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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

Posted in Uncategorized

Audit Interviews Regarding Employee C&E Knowledge

An often useful but not always used self-assessment tool is to include in an audit interview questions to determine if employees have sufficient knowledge of C&E program requirements and resources. Knowledge questions – as these might be called – are

Posted in Auditing, monitoring, and other "checking", Uncategorized

Assessing risk assessment

When the Federal Sentencing Guidelines for Organizations were first issued in 1991, risk assessment was not among the specified elements of an effective C&E program. By the time risk assessment was added to the definition of an effective C&E program

Posted in Risk assessment, Uncategorized

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  • Risk assessment
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  • Personnel measures
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