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Author: Kaplan Walker

Conducting Program Assessments Using the Department of Justice’s New Evaluation Standards

The modern era of corporate compliance began on November 1, 1991, when the Federal Sentencing Guidelines for Organizations (the “FSGO”) – the first set of general standards for assessing the efficacy of what were then called “program[s] to prevent and


Using behavioral ethics in compliance program assessments

Behavioral economics is a school of social science that teaches that we are not as rational as we think. The application of that learning to the realm of ethics is sometimes called “behavioral ethics,” which is a social science that


Culture assessment – the why and the how

Research conducted over the past twenty years has provided an evidentiary basis for what has – for just as long – been accepted wisdom in the E&C community: that an ethical organizational culture is even more effective than a strong


Legal Guidance related to Program Assessment

Legal guidance in the area of C&E program assessments accords with professional wisdom in this area, emphasizing the importance of periodic assessments to an effective program. In this post, we review a few of the relevant legal standards from U.S.


Assessments and Confidentiality

A threshold issue which often arises in conducting C&E program assessments is to what extent the process and report should be treated as confidential. There are two components to this question, the first of which concerns the use of the


Certification as a form of program evaluation

By Joe Murphy, CCEP A newly evolving approach to program evaluation is certification, particularly to meet an ISO standard. Mostly notably, ISO 37001 provides for certification of anti-corruption compliance programs. There is a great deal of controversy about this certification.


PLI One-Hour Briefing on Compliance & Ethics Program Assessment

On September 28 at 1:00 Eastern Rebecca and Jeff will be leading a One-Hour Briefing for the Practising Law Institute on C&E program assessment. The program will cover: Official requirements for conducting C&E program assessments and business-related reasons to do


Assessing compliance incentives

There are two types of incentives that typically should be reviewed in a C&E program assessment. The first concerns the extent to which a company’s general incentive structure has the effect (presumably unintentional) of promoting non-compliance. The second concerns incentive


Assessing the E&C Investigations Process

Investigations are one of the more difficult and riskier activities of an E&C program. Poorly-conducted investigations can create serious legal risks for an organization. In addition, the mishandling of investigations can damage the way in which employees perceive E&C programs,


Assessing compliance training

Training is not just another part of every C&E program; it is generally the part that touches the work lives of more of a company’s employees than do other elements. It should therefore be a significant focus of any program