Compliance Perspectives

By Adam Turteltaub

Each year the SCCE/HCCA encourages companies to participate in Corporate Compliance and Ethics Week.  For 2018 it will take place from November 4-10.

Even if you don’t pick those dates, a week dedicated to compliance and ethics can have an enormous impact on your organization, and as Mike Henry, Senior US Counsel of Emera Energy points out, you don’t have to be a large organization to put a weeklong celebration together.

Going into planning for the event, the goals were to contribute to a compliance culture at the company, increase understanding of compliance issues and create an environment of psychological safety where employees could ask important questions without fear.

With four weeks to put together the program for the organization’s 200 employees, Mike and his colleagues focused on low-cost ways to generate interest such as building mystery and suspense.

The week itself was timed to coincide with the annual compliance training, which helped put the training in context.  Seeing an opportunity to leverage a board meeting, an executive at the company invited a board member to speak on a culture of compliance panel that was a part of the weeklong activities.

Listen in to learn more about how Emera made its compliance event a success, and, hopefully, pick up a few tips for your program.  Then, to learn more, come here Mike speak about it at the 2018 Compliance and Ethics Institute.

By Adam Turteltaub

While compliance and ethics professionals spend most of their time looking outward at the ethical considerations of others, there are definitely times to pause, and to look at their own ethical obligations.

According to Ted Banks, a veteran compliance officer and partner at the firm Scharf Banks Marmor, that begins with recognizing that the compliance officer has to be an example and demonstrate ethical conduct all the time, and firmness about what is appropriate.  And, at the same time, there is a strong need not to be a jerk about it.  Much like SCCE/HCCA CEO Roy Snell recently wrote, a lack of political and communication skills, can lead to failure as a compliance officer.

As importantly, the compliance officer needs to know that there are obligations to the company as well as to the public at large and to the compliance profession.  These are captured in the SCCE Code of Professional Ethics for Compliance Professionals.

But how do you navigate these issues?  In this podcast Ted provides several pieces of practical advice:

* Never consent to wrongdoing, but escalate the issue as high as necessary

* Never abet or aid retaliation

* Avoid personal conflicts of interest

* Be honest in the results you and the compliance program can achieve

* Understand technology, both its risks and opportunities

* And, if you’re a lawyer, recognize you have legal code of professional responsibilities as well

Listen in to learn more.  And to gain still more insights, be sure to attend his session at the 2018 Compliance and Ethics Institute.

By Adam Turteltaub

While compliance and ethics professionals spend most of their time looking outward at the ethical considerations of others, there are definitely times to pause, and to look at their own ethical obligations.

According to Ted Banks, a veteran compliance officer and partner at the firm Scharf Banks Marmor, that begins with recognizing that the compliance officer has to be an example and demonstrate ethical conduct all the time, and firmness about what is appropriate.  And, at the same time, there is a strong need not to be a jerk about it.  Much like SCCE/HCCA CEO Roy Snell recently wrote, a lack of political and communication skills, can lead to failure as a compliance officer.

As importantly, the compliance officer needs to know that there are obligations to the company as well as to the public at large and to the compliance profession.  These are captured in the SCCE Code of Professional Ethics for Compliance Professionals.

But how do you navigate these issues?  In this podcast Ted provides several pieces of practical advice:

* Never consent to wrongdoing, but escalate the issue as high as necessary

* Never abet or aid retaliation

* Avoid personal conflicts of interest

* Be honest in the results you and the compliance program can achieve

* Understand technology, both its risks and opportunities

* And, if you’re a lawyer, recognize you have legal code of professional responsibilities as well

Listen in to learn more.  And to gain still more insights, be sure to attend his session at the 2018 Compliance and Ethics Institute.

By Adam Turteltaub

Getting a good sense of the corporate culture is often a challenging task.  Surveys, focus groups and just walking the hall can be instructive, but finding out what’s really going on may take a combination of all three.

