The Federal Sentencing Commission sets standards for sentencing for federal crimes. Because companies can also break the law, the Commission also developed guidelines for how to sentence organizations: the Federal Sentencing Guidelines for Organizations (FSGO). Companies can face penalties from fines to operational requirements. But the most talked-about portion of the FSGO is what it…

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How one company’s fall from grace prompted new standards Much has been written (and filmed) about the Enron scandal. Enron’s collapse resulted in prison sentences for several executives, and more importantly, the loss of thousands of people’s retirement savings. Large scandals often prompt congressional action. Following Enron, Congress passed the Public Company Accounting Reform and…

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What happens when a business breaks the law? In many cases, a regulatory violation results in a fine or some additional penalties, such as increased oversight. But some cases are large enough that the company involved is brought before a federal judge and sentenced. Obviously, a business can’t go to jail. But sometimes, individual executives…

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Having spent more than 30 years as a full-time sponsored extreme sports athlete, Will Gadd now teaches his two young daughters how to navigate life and mountains. In this humorous talk he tells us why he’s happy when his five-year old classifies a situation as “Bumps and bruises only” or “Death,” and outlines a few…

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Q: Are compliance and ethics really that different? A: I would argue that compliance and ethics are unique disciplines; however, because both are designed to manage human behavior, it is easy to see why the two are so often conjoined. First, many organizations “house” their ethics departments under the larger compliance umbrella. Companies do this for…

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Without ongoing training, organizations may not have staff members with the knowledge, skills, and abilities (KSAs) needed to compete effectively. Building the capacity for all employees to work smoothly with diverse individuals is essential to competitive success. Certain legal compliance considerations will ensure the effectiveness of your training and development initiatives. Accurate recordkeeping related to…

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Mary Gentile, Notre Dame Deloitte Center for Ethical Leadership Mary Gentile, Creator/Director of Giving Voice to Values, explains why how to respond when one of your subordinates raises a concern about an ethics issue. Originally by Notre Dame Deloitte Center for Ethical Leadership. Used by kind permission of NDDCEL.

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Too often, ethics trainings can be boring and ineffective. Storytelling can help—not just by keeping your participants awake, but also by helping them remember and act on what you teach. Mary Gentile, Notre Dame Deloitte Center for Ethical Leadership Some ethics training is a bit like parrot training. Employees hear about their organization’s policies, procedures,…

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Excerpt from Kristy Grant-Hart’s How to be a Wildly Effective Compliance Officer: Learn the Secrets of Influence, Motivation and Persuasion to Become an In-Demand Business Asset (Brentham House 2015). Grant-Hart’s decision tree demonstrates how businesses can best work with a compliance officer. I developed the Compliance Officer Decision Tree after dealing with a high-ranking corporate…

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Christian H (originally posted at human-risk.com, Feb. 17, 2019) Telling people to do something because it is a “Regulatory Requirement” is a widely used technique to drive compliance within organisations.  In this article, I explore why that might not be such a good idea. Framing One of the fascinating aspects of Behavioural Science is that small…

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