Compliance Program Assessment Blog
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...
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...
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...
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...
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...
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...
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...
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...
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...
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The information and ideas on this blog are provided as a public service to the web community by Kaplan & Walker LLP (“the Firm”) and do not constitute...
Welcome to the Compliance Program Assessment Blog
Rebecca Walker and Jeff Kaplan of Kaplan & Walker LLP are pleased to announce the launch of the Compliance Program Assessment Blog...