Compliance Perspectives show

Compliance Perspectives

Summary: Podcast featuring the top Compliance and Ethics thought leaders from around the globe. The Society of Corporate Compliance and Ethics and the Health Care Compliance Association will keep you up to date on enforcement trends, current events, and best practices in the compliance and ethics arena. To submit ideas and questions, please email: service@corporatecompliance.org

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  • Artist: SCCE
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Podcasts:

 Scott Lane on Compliance in the Next Decade [Podcast] | File Type: audio/mpeg | Duration: 14:25

Taped live at SCCE’s 2016 Compliance & Ethics Institute (so please excuse some background noise and elevator music), The Red Flag Group’s CEO and Chairman, Scott Lane sits down with Kortney Nordrum to discuss: * Compliance changes through the last decade; * The importance of certification and knowing your stuff; * Measuring the effectiveness of your compliance program; * The benefits of being positive-looking in your program; * The development of outsourcing in compliance; * Embedding compliance into the fabric of your business; * The benefit of focusing on a few things, instead of trying to be a jack-of-all-compliance-trades; * Using risk to prioritize your compliance resources; * The biggest risk in the current compliance landscape (hint: it probably relates to money); and * Challenging the CEO to join the compliance team. Scott has over 15 years’ experience in legal, compliance, internal audit, export control, ethics and corporate governance, providing counsel and advice to senior management throughout the world in the development of legal and compliance practices. Scott has worked as a senior director and general counsel in various multinational corporations in Australia, the United Kingdom and Hong Kong, and has significant experience in complex compliance issues. Scott has worked in several industries, ranging from insurance to high technology. He has spoken at over 100 conferences on compliance in the United States, the United Kingdom, Australia, Hong Kong, Singapore, China, India, Indonesia, the United Arab Emirates, and Qatar. Scott is an avid writer, and has had over 100 articles published in leading newspapers and journals, including The Red Flag Group’s own Compliance Insider® of which he is the publisher and Editor-in-Chief. Scott has led training sessions on compliance, corporate governance, director duties, antitrust compliance and anti-corruption compliance in multiple countries. These sessions have involved small groups of less than 10 people through to sessions of over 600 people and involving entire businesses. You can find Scott and The Red Flag Group here.  

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 10 Taped Live at the 2016 CEI [Podcast] | File Type: audio/mpeg | Duration: 58:20

Taped live at SCCE’s 15th Annual Compliance & Ethics Institute, Tom & Roy get a chance to interact with a live audience and bounce from topic to topic, discussing: * The breadth and depth of wisdom from the general session speakers this year (a little self-promotion never hurts); * What Bill Baer (Principal Deputy Associate Attorney General, U.S. Department of Justice) suggests to keep the DOJ out of your hair; * The pervasiveness of modern slavery and human trafficking (Hint: think about how many slaves are in the US right now? Now triple that number. You’re still low.); * Then on to Kristy Grant-Hart and her infectious passion for compliance; * What it means to attend the CEI and be “with your people;” * The difference between being older than soil and older than dirt; * Why we can’t give Roy pens that make noise; * An in-depth discussion of the Wells Fargo scandal; * A hard look at whether compliance officers should be involved in setting the salary of CEOs; * Arnold Palmer and the culture of ethics; * How can we continue to encourage and celebrate ethical individuals?; * Whistleblowers and the first-time front-pay award, asking how much pain do the companies have to feel to stop encouraging unethical behavior?; and * Should compliance officers sit on the nomination committee and help choose the C-suite? The board? Thomas Fox has practiced law in Houston for 30 years. He is now the Compliance Ambassador for the Red Flag Group.Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His seminal book, “Doing Compliance: Design, Create, and Implement an Effective Anti-Corruption Compliance Program” is widely viewed as one of the top one-volume books on the nuts and bolts of compliance. He is one of the top leaders in social media in compliance, blogging, podcasting, writing and speaking across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell (roy.snell@corporatecompliance.org) is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 17,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Richard Bistrong on Understood vs. Defensible Compliance [Podcast] | File Type: audio/mpeg | Duration: 28:04

