My Proposals for the 2016 #SCCEcei – What’s Your Fave?

I’m really excited about the three panel proposals I submitted last night to the Society of Corporate Compliance and Ethics (SCCE), for its 2016 Compliance and Ethics Institute. Thanks to Amy Hutchens, JD, CCEP, Page Motes and Heather Powell for joining in.

Our proposed topics were:

  1. An advance workshop on drafting and negotiating contracts with compliance provisions — this would take the next step from the compliance contract panels that Amy and I did at the CEI in 2014 and this year.
  2. “The Good Reasons Why People Do the Wrong Things” — Exploring the frequent instances when people follow their own ethical code and choose to break rules. (Think about teachers or nurses following their deep ethic of care.) The lesson: it’s not just greed or “bad guys” that lead to misconduct.
  3. “Fostering a Speak-Up Culture: What Really Works” — Now more than ever, it’s critical for compliance professionals and business leaders to focus on what, objectively, has worked best to foster and maintain a culture in which people report suspected wrongdoing freely, constructively, and internally. So how do you make that happen?

I wish they’d let us do all three of them! So tell me, what’s your favorite?IMG_3426

Tone at the Very Top, DOJ-Style

As compliance professionals and leadership counselors, we focus on “tone at the top.” What the C-Suite says is critical to establishing an ethical culture in an organization. What is even more important to foster that culture is whether top executives speak and act consistently. We advise our leaders that even one act of apparent hypocrisy, or of “looking the other way,” can undo a lot of cover-letters-with-Codes-of-Conduct.

With this perspective, I commend to you two recent blog posts by fellow compliance lawyers, about the tone coming from the very top, compliance wise: the Department of Justice.

One is Mike Scher’s post this week in the FCPA Blog about the DOJ’s findings that downplay the alleged corruption violations by WalMart in Mexico.

The other is  Michael Volkov‘s comment on the outcome of the DOJ’s investigation at General Motors, first published in September but recirculated through LinkedIn this week.

Screen Shot 2015-10-24 at 10.26.38 AMAt the SCCE’s annual Compliance and Ethics Institute earlier this month, I perceived a consensus of approval among the compliance community for the DOJ’s September 9th “Yates Memo,” in which Deputy Attorney General Sally Quillan Yates sought to send a strong message that the DOJ would henceforth be eager to prosecute culpable individuals for wrong-doing within the corporations they lead. There were many concerns (see this and this), yet the general thought seemed to be that the tone set by the Yates Memo would reinforce our efforts to get buy-in within our companies.

But Mike Volkov raises this concern: with the GM case (as now with WalMart), do the DOJ’s actions speak louder, tone-wise, than Yates’ words?

 

Way to go, Donna!

Kudos to my colleague and social media friend Donna Boehme, who will be one of four honorees at the 10th Annual International Compliance and Ethics Awards Dinner, at the Compliance and Ethics Institute of the Society of Corporate Compliance and Ethics (SCCE), on Monday in Chicago.

Please join me in congratulating Donna, who is being most-deservedly honored “for her tireless dedication and unwavering support for the independence of the compliance and ethics profession.” If you follow Donna on Twitter (@DonnaCBoehme), you will see what I mean – and like me, you will get the value of her strong and experienced analysis.

The role of contract terms in compliance

I’m really looking forward to my upcoming presentation to the annual Compliance and Ethics Institute of the Society of Corporate Compliance and Ethics.

The topic is: “Are Your Corporate Contract Clauses Running Offense and Defense for Your Compliance Program?”

It should be a lot of fun – seriously! Amy Hutchens and I will engage in some lively mock contract negotiations as we explore these bullet points:

  • An effective program must reach beyond the boundaries of your company; do your company’s contract clauses give your program room to operate to its fullest potential?
  • Discover how to play offense and defense with your program using contract clauses – learn about common limitations in contract clauses that could tie your hands if something goes wrong.
  • Hear how agreeing to certain contract clauses can bind your company to complying with another company’s program – and how to negotiate terms that your program can live with.

Among the common contractual issues we will use as examples are: whether to agree to follow another company’s Code of Conduct; and whether a vendor can agree to let its client dictate the terms of its bonuses and the topics in its training program.

Hope to see you there!

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