News & Analysis as of

Human Resources Professionals Compliance

Compliance Missed Opportunities: CCOs and HR

by Michael Volkov on

A chief compliance officer can get overwhelmed with responsibilities and initiatives. CCOs have a never-ending to-do list – once an initiative is finished, the CCO has to jump to another “priority.”...more

I-14: Update on EEO-1 and I-9 Forms, Employer Obligations After a Hurricane or Other Natural Disaster, and Attorney Jason Barsanti...

by Cozen O'Connor on

Michael Schmidt, Vice Chair of Cozen O’Connor’s Labor & Employment Department, provides an update on required EEO-1 and I-9 Forms, and addresses Employer Obligations to Employees After a Hurricane or Other Natural Disaster....more

Compliance Lessons From Uber: Takeaways for Tech Startups

by Nilan Johnson Lewis PA on

While the media has widely covered the resignation of Uber’s CEO Travis Kalanick, it has largely ignored important lessons that tech startups can draw from Uber’s experience. In fact, the series of events leading up to...more

Day 9 of One Month to Better Reporting and Investigations-The Investigation Team

by Thomas Fox on

Beginning with the Department of Justice’s (DOJ’s) Yates Memo, its Foreign Corrupt Practices Act (FCPA) Pilot Program and then the release of the Evaluation of Corporate Compliance Programs (Evaluation), I believe the DOJ has...more

Compliance into the Weeds-Episode 40, COSO ERM Framework Update

by Thomas Fox on

In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We consider the role of culture and risk, the integration of the COSO ERM...more

Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance

by Thomas Fox on

I conclude this month’s series inspired by an article in the Harvard Business Review, entitled “Does Management Really Work?” by Nicholas Brown, Raffaella Sadun and John Van Reenen. I found the article very useful because it...more

Goodbye to the Midnight Rider and the HR Gap Analysis

by Thomas Fox on

How can you determine if Human Resources (HR) can meet the needs of a best practices compliance program? One place to start is with a gap analysis to determine what HR has in place that can facilitate your company’s...more

Day 21 of One Month to Better Compliance Through HR-the HR Gap Analysis for Compliance

by Thomas Fox on

How can you determine if Human Resources (HR) can meet the needs of a best practices compliance program? One place to start is with a gap analysis to determine what HR has in place that can facilitate your company’s...more

Day 20 - Compliance Leadership from the Bottom

by Thomas Fox on

The key concept from the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Program (Evaluation) is operationalization. For instance, under the query Shared Commitment is the following question - “How is...more

Operationalizing Compliance Through Your Tone in the Middle

by Thomas Fox on

One of the ways that Human Resources (HR) can help to operationalize compliance is to assist each level of an organization to have a proper tone. While the top of an organization rightly gets much of attention, the tone about...more

Operationalizing Compliance: Part III – Human Resources

by Thomas Fox on

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am...more

Day 18 of One Month to Better Compliance Through HR- Using Promotions to Operationalize Compliance

by Thomas Fox on

The role of Human Resources (HR) in anti-corruption compliance programs, is often underestimated. If your company has a culture where compliance is perceived to be in competition or worse yet antithetical to HR, the company...more

Day 16 of One Month to Better Compliance Through HR-The Exit Interview

by Thomas Fox on

The exit interview can be a further mechanism to operationalize compliance. This type of interview is used when someone voluntarily departs from a company, as opposed to a lay-off or reduction in force exercise. Typically...more

Compliance’s Role in Preventing the Next “WannaCry” Cyberattack

by NAVEX Global on

The global chaos unleashed by the WannaCry ransomware virus reinforces that cyberattacks are not just the problem of IT departments. Compliance must play an integral part of any organization’s cross-functional cybersecurity...more

Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues

by Thomas Fox on

Employment separation and layoffs can present some unique challenges for the compliance practitioner. Employees can use layoffs to claim that they were retaliated against for a wide variety of complaints, including those for...more

Day 13 of One Month to Better Compliance Thru HR

by Thomas Fox on

One of the ways to operationalize compliance and to drive it into the DNA of an organization is through a performance review. Indeed, the 2012 FCPA Guidance states, “DOJ and SEC recognize that positive incentives can also...more

Day 12 of One Month to Better Compliance through HR-Succession Planning Around Compliance

by Thomas Fox on

Another area where compliance can play a key role is in succession planning. Succession planning is just as important as governance, enterprise risk and strategic oversight. In other words, it is just as important. Sadly,...more

Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine

by Thomas Fox on

Procedural fairness is one of the things that will bring credibility to your Compliance Program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Day 10 Of One Month to Better Compliance through HR-Sales Incentives and Compliance

by Thomas Fox on

In the Department of Justice’s Evaluation of Corporate Compliance Programs, Prong 8 Incentive and Disciplinary Measures it states: Incentive System –How has the company considered the potential negative compliance...more

Day 7 Of One Month To Better Compliance Through HR - Six Principles For Compliance Incentives

by Thomas Fox on

In metrics laid out by former Assistant Attorney General Leslie R. Caldwell, she spoke about the need for compliance program incentives. She posed it with the following question, “Are there mechanisms to enforce compliance...more

Day 6 of One Month to Better Compliance Through HR-Incentivizing Compliance

by Thomas Fox on

In the Department of Justice’s Evaluation of Corporate Compliance Programs, Prong 8 Incentive and Disciplinary Measures it states: Incentive System – How has the company incentivized compliance and ethical behavior? How has...more

“Zen and the Art of Motorcycle Maintenance” – Lessons for Compliance

by Thomas Fox on

Robert M. Pirsig died last week. For anyone who went to college in the mid-70s, he was required reading in a variety of classes and disciplines for his seminal work Zen and the Art of Motorcycle Maintenance. There were a...more

Day 1 of One Month to Better Compliance Through HR-the Role of HR in Operationalizing Compliance

by Thomas Fox on

This month, I will consider the role of Human Resources (HR) in operationalizing a best practices compliance program. I have long advocated for a greater role of Human Resources (HR) in a compliance program. Indeed, one sign...more

[Webinar] Key Employment Law Issues for Start-ups and Other Small Businesses, Including Relevant California Laws - April 19th,...

by Conn Maciel Carey LLP on

While large companies typically have human resources departments or in-house counsel to advise on the myriad of complex employment laws, start-ups and small businesses are often operating in the dark regarding these key...more

March Preparedness: Inadequate Employee Training May Cause Even the Best Employers to Suffer an Upset

Employers implement employee training programs for a variety of reasons, such as furthering professional development and improving poor performance, ensuring compliance with information security protocols and competence using...more

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