SCCE Compliance & Ethics Institute speaker and CEO of Front-Line Anti-Bribery LLC, Richard Bistrong and host Kortney Nordrum discuss the nuances of understood versus defensible compliance, including: * Richard’s fascinating past; * Why he was compelled to join the compliance and ethics fight; * How to do your job well, and still follow the rules (even in sales) reflecting on the recent Unfair & Unbalanced Podcast; * The results of SCCE’s Compliance & Ethics Program Objectives Survey; * What the survey tells us about morale in the compliance department; * The importance of training and providing opportunities to speak up; * The differences between defensible and understood compliance; * Who fights for which; and * Why we need both. For more information on SCCE’s Compliance & Ethics Institute, taking place September 25-28 in Chicago, click here. To view SCCE’s full Compliance & Ethics Program Objectives Survey, click here. To listen to episode 8 of Unfair & Unbalanced, click here. In Richard’s own words: I bribed foreign officials, cooperated with international law enforcement & went to prison. Today, I share that front line experience for the benefit of others who confront overseas corruption risk in the field, & for those compliance professionals & practitioners tasked with helping them to manage risk. My consultancy, Front-Line Anti-Bribery, LLC is based on my experience which includes 10+ years as an International Sales Executive, & an extended period of covert cooperation with US & UK law enforcement. I elevate that perspective, through my writings & presentations, in order to bring value to current anti-bribery compliance challenges. I speak to real-world emotions, temptations & rationalizations that are not often discussed, understood or addressed by compliance personnel & C-Suite occupants. Thus, it is a complement to existing legal, audit and regulatory compliance efforts and programs. I ask: Is compliance viewed as “bonus prevention” by your international business teams? In other words, is compliance, business strategy & incentive compensation properly aligned? Do your front line business teams view compliance as nothing but a “bolt-on” set of rules & procedures where they ponder “what does management really want” at the field level? Is the international front line being properly trained & drilled in the real-world identification of the red-flags, hazards & early warnings of bribery activity & corruption risk? My goal is to bring value to current anti-bribery efforts by sharing my experience & perspective in how bribery is confronted at the front lines of business. By hearing a first hand account, Executives & Compliance Personnel will then have a “clear eyed” behavioral view of how bribery is rationalized in the field of overseas business. For more information feel free to e-mail Richard at Richardtbistrong@gmail.com

 Sean McKenna on Medical Necessity & Quality of Care Compliance [Podcast] | File Type: audio/mpeg | Duration: 18:52

Ahead of HCCA’s Healthcare Enforcement Compliance Institute, speaker Sean McKenna and host Kortney Nordrum discuss the importance of medical necessity and quality of care compliance, including: * What an effective healthcare compliance program look like; * The history of medical necessity compliance and the changes under the ACA; * Quality of care benchmarks; * How compliance programs help eliminate quality of care enforcement concerns; * Criminal and civil liabilities for quality of care and necessity issues (including the importance of understanding kickbacks); * Who the DOJ actually indicts; * The importance of documentation and peer review standards; * Recent compliance concerns; and * Sean’s best advice to measure your program’s effectiveness. Sean McKenna ia a shareholder in Greenberg Traurig’s Dallas office. Sean focuses his practice on healthcare enforcement and regulatory issues, representing individuals and providers under civil or administrative investigation by the Department of Justice, Offices of Inspector General, and Attorneys’ General Medicaid Fraud Control Units, as well as in criminal investigations and matters involving the United States and State Attorneys General. As a former ten-year Assistant United States Attorney, Associate Counsel to the Inspector General and General Counsel for the U.S. Department of Health and Human Services, Sean focuses his practice on matters involving the health care industry and regularly represents clients before Medicare, Medicaid and commercial contractors. Sean’s work includes assisting clients with internal investigations and compliance reviews, as well as advising on compliance with state and federal fraud and abuse rules. He is a frequent invited speaker at national, regional, and local conference. Sean has been Vice-Chair of the ABA Health Law Section’s Membership Committee and a member of the State Bar of Texas’s Health Law Section Council since 2013. He was honored in 2015 and 2016 to be named a Best Lawyer in America, Healthcare Litigation, and Texas SuperLawyer for healthcare in 2016. For more information on HCCA’s Healthcare Enforcement Compliance Institute, click here.

