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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 so
The various tools used in conducting assessments: interviews, document review, surveys, focus groups, benchmarking, maturity models, etc.
When and how to conduct an assessment under the attorney-client privilege and related matters of confidentiality
The size, scope and frequency of assessments
What to know and to look out for in formulating findings and recommendations, and in drafting and disseminating an assessment report
The role of the board of directors and of senior management
For each of the major elements and sub-elements of a C&E program – risk assessment, program management and oversight, policies, training, auditing, helplines, incentives, etc. – what to look for both in terms of efficacy and opportunities for improvement
Assessing the characteristics of an effective C&E program, such as independence, clout, reach and sufficiency of resources
“Deep dives” into areas of high risk – such as anti-corruption and antitrust compliance
The hallmarks of an ethical organizational culture
Use of “behavioral ethics” ideas and information in C&E program assessments

More information about the program can be found here

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  • Assessment mandates and benefits
  • Methodologies
  • Risk assessment
  • Program structure
  • Standards and procedures
  • Training and communications
  • Auditing, monitoring, and other “checking”
  • Reporting procedures, including helplines
  • Investigations
  • Discipline and other remedial measures
  • Personnel measures
  • Culture
  • Guest Posts
  • Uncategorized

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