According to Brian Lee of Gartner (formerly CEB), you need first to have a sense of which makes the most sense for your organization.  Then, whatever option you choose, you need to ensure that you have created an environment where employees feel they can speak up honestly, you have a large enough sample to be valid, and the questions you ask deliver data that you can act on.

From his experience, there are several factors that have an enormous effect on an employee’s view of the organization.  First is organization justice.  Second is comfort to speak up:  are they able to raise issues without fear of retaliation.

Also of great importance is the climate around them:  not just tone at the top, but what is going on with the people in the areas they work, and if those mirror what the CEO has advocated.  Put another way, it’s a reminder that tone at the top is only important if it is mirrored by middle management and in day-to-day operations.

Listen in to his podcast to learn more about these issues and what Gartner’s research has found when it comes to assessing and improving culture.  And, to hear more, be sure to attend his session “Advancing a Culture of Integrity by Building Strong Climates” at the 2018 Compliance and Ethics Institute.

By Adam Turteltaub

Getting a good sense of the corporate culture is often a challenging task.  Surveys, focus groups and just walking the hall can be instructive, but finding out what’s really going on may take a combination of all three.

According to Brian Lee of Gartner (formerly CEB), you need first to have a sense of which makes the most sense for your organization.  Then, whatever option you choose, you need to ensure that you have created an environment where employees feel they can speak up honestly, you have a large enough sample to be valid, and the questions you ask deliver data that you can act on.

From his experience, there are several factors that have an enormous effect on an employee’s view of the organization.  First is organization justice.  Second is comfort to speak up:  are they able to raise issues without fear of retaliation.

Also of great importance is the climate around them:  not just tone at the top, but what is going on with the people in the areas they work, and if those mirror what the CEO has advocated.  Put another way, it’s a reminder that tone at the top is only important if it is mirrored by middle management and in day-to-day operations.

Listen in to his podcast to learn more about these issues and what Gartner’s research has found when it comes to assessing and improving culture.  And, to hear more, be sure to attend his session “Advancing a Culture of Integrity by Building Strong Climates” at the 2018 Compliance and Ethics Institute.

By Adam Turteltaub

While at the 2018 SCCE Basic Compliance and Ethics Academy in Singapore I had the good fortune to meet Sabine Fercher, the Group Head of Compliance for Avaloq, a provider of IT solutions for the banking industry.  She was attending the Academy with several of her colleagues from around the world.

Sabine is an advocate for ISO 19600, which is a standard for compliance programs.  Unlike the better known and oft-discussed ISO Standard 36001 for anti-corruption programs, 19600 is not a standard companies are certified against.  Instead it “provides guidance for establishing, developing, implementing, evaluating, maintaining and improving an effective and responsive compliance management system within an organization.”

As Sabine explains in the podcast, work on this standard goes back many years.  It was designed to be used by companies and organizations from a wide range of industries.

Listen in as she explains what it covers, what it emphasizes, how it should be used, and how it shouldn’t.

By Adam Turteltaub

While at the 2018 SCCE Basic Compliance and Ethics Academy in Singapore I had the good fortune to meet Sabine Fercher, the Group Head of Compliance for Avaloq, a provider of IT solutions for the banking industry.  She was attending the Academy with several of her colleagues from around the world.

Sabine is an advocate for ISO 19600, which is a standard for compliance programs.  Unlike the better known and oft-discussed ISO Standard 36001 for anti-corruption programs, 19600 is not a standard companies are certified against.  Instead it “provides guidance for establishing, developing, implementing, evaluating, maintaining and improving an effective and responsive compliance management system within an organization.”

As Sabine explains in the podcast, work on this standard goes back many years.  It was designed to be used by companies and organizations from a wide range of industries.

Listen in as she explains what it covers, what it emphasizes, how it should be used, and how it shouldn’t.

By Adam Turteltaub

As Inspector General at the US Department of Justice Michael Horowitz has been at the center of internal investigations the scope of which few in compliance will ever see.  But, while it’s unlike a compliance officer will face the over 1.2 million documents Michael’s team waded through as part of the review of the FBI’s handling of the Clinton email investigation, there is more in common than one would think.