 FBI Assistant Director Patrick Kelley discusses the FBI Office of Integrity & Compliance [Podcast] | File Type: audio/mpeg | Duration: 48:15

Recorded live at the FBI Compliance Academy in Washington, DC, FBI Assistant Director and Chief Compliance Officer, Office of Integrity and Compliance (OIC), Patrick Kelley and host Kortney Nordrum discuss the inception, building, and growth of the FBI’s integrity and compliance, including: * What the Office of Integrity and Compliance (OIC) is and what they do; * How to train and educate 35,000 employees in 56 field offices and 70+ legal attaches; * The structure and hierarchy of leadership in the FBI and the OIC, and who holds them accountable; * How the OIC identifies and assesses risk; * The process for internal and external audits of the OIC; * The FBI Ethics Program; * The importance of building and growing your compliance and ethics program; * Benefits on non-punitive self-disclosure; * OIC’s 5-year Strategic plan; and * Measuring impact and success in the FBI compliance program. Prior to joining the FBI in 1994, Patrick W. Kelley served for 21 years in the U.S. Navy as a member of the Judge Advocate General’s Corps. He began his career in the Navy in 1973 as the Station Judge Advocate at Naval Air Station, Moffett Field California. He served there until 1977 when he was transferred to Naval Base, Yokosuka, Japan, where he was a prosecutor and international law officer. In 1981, Mr. Kelley was promoted and transferred to the Naval Justice School, Newport, Rhode Island, where he served as an instructor until 1983. The Navy selected Mr. Kelley for post-graduate schooling in Philadelphia, Pennsylvania, and then sent him to the Office of the Judge Advocate General in Washington, D.C., to serve as the head of the Standards of Conduct and Legislation Branches. Mr. Kelley was promoted again and selected to serve as the Commanding Officer of Naval Legal Service Office, Groton, Connecticut, in 1988. In 1991, Mr. Kelley was promoted to the rank of Captain (O-6) and transferred to the Pentagon where he finished his naval career as the Deputy Assistant Judge Advocate General for Administrative Law. After retiring from the Navy in 1994, Mr. Kelley joined the FBI Office of General Counsel (OGC) as an attorney-advisor in the Administrative Law Unit. He was selected as unit chief of that unit in 1995. Three years later, Mr. Kelley was promoted to the Senior Executive Service. As a deputy general counsel, Mr. Kelley led the General Law and Legal Training Branch. He also served as the OGC Chief of Staff, the FBI Component Designated Agency Ethics Official, and Senior Privacy Officer. In the summer of 2007, Mr. Kelley was asked to lead the newly created Office of Integrity and Compliance, where he currently serves. Mr. Kelley holds a Bachelors of Science degree from Michigan State University, a Juris Doctor degree from Duke University, a Masters of Law degree from the University of Pennsylvania, and a Masters of Business Administration degree from George Washington University. He was given a Legion of Merit medal by the Navy in 1994 and a Meritorious Executive award by the FBI in 2003.

 Al Josephs on Monitoring Your Compliance Program [Podcast] | File Type: audio/mpeg | Duration: 11:30

  Recorded live at HCCA’s 20th Anniversary Compliance Institute, Al Josephs and host Kortney Nordrum look back on the last 20 years of healthcare compliance, including: * Some HCCA history; * Benefits of joining HCCA; * Some words of wisdom from Inspector General Dan Levinson; * Monitoring your compliance program; * The implementation of ICD-10; * Why documenting your findings is key; * The future of healthcare compliance; and * What we can look forward to for the next 20 years of HCCA. Al is the Senior Director of Compliance Operations for Tenet’s Ethics and Compliance program and is based in Dallas, Texas. He is responsible for ethics and compliance training provided throughout Tenet’s system of hospitals. He manages processes for the development of Tenet’s policies and procedures, risk assessment process, hospital and compliance officer scorecards and annual internal reporting. Al was formally with Hillcrest Health System in Waco, Texas where he served as its Director of Corporate Compliance and Privacy Officer. Prior to his career in compliance Al worked in the area of finance for Hillcrest and Baylor Health Care System. Al is a graduate from the University of West Florida, with a Bachelor Degree in Accounting and is certified in Healthcare Compliance (CHC). He is a past board member of the Lone Star Chapter of HFMA, and Past-President of the Texas Association of Hospital Financial Administration. He serves on the Healthcare Compliance Certification Board and has been active in the development of the certification exam for compliance professionals. He served on the HCCA Board for 6 years during which time he held the positions of Secretary, 2nd Vice President and 1st Vice President prior to becoming President in 2004. This episode is not eligible for CEU credit. 

