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Planning for Compliance Failures

We all want a compliance program that prevents and detects compliance failures before they happen. That is usually not what happens. Even the best programs and the best corporate cultures occasionally will face issues of misconduct. It is important for organizations to spend some time thinking about and preparing for that eventuality. In this episode, Eric discusses some ways compliance officers can start preparing for the eventual issues that can come up.

What is Monitoring and Auditing in an Effective Compliance and Ethics Program?

This week Eric talks about one of the hallmarks of the Sentencing Guidelines that is sometimes overlooked or not as carefully understood. Monitoring and auditing is sometimes reduced to reporting, but it is so much more. To guide us on the journey, Eric reviews the language and notes in the Sentencing Guidelines themselves and discusses the Department of Justice’s most recent guidance on the topic.

Eric refers to both Chapter 8 of the Guidelines, which you can find here, and the February 2017 memo from DOJ, “Evaluation of Corporate Compliance Programs,” which you can find here.

Our 100th Episode! And Manager Compliance Communication Support

This week we celebrate our 100th episode of Compliance Beat! Thanks to everyone who has been a loyal listener. Instead of sending presents to us, we present a listener-requested topic, some practical discussions on how to prepare and put together manager-led communications — sometimes called manager toolkits. As always, please subscribe to the podcast if you haven’t done so already, and let us know if you have any feedback or suggestions — on to 100 more episodes!

Roy Snell Interview, Part II

Join us for Part II of a special interview with Roy Snell. Roy is our first guest to appear twice and he has graciously joined us again just as he is leaving his role as the CEO of the HCCA and the SCCE. In this episode Eric and Roy talk a little about the present and the future of the compliance profession and SCCE as Part II of the interview. If you haven’t listened to Part I, you can find it here.

TUNE IN NEXT WEEK FOR OUR 100th EPISODE! We’ll take a look back and present a listener requested topic.