! Was the individual enforcement against the MoneyGram CCO significant or much ado about nothing? See article by Dick Cassin in the FCPA Blog and by Sara Kropt in her Grand Jury Blog. DOJ will embed prosecutors overseas. See article by Sam Rubenfeld in WSJ Risk and Compliance Journal. See full text of speech by Deputy AG Trevor McFadden by clicking here. Warriors and Cavs meet in the first time, three consecutive title match run. Tom and Jay consider from the compliance perspective. Tom announces the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click here.  Jay Rosen can be reached:  Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com   Tom Fox can be reached:        Phone: 832-744-0264        Email: tfox@tfoxlaw.com Learn more about your ad choices. Visit megaphone.fm/adchoices

This week, Jay and I have a wide-ranging discussion on some of the week’s top compliance related stories. We discuss:  Tom reports on Compliance Week 2017. See his articles in Compliance Week,  here and  here.If the DOJ releases new information in the form of the Evaluation of Corporate Compliance Programs, does anyone read it. See article in  GIR (sub req’d).Jay discusses the SCCE event he attended last week in San Francisco. See Jay’s recap in his article I Left My #SCCE Heart in San Francisco or I Love It When A Plan Comes Together!Was the individual enforcement against the MoneyGram CCO significant or much ado about nothing? See article by Dick Cassin in the  FCPA Blog and by Sara Kropt in her  Grand Jury Blog.DOJ will embed prosecutors overseas. See article by Sam Rubenfeld in WSJ  Risk and Compliance Journal. See full text of speech by Deputy AG Trevor McFadden by clicking  here.Warriors and Cavs meet in the first time, three consecutive title match run. Tom and Jay consider from the compliance perspective.Tom announces the release of his new book 2016 – The Year in Corporate FCPA Enforcement. For more information and to purchase, click  here. Jay Rosen can be reached:  Mobile (310) 729-6746 Toll Free (866)-201-0903 JRosen@affiliatedmonitors.com   Tom Fox can be reached:        Phone: 832-744-0264        Email: tfox@tfoxlaw.com Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special live, on location episode, Jay Rosen and I discuss the recent SCCE 2017 Utilities and Energy Conference held in Washington DC. He hit on the highlights, topics, vendors and key note speakers. We also discuss the impact of the recently released DOJ Evaluation of Corporate Compliance Programs. Finally we have a guest appearance by Jim Moore, recently installed as SVP at Trust Point International. For a copy of the Evaluation of Corporate Compliance Programs, click here. For my two blog posts on the Evaluation, Part I and Part I Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special live, on location episode, Jay Rosen and I discuss the recent SCCE 2017 Utilities and Energy Conference held in Washington DC. He hit on the highlights, topics, vendors and key note speakers. We also discuss the impact of the recently released DOJ Evaluation of Corporate Compliance Programs. Finally we have a guest appearance by Jim Moore, recently installed as SVP at Trust Point International. For a copy of the Evaluation of Corporate Compliance Programs, click here. For my two blog posts on the Evaluation, Part I and Part I Learn more about your ad choices. Visit megaphone.fm/adchoices

At the SCCE 2016 Compliance and Ethics Institute, I sat down with four of the top compliance commentators in the field for my first roundtable-style podcast. It was so successful that I persuaded the gang to come back together every couple of weeks for a formal podcast, which is entitled Everything Compliance. The premier episode is available for your listening pleasure today. I will post a new episode every two weeks. I host these four well-known compliance practitioners and commentators:Jay Rosen (Mr. Translations) - Jay is Vice President of Legal & Corporate Language Solutions at United Language Group. Rosen can be reached at rosen@ulgroup.com.Mike Volkov - One of the top FCPA commentators and practitioners around and is the Chief Executive Officer (CEO) and owner of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.Matt Kelly - Founder and CEO of Radical Compliance, is the former Editor of the noted Compliance Week Kelly can be reached at mkelly@radicalcompliance.comJonathan Armstrong - Rounding out is our UK colleague, who is an experienced lawyer with Cordery Compliance Limited in London. Armstrong can be reached at armstrong@corderycompliance.com.The format is a roundtable discussion where I throw out a question to one commentator to lead the discussion. From that starting point we will all join in. I also include an “On My Mind” segment where each participant discusses what is on the forefront of their mind. This podcast is longer than my others, coming in at around 60 minutes, which allows us to explore the week’s issues in depth. In the inaugural episode we discuss the following subjects: For Volkov’s post on conflicts of interest (COI) in internal investigations after the Yates Memo, click here. For Kelly’s blog post on the intersection of CEO pay and Chief Compliance Officers (CCOs), click here. For Armstrong’s interview with Max Schrems, click here and Cordery’s FAQs on Privacy Shield, click here. For Rosen’s blog post Designing Your 2017 Ethics, Compliance & FCPA Conference Schedule, click here. This new podcast Everything Compliance joins the four other podcasts I have on different aspects of compliance. The original FCPA Compliance and Ethics Report focuses on the nuts and bolts of compliance. Unfair and Unbalanced - is a podcast I do with SCCE CEO Roy Snell. In it we focus on wide ranging issues for the compliance profession. Compliance into the Weeds - is a podcast I do with Matt Kelly where we take a deep dive into the weeds of a compliance issue, typically technology, internal controls or GRC. We both indulge our inner geekiness in this podcast. Jay Rosen and I wrap up each week in FCPA, compliance and ethics with This Week in FCPA. All of these podcasts are available to you on my site, FCPAcompliancereport.com, and are available on iTunes under the same name. Learn more about your ad choices. Visit megaphone.fm/adchoices