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 9 [Podcast] | File Type: audio/mpeg | Duration: 33:18

Tom and Roy talk ethics and certification in this episode: * The US Open and self-reporting; * Why transparency is so important * The unique culture of integrity in golf – and what we can learn from that; * Celebrating employee mistakes (as long as they fess up); * The who, what, where, when, and how of building a certification program; and * What, exactly, is an psychometrician? Thomas Fox has practiced law in Houston for 30 years. He is now the Compliance Ambassador for the Red Flag Group.Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His seminal book, “Doing Compliance: Design, Create, and Implement an Effective Anti-Corruption Compliance Program” is widely viewed as one of the top one-volume books on the nuts and bolts of compliance. He is one of the top leaders in social media in compliance, blogging, podcasting, writing and speaking across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell (roy.snell@corporatecompliance.org) is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation. This episode is not eligible for CEU credit. 

 Ahmed Salim on Conducting an Internal Compliance Survey [Podcast] | File Type: audio/mpeg | Duration: 17:30

HCCA speaker and author Ahmed Salim and host Kortney Nordrum discuss how and why you should be conducting an internal compliance survey in your organization, including: * Why to conduct surveys in the first place; * How often you should conduct them; * How to identify the purpose of your survey and set goals; * Getting senior leadership buy-in; * Determining what questions to ask; * Choosing the survey method and distributing it to your organization; * The importance of Compliance Officer visibility; * Collecting and analyzing your data; * With whom and how to share your findings; and * Implementing change based off of your survey results. Ahmed Salim is the Regional Compliance Officer for Presence Health in Chicago, IL. Prior to joining Presence Health, Ahmed was the Compliance Officer for Sutter Health Tracy & Los Banos, California. Also, Ahmed was the Risk & Compliance Manager and Privacy Officer at Lodi Health. Ahmed earned his Juris Doctor degree from Western Michigan Cooley Law School. For a sample survey please contact Ahmed at: Asalim19@gmail.com To view slides from Ahmed’s 2016 Compliance Institute presentation on Conducting an Internal Compliance Program Survey, click here: http://bit.ly/2a9iZmE

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 8 [Podcast] | File Type: audio/mpeg | Duration: 32:17

  Tom and Roy continue their lively back and forth in this episode. Listen as they discuss: * Victimization and the value of personal responsibility; * Standing up for your principles; * The idea that you can make your sales goals without breaking the law; * Roy translates wink wink, nod nod, lie, cheat, steal into helpful compliance advice; * Seeing ghosts; * Tom channels Ronald Reagan; * Roy gets on a high horse; * What ethics and K-cups have in common; * The myth – or not – of the rogue employee; and * The universal reason why compliance programs fail. Thomas Fox has practiced law in Houston for 30 years. He is now the Compliance Ambassador for the Red Flag Group.Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His seminal book, “Doing Compliance: Design, Create, and Implement an Effective Anti-Corruption Compliance Program” is widely viewed as one of the top one volume books on the nuts and bolts of compliance. He is one of the top leaders in social media in compliance, blogging, podcasting, writing and speaking across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell (roy.snell@corporatecompliance.org) is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Margaret Hambleton on Risk Assessments [Podcast] | File Type: audio/mpeg | Duration: 14:40

Recorded live at HCCA’s 20th Anniversary Compliance Institute, HCCA Board Member, Margaret Hambleton, and host Kortney Nordrum discuss the important first steps in building a compliance and ethics program (hint: it’s a risk assessment), including: * Three steps to build your programs and perform yearly checkups; * Why you always start with a risk assessment; * Why you need to be as smart about your business as your CEO; * How to assess and prioritize risk; * Knowing how and where to audit in new and established programs; * Building a work plan; * Getting buy-in from your board (even if it means scaring them); and * The ins and outs of risk appetite. Margaret Hambleton, MBA, CHC, CHPC is Vice President, Corporate Compliance Officer for Dignity Health (formerly known as Catholic Healthcare West), based in Pasadena, California.  Ms. Hambleton responsibilities include managing Compliance operations, with responsibility for ensuring system wide transparency and compliance with all laws and regulations and developing effective, cohesive, and financially prudent compliance strategies with Dignity Health Board of Director’s Audit & Compliance Committee.  She was formerly the Senior Vice President Ministry Integrity and Chief Compliance Officer for St. Joseph Health System, based in Irvine, California.  Her responsibilities included oversight of the Corporate Responsibility Program throughout the health system and its ministries.  Ms. Hambleton reported regularly to the SJHS Board on the effectiveness of the program and materially significant compliance risks to the organization.  She ensured that appropriate and effective goals were developed, implemented, and monitored in accordance with governmental standards and requirements, and the organizations mission and values. Before joining St. Joseph Health System, Ms. Hambleton was System Director of Corporate Compliance at Catholic Healthcare West, where she was responsible for corporate compliance programs for 11 hospitals in California. Previously, Ms. Hambleton served as Risk Manager, responsible for claims management, risk financing, and loss prevention at two hospitals in Southern California.  In addition, she served as a Director of Human Resources, responsible for the direction and execution of all human resources functions, including payroll, policy and procedures, compensation, benefits, recruitment, employment, employee relations, and employee health and safety. Ms. Hambleton has been an active member in the Healthcare Compliance Association (HCCA) since 2000 and is currently a member of the HCCA Board of Directors.  Ms. Hambleton has lectured for HCCA on topics in corporate compliance, risk management, risk assessment processes, and the role of quality in healthcare compliance. Ms. Hambleton received the Certified Professional in Healthcare Risk Management designation in June 2000, became certified in Healthcare Compliance in 2003, and became certified in Healthcare Privacy Compliance in 2009.  She received her Master’s Degree in Business Administration in 1984 from the University of Phoenix and her Bachelor of Arts in Sociology from California State University, Northridge in 1982.

