What are some common mistakes that compliance professionals make when communicating about compliance? Since 1991, when the US Sentencing Guidelines first addressed the importance of communication in tandem with formal compliance training, compliance officers have occasionally struggled with how frequently and in what ways to address compliance communication. In this episode, Eric talks about some common issues organizations have faced when considering the more informal side of efforts to educate and inform employees and other stakeholders about compliance risks and issues. Eric also focuses on ways organizations can address these common situations and how the recent the Department of Justice’s recent guidance, the Evaluation of Corporate Compliance Programs, and other standards effect communication requirements and expectations. Finally, Eric also offers some specific practical ideas for organizations to consider when addressing compliance communication efforts.
What are some strategies and options for the compliance officer that is aware of misconduct occurring at their organization? This can be one of the most complicated topics that a compliance officer can face. And there are not always a lot of good solutions. But what options should the compliance officer consider? And what should the compliance office expect from their organization? This week, Eric explores the answers to these questions.
Garin L. Bergman founded Guidant Technology in May 2016 after spending almost 15 years in various compliance roles.
Prior to Guidant, he spent five years at IDEX Corporation as the Chief Compliance Officer and three years at Dover Corporation as Director Corporate Compliance where he developed formal compliance programs for thousands of employees around the world. While at both IDEX and Dover he focused his attention in a number of areas including data privacy, getting the company Safe Harbor certified, refreshing the Code of Conduct and the global hotline, establishing an online training program, developing compliance audit programs and updating and creating a number of compliance policies.
Garin spent six years at Ingersoll Rand (IR) from 2002 – 2008 where he specialized in anti-corruption reviews and investigations as well as internal audit projects. He worked his way up from a senior auditor to an Audit Manager while spending 18 months in Shanghai setting up the IR Asia Pacific audit department.
When we think about third-party management, we often think of due diligence. The Department of Justice Fraud Section’s new compliance and ethics guidance, the Evaluation of Corporate Compliance Programs, only mentions due diligence one time. The Evaluation contemplates a holistic, ongoing approach to third-party management in which the process is integrated into other functions, such as procurement.
In this episode, Eric talks about three key takeaways from the Evaluation of Corporate Compliance with regards to organizations’ relationships to third-party. He looks at what a holistic approach to third-party management looks like, how to create management processes that integrate other business functions, and how to build a risk-based process that effectively identifies risk and responds to it.
With an extensive employment litigation practice, Tedrick practices in the rapidly developing legal world of data security and privacy. Tedrick serves as a leader of Lathrop & Gage’s work on data privacy, website terms of service, data security and data breach issues. He assists clients with the technological, logistical and legal issues arising from the loss or disposal of personally identifiable information and personal health information. Tedrick is a frequent presenter on data privacy and security, social media, employment law and the workplace.
The new Department of Justice‘s guidance, the Evaluation of Corporate Compliance Programs, discusses the “design and accessibility” of written standards, such as your code of conduct. Does this focus on “design” in particular mean that organizations should reconsider or review the use of interactivity for their code? What does the Department’s focus on “communication” and “evaluation” of written standards affect how an organizations evaluates and implements any interactive features? Eric discusses what the new focus on design and accessibility might mean and how organizations can address these expectations in their code of conduct review, revision and development processes.
Eric also finishes his interview with BSR’s Alison Taylor. Her recent white paper, The Five Levels of Organizational Culture, provides a lot of food for thought on how to implement ethical culture in an organization. She examines five different levels of ethical culture that need to be considered and we walk through the last half of her findings. In this final part of a two part interview, we talk about group socialization, the wider organizational culture and how organizational culture impacts outside the organization. Alison heads the sustainability management practice at BSR.
To see how an interactive code of conduct works, check out Eric’s demonstration of our sample interactive code of conduct.
You can also download our sample interactive code of conduct on our resource page.
How does the new Department of Justice’s new guidance, the Evaluation of Corporate Compliance Programs, from February 2017 approach the requirements for written standards, including code of conduct? Eric walks through three key takeaways from the Evaluation of Corporate Compliance Programs on how organizations should document and conduct their code of conduct development and review process. We also have Part One of a two part Special Interview with Alison Taylor of BSR on her new white paper, The Five Levels of Organizational Culture.
While neither the new guidance, nor the Sentencing Guidelines that proceeded it by 25 years, speak specifically about code of conduct, it does establish standards for development, maintenance and assessment of “policies and procedures” — much as the Sentencing Guidelines speak to “written standards”. Reading this new guidance should be a wake-up call for organizations that do not currently have an established process for review and revision of their code and other written standards. There is a clear expectation that organizations will have a plan, involve a cross-functional team and periodically assess their progress and success. In this podcas,t Eric will talk about those expectations and what organizations should consider.
Alison Taylor’s recent white paper, The Five Levels of Organizational Culture, provides a lot of food for thought on how to implement ethical culture in an organization. She examines five different levels of ethical culture that need to be considered and we walk through her findings. In Part One of a two part interview, we talk about the intersection of individual ethics and the broader corporate culture. Alison heads the sustainability management practice at BSR.