Show Notes for Episode 1 At the SCCE 2016 Compliance and Ethics Institute, I sat down with four of the top compliance commentators in the field for my first roundtable-style podcast. It was so successful that I persuaded the gang to come back together every couple of weeks for a formal podcast, which is entitled Everything Compliance. The premier episode is available for your listening pleasure today. I will post a new episode every two weeks. I host these four well-known compliance practitioners and commentators: Jay Rosen (Mr. Translations) - Jay is Vice President of Legal & Corporate Language Solutions at United Language Group. Rosen can be reached at rosen@ulgroup.com. Mike Volkov - One of the top FCPA commentators and practitioners around and is the Chief Executive Officer (CEO) and owner of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com. Matt Kelly - Founder and CEO of Radical Compliance, is the former Editor of the noted Compliance Week Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong - Rounding out is our UK colleague, who is an experienced lawyer with Cordery Compliance Limited in London. Armstrong can be reached at armstrong@corderycompliance.com. The format is a roundtable discussion where I throw out a question to one commentator to lead the discussion. From that starting point we will all join in. I also include an “On My Mind” segment where each participant discusses what is on the forefront of their mind. This podcast is longer than my others, coming in at around 60 minutes, which allows us to explore the week’s issues in depth. In the inaugural episode we discuss the following subjects: Mike Volkov leads a discussion of the unintended consequences of the Yates Memo/Pilot Program for internal investigations. We explore the issue of “de-confliction” where the government asks a company to halt its own internal investigation for the government to be the first to interview witnesses. We explore de-confliction in the context of a requirement of cooperation to gain the benefits of the pilot program and how such a request from the Department of Justice (DOJ) could lead companies to be unable to disclose to other agencies or to shareholders and keep a Board in the dark about the alleged wrongdoing. What does this mean for the company and the internal investigator? For Volkov’s post on conflicts of interest (COI) in internal investigations after the Yates Memo, click here. Matt Kelly leads a discussion on compliance and corporate governance. We explore the issue of compliance being involved in issues around pricing and sales in companies like Valeant and Wells Fargo. We discuss the role of compliance in areas outside of strict legal compliance but may move towards reputational risk, going into such areas as the new revenue recognition standards and executive compensation. For Kelly’s blog post on the intersection of CEO pay and Chief Compliance Officers (CCOs), click here. Jonathan Armstrong leads a discussion of funding and the UK Serious Fraud Office (SFO), in the context of the recent announcement that the SFO has received additional or supplemental funding to investigate Unaoil. Why does the SFO need supplemental funding and how does it obtain it? What does all of this mean for the continued existence of the SFO in light of a former critic now being PM? Finally, Armstrong ties all of this into Brexit, his recent interview of Max Schrems and issues surrounding Privacy Shield. For Armstrong’s interview with Max Schrems, click here and Cordery’s FAQs on Privacy Shield, click here. Jay Rosen takes us through the compliance conference scene. For those of you who are avid attenders of the various conferences, he discusses some of the key differences in the types observed, such as the nuts and bolts types (SCCE) and others which focus more on commentary (FCPA Blog NYC Conference). He discusses the relative strengths of each and how a compliance professional should think about selecting one or more to attend. He ends with his thoughts on why compliance certification is a plus (or minus). For Rosen’s blog post Designing Your 2017 Ethics, Compliance & FCPA Conference Schedule, click here. This new podcast Everything Compliance joins the four other podcasts I have on different aspects of compliance. The original FCPA Compliance and Ethics Report focuses on the nuts and bolts of compliance. Unfair and Unbalanced - is a podcast I do with SCCE CEO Roy Snell. In it we focus on wide ranging issues for the compliance profession. Compliance into the Weeds - is a podcast I do with Matt Kelly where we take a deep dive into the weeds of a compliance issue, typically technology, internal controls or GRC. We both indulge our inner geekiness in this podcast. Jay Rosen and I wrap up each week in FCPA, compliance and ethics with This Week in FCPA. All of these podcasts are available to you on my site, FCPAcompliancereport.com, and are available on iTunes under the same name. Learn more about your ad choices. Visit megaphone.fm/adchoices