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 7 [Podcast] | File Type: audio/mpeg | Duration: 32:03

Tom and Roy continue their conversation in Houston at SCCE’s Utilities & Energy Compliance Conference. In this episode they discuss board engagement, including: * Roy’s list of questions every board should be asking the Chief Compliance Officer; * The similarities of compliance programs and breathing air; * Some sirens in the background to keep us on our toes; * Roy says the word “malingering”; * The essentials of board engagement; * Why you should never ask Tom what keeps him up at night; * Your new favorite PowerPoint presentation; and * What board support looks like. Roy’s List of Questions for Governing Bodies:   Roy’s full presentation:   Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division. Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His second book, “Best Practices Under the FCPA and Bribery Act” was released in April, 2013. His latest work is an eBook entitled, “GSK in China: A Game Changer for Compliance”. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell (roy.snell@corporatecompliance.org) is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Stephen Paskoff on Bringing Big Shots Back In Line [Podcast] | File Type: audio/mpeg | Duration: 15:19

Stephen Paskoff, President and CEO at Employment Learning Innovations, Inc. and host Kortney Nordrum discuss big shots and how to bring them back in line, including: * Why big shots are tolerated; * Levels of big shot risk – from unprofessional to illegal; * How to hold big shots accountable (along with everyone else); * Building an open culture and why it’s important; * Why modeling behavior really works (monkey see-monkey do applies to grown ups); and * Why none of this counts if you don’t build a business case. Stephen M. Paskoff, Esq., is the founder, president and CEO of ELI®, a learning and consulting company that teaches and advises on professional workplace conduct, helping clients translate their values into behaviors, increase employee contribution, build respectful and inclusive cultures, and reduce legal and ethical risk.  Mr. Paskoff is a nationally recognized speaker and author on workplace legal issues. He has written extensively on topics related to workplace compliance and legal issues and how to affect culture change in order to build lawful, professional operations that align with an organization’s mission and values. He has been named the highest-ranking speaker at the national conference of the Society for Human Resource Management (SHRM) and has been selected to speak at a number of other national conferences including:: The American Bar Association (ABA) The Society of Corporate Compliance and Ethics (SCCE) The Health Care Compliance Association (HCCA) The American Society for Training and Development (ASTD) Child Health Corporation of America (CHCA) The Risk Management Foundation for the Harvard Medical Institutions In addition, he was the founding Co-Chair of the ABA’s Compliance Training and Communication Subcommittee which explores best practices in training methodology as well as overall strategies for implementing learning and communication plans to maintain corporate compliance. He has served on the Editorial Board of Workforce Management magazine and is a regular contributor to The Conference Board’s Human Capital Exchange. Stephen Paskoff and ELI have appeared on or been interviewed by a variety of national media outlets, including: ABC’s 20/20, CNBC, Christian Science Monitor, Corporate Legal Times, Corporate University Review, Forbes, Fortune, Fox News, HR Executive Magazine, HR Magazine, HR News, HR Reporter, Inc. Magazine, Industry Week, Workforce Management, The Los Angeles Times, The New York Times, Training Magazine, and USA Today. He is the author of the book Teaching Big Shots to Behave and Other Human Resource Challenges. In early 2016, his next work Civility Rules will be released. Prior to establishing ELI® in 1986, Mr. Paskoff was a trial attorney with the Equal Employment Opportunity Commission and a partner in a management law firm. He is a graduate of Hamilton College and the University of Pittsburgh School of Law and is a member of the Pennsylvania and Georgia bars. You may find Stephen and ELI on the ELI website.

