Compliance &Ethics - Society of Corporate Compliance and Ethics

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FeatureCompanies also need to be alert to therisks of money laundering through gift andstored-value cards. Increasingly, explainedDouglas Leff, Supervisory Special Agent inthe Asset Forfeiture & Money LaunderingUnit, criminals are taking advantage ofthis virtually untraceable means of movingmoney. Companies, particularly retailers,need to be wary of unusually high volumesof transactions using these instruments.Businesses may also want to consider monitoringemployee expenses which reflectgift card purchases. These purchases maybe innocent, but they may be an indicatorof a Foreign Corrupt Practices Act(FCPA) violation.every three months, making it difficult toprove who the sender of an email was.He also warned companies to be aware ofthe risks of cloud computing. The distributedstorage model makes it much more difficultfor law enforcement to identify a criminalafter an intrusion.The day ended with a heated discussionof the FCPA. It featured a panel consisting ofPaula Ebersole, Supervisory Special Agentof the FBI’s Washington Field Office; ChrisFavro, a retired FBI agent and now SeniorCounsel, Compliance and Business Conductfor 3M; and Charles Duross, Assistant Chief ofthe US Department of Justice’s Fraud Section.The conversation included a discussion of thedesire of the Compliance community for theDepartment of Justice to provide more informationabout how companies can earn creditfor their compliance programs.Roy Snell, CEO of SCCE and the HealthCare Compliance Association, pointed out,“This is exactly the kind of data we need todemonstrate to CEOs and boards the valuethat compliance programs can bring to theirorganizations.”Compliance & Ethics Professional May/June 2012Another emerging risk area is socialmedia. Michael Kolessar, Supervisory SpecialAgent in the Cyber Unit, reported an increasein incidents of extortion using social media.He recounted a case in which a disaffectedcustomer threatened to unleash a torrent ofonline complaints about a company unlessit agreed to his demands. Kolessar urgedcompanies to report these demands to lawenforcement promptly while the data is readilyaccessible. Contrary to the belief that digitalcommunications last forever, he explained thatmany Internet providers purge their recordsDay Two of the program took place at theFBI’s training facility in Quantico, Virginia.The tour included the Memorial Wall, whichhonors agents killed in the line of duty, andfamed Hogan’s Alley, a few Hollywood-builtcity blocks designed to give agents the opportunityto train in “real life” settings.The training in enforcement for recruitsalso includes 40 hours of legal education,the group learned. Lisa Baker, Chief of theLegal Instruction Unit, shared a portion ofthe training on the protection of civil rights.This program helps recruits understand thesource of their authority, as well as the limitsof it, and the value of adhering to thoselimits. This portion of the training beginswith the U.S. Constitution and Bill of Rights,16 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977
Featurea copy of which is provided to each recruit.To drive the lessons home, the trainingincludes examples of the risks that can occurwhen those Constitutional boundaries arebreached.COINTELPRO, a program from severaldecades ago that monitored people the FBIhad deemed a potential threat to the nation,is one of the incidents studies. This programonce included a list of more than 26,000Americans to be “rounded up” in case ofa national emergency. The investigation ofCOINTELPRO led to significant changeswithin the FBI, including a set of guidelinesfor the FBI that would form the basis of itscompliance program.Baker explained that the policy environmentfor domestic operations is now basedon the Constitution, federal statutes, andExecutive Orders, plus the Attorney GeneralGuidelines, the FBI Domestic Investigationand Operational Guide, as well as BureauProgram Policy Implementation Guides.Together these are used to direct the FBI’soperations and ensure they comply with thelaw and the Bureau’s own standards.In addition, the FBI operates under aset of core values, Patrick Kelley explained.These are:··Rigorous obedience to the Constitution ofthe United States··Respect for the dignity of all thosewe protect··Compassion··Fairness··Uncompromising personal andinstitutional integrity··Accountability by accepting responsibilityfor our actions and decisions and theirconsequences··Leadership, by example, both personaland professionalThese values help define how the FBIviews itself. For example, according to theFBI’s internal ethics manual: “It is our policyto comply fully with all laws, regulations,and rules governing our operations, programsand activities…Public service is apublic trust. Those of us lucky enough toserve the public in and through this greatorganization must adhere to that principle ineverything we do.”The day concluded with a fascinating andfun peek into how agents are trained to takethose values and the law, and apply themwhen facing a scenario in which deadly forcemay be used.Compliance & Ethics Professional May/June 2012+1 952 933 4977 or 888 277 4977 | www.corporatecompliance.org 17
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y Dawn LomerSocial media evidence:A
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Compliance & Ethics Professional Ma
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y Eric R. FeldmanBuilding transpare
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of a company’s “ethical culture
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Feature The last wordby Joe Murphy,
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SCCE’s 2012 Upcoming EventsLearn
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Join us for SCCE’s 10th AnnualHig
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