Compliance &Ethics - Society of Corporate Compliance and Ethics

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ContentsMay/June 2012FeaturesColumnsCompliance & Ethics Professional May/June 201214 Two days with the FBIby Adam TurteltaubAbout 50 compliance professionals got an inside look at the FBI’scompliance program and how agents are trained.24 Understanding the proposedEU data protection regulationby Robert BondBusinesses that process the personal data of Europeanswill incur significant compliance obligations when the newregulations take effect.30 Buyers on the takeby Peter J. CrosaAssuming that vendor payoffs are a thing of the past may be abit naïve in these tougher economic times.34 It’s time to change the SEC’s cultureby Marlowe DomanThe new Office of the Whistleblower will have to overcome thepublic’s perception that the SEC protects, rather than prosecutes,high-level financiers.40 Ethical decision-making models:Decisions, decisionsby Roz BlissWhen faced with an ethical challenge, your employees need asimple tool to help them make the right decision.3 Letter from the CEORoy Snell21 Boehme of contentionDonna Boehme29 The art of complianceArt Weiss33 View from the front linesMeric Craig Bloch39 Kaplan’s courtJeff Kaplan78 The last wordJoseph Murphy6 NewsDepartments12 People on the move22 SCCE welcomes new members69 SCCE congratulatesnew CCEP ® designees79 Takeaways80 Events calendar4 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977
“ ”Ethics and compliance operativesshould be aware that inappropriatevendor influence is not alwaysblatant and easy to spot.See story on page 30Compliance & EthicsProfessionalEditor-in-ChiefJoseph Murphy, Esq., CCEP, Of Counsel, CSLG, Haddonfield, NJ,jemurphy@cslg.comExecutive EditorRoy Snell, CHC, CCEP‐F, CEO, roy.snell@corporatecompliance.orgArticles44 Powerful witness preparation:The pure and simple truthby Dan Small and Robert F. RoachGetting to the truth and bringing it out effectively requires preparation.48 The economy, compliance, and ethicsby Adam TurteltaubResults of SCCE’s latest survey on Compliance budgets and staffing.50 Overzealous I-9 compliance can result ina discrimination lawsuit [CEU]by Justin EstepCompanies must follow a consistent policy for verifying the employmenteligibility of both U.S. citizens and non-citizens.52 Meet Frederico Melville Novellaand Christie Ippischby Adam TurteltaubThe founding father of one of Guatemala’s leading companies instilled a legacyof ethics, values, and right conduct.54 Corporate codes of conduct in theUnited States [CEU]by Gilbert Geis, PhD and Henry N. Pontell, PhDA desire to protect the company from vicarious liability runs through thehistory of codes of conduct.66 Social media evidence: A new accountability [CEU]by Dawn LomerPotential legal issues can arise when discovering evidence on social mediasites and authenticating it for use in a courtroom.70 Building transparency, accountability, andethics in government contractingby Eric R. FeldmanContractors who ignore increasingly complex federal regulations andself-disclosure requirements may find themselves suspended or debarred.Advisory BoardCharles Elson, JD, Edgar S. Woolard, Jr. Chair in CorporateGovernance, Director of the John L. Weinberg Center forCorporate Governance at University of Delaware.Jay Cohen, Compliance Consultant, Assurant Inc.John Dienhart, PhD, The Frank Shrontz Chairfor Business Ethics, Seattle University; Director,Northwest Ethics Network; Director, Albers BusinessEthics Initiative; Fellow, Ethics Resource CenterOdell Guyton, JD, CCEP, Senior Corporate Attorney,Director of Compliance, U.S. Legal–Finance & Operations,Microsoft CorporationRebecca Walker, JD, Partner, Kaplan & Walker LLPRick Kulevich, JD