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 6 [Podcast] | File Type: audio/mpeg | Duration: 24:21

Tom and Roy continue their conversation in Houston at SCCE’s Utilities & Energy Compliance Conference. In this episode: * Hotlines and why publicizing them is important; * Taking advantage of all the tools in the toolbox; * How to make compliance a verb; * Why Roy says to go big or go home; * Communication as a quality compliance should have; * Using ideas, not excuses; * Why you want spiderwebs in your compliance department; * Tom’s Tip: If you’re in front of the DOJ, make sure your hotline works; and * Roy and Tom get to the bottom of this trust but verify thing. Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division. Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His second book, “Best Practices Under the FCPA and Bribery Act” was released in April, 2013. His latest work is an eBook entitled, “GSK in China: A Game Changer for Compliance”. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Unfair & Unbalanced with Tom Fox & Roy Snell – Ep. 5 [Podcast] | File Type: audio/mpeg | Duration: 24:06

Tom and Roy got together at SCCE’s Utilities & Energy Compliance Conference and recorded some of their conversations. In this episode: * Roy’s essential elements of a compliance program; * What separates compliance officers from all who came before; * Why effective leaders hate vacuums; * To whom should the CCO report; * Conflicts of Interest; * Why farmers and compliance officers are the same – but only one hates silos; * Compliance programs as contagions (and that’s a good thing); and * Why you should let others do your work. Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division. Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His second book, “Best Practices Under the FCPA and Bribery Act” was released in April, 2013. His latest work is an eBook entitled, “GSK in China: A Game Changer for Compliance”. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazine and Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Jay Rosen on the Importance of Accurate Translations [Podcast] | File Type: audio/mpeg | Duration: 17:10

Jay Rosen, Vice President, Legal & Corporate Language Solutions for Merrill Corporation and host Kortney Nordrum discuss the importance of accurate translations in compliance, including: * Why accurate translations matter; * What is a certified translation; * Why Becky down the hall who spent a summer in Paris shouldn’t translate your documents; * 3 good excuses why you don’t think you need to hire a translation company (and why you may be wrong); * How to build a solid 3-5 year translation plan; * Recording your translation plan for audit purposes; * Why using free online sites may be more 1984 than 2016; * What you should look for when hiring a translator/linguist; and * Are translations a right or a privilege? Jay utilizes his experience, deep industry knowledge and consultative approach to provide cost effective translation solutions for global investigations, patent and IP litigation, FCPA, Ethics and Compliance localization and cross-border matters.   He is particularly interested in helping companies to proactively deal with foreign language based investigations of potential Foreign Corrupt Practices Act (FCPA) exposure whether through “whistleblower” initiated, self investigation, pre-M&A due diligence or designing global monitor and compliance localization solutions. Jay will be speaking at the 2016 Compliance & Ethics Institute, September 25-28, 2016 in Chicago, Illinois. Jay’s session will focus on Global ABC and FCPA Benchmarks, Best Practices, and Bootcamps. For more information go to www.complianceethicsinstitute.org At the 2014 Society for Corporate Compliance & Ethics Compliance & Ethics Institute, Jay hosted a panel discussion with Melissa Paul from FedEx and Eric Morehead from NYSE Governance Services on  “Making the Code of Conduct Resonate Across Borders”. Jay often speaks on the subject matter of “Best Practices in Translation and Language Technology for Foreign Language Intensive Investigations” and has presented at both the San Jose and San Francisco ACFE Chapters. Jay has contributed video content to the SCCE’s ComplianceVideos series and has appeared on NSYE Governance Services Inside Compliance interview series. He has provided guest blogs for Tom Fox’s FCPA Compliance and Ethics Blog on subjects ranging from  “How Can Global Corporations Afford (or Afford Not) to Employ Professional LSPs?”, “Ethics, Compliance and School Drop-Off Etiquette”, “Don’t Get Lost in [FCPA] Translation” to “Best Practices for Localizing Corporate Ethics and Compliance Policies”. Jay’s article on “Translation considerations for global internal investigations, ethics and compliance matters” appeared in the November/December 2012 issue of Compliance & Ethics Professional Find Jay on LinkedIn: https://www.linkedin.com/in/jayrosen You may also contact Jay at jay.rosen@merrillcorp.com or 310-407-8184. If you have suggestion or questions for the Compliance Perspectives Podcast, please email Kortney at kortney.nordrum@corporatecompliance.org

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