In Part 2 of this two-part podcast Michael addresses issues that would look familiar to any compliance officer who is familiar with investigations:

* Determining who should be included in the investigations

* Maintaining confidentiality

* The importance of process

* Keeping at bay individuals who want to know what the investigation is finding before the investigation has concluded

* When information should be disclosed before the investigation is concluded

* Writing the investigation report, including keeping things mundane (and shared an anecdote that came from a Bob Woodward speech)

* Sharing the findings with leadership

* Learning from the process

Listen in to gain some of his wisdom.  One warning, though, before you do.  If you are listening to these podcasts hoping for fresh insights into the Clinton email investigation or any other of the IG ’s investigations, you will be disappointed.  Our goal is to take a look at the investigations he has led from the perspective of a compliance officer and to benefit from his very deep experience conducting large scale, high profile investigations.

You can listen to Part 1 here:

http://media.blubrry.com/compliance/content.blubrry.com/compliance/Michael_Horowitz_Podcast_Part_1.mp3

By Adam Turteltaub

As Inspector General at the US Department of Justice Michael Horowitz has been at the center of internal investigations the scope of which few in compliance will ever see.  But, while it’s unlike a compliance officer will face the over 1.2 million documents Michael’s team waded through as part of the review of the FBI’s handling of the Clinton email investigation, there is more in common than one would think.

In Part 2 of this two-part podcast Michael addresses issues that would look familiar to any compliance officer who is familiar with investigations:

* Determining who should be included in the investigations

* Maintaining confidentiality

* The importance of process

* Keeping at bay individuals who want to know what the investigation is finding before the investigation has concluded

* When information should be disclosed before the investigation is concluded

* Writing the investigation report, including keeping things mundane (and shared an anecdote that came from a Bob Woodward speech)

* Sharing the findings with leadership

* Learning from the process

Listen in to gain some of his wisdom.  One warning, though, before you do.  If you are listening to these podcasts hoping for fresh insights into the Clinton email investigation or any other of the IG ’s investigations, you will be disappointed.  Our goal is to take a look at the investigations he has led from the perspective of a compliance officer and to benefit from his very deep experience conducting large scale, high profile investigations.

You can listen to Part 1 here:

http://media.blubrry.com/compliance/content.blubrry.com/compliance/Michael_Horowitz_Podcast_Part_1.mp3

By Adam Turteltaub

Conducting an internal investigation is never an easy task.  Doing so with the President, Attorney General, Congress, the press and public all watching is even more difficult.

Michael Horowitz lives that reality each day.  He has served as the Inspector General at the US Department of Justice since April 2012.  He also serves as Chair of the Council of the Inspectors General on Integrity and Efficiency, an organization comprised of all 73 federal Inspectors General.

The Inspectors General community is currently celebrating its 40th anniversary and it posts the results of its investigations online.

During his time as the IG at the Department of Justice, Michael has led a myriad of investigations and at two which have grabbed headlines:  Fast and Furious as well as the FBI’s handling of the Clinton email investigation.

While the focus of those investigations is far removed from what most compliance professionals face, the process of the investigations would likely look familiar to any compliance officer.  That’s something Michael knows first hand, having conducted several investigations as outside counsel for multinational companies.

In a two-part podcast, we gain Michael’s deep and extraordinary insights into how to conduct an investigation fairly and thoroughly, whether you are in the media spotlight, or toiling away quietly in an organization.

In part one he discusses:

* The history of the IG’s office: its history, role, and responsibilities

* How to set objectives for the investigation

* How to begin the investigation

* The challenges of staying on task and avoiding mission creep

* Collecting documentary evidence

* Conducting interviews

Listen in to gain some of his wisdom.  One warning, though, before you do.  If you are listening to this podcast hoping for fresh insights into the Clinton email investigation or any other of the IG’s  investigations, you will be disappointed.  Our goal is to take a look at the investigations he has led from the perspective of a compliance officer and to benefit from his deep experience in conducting large scale, high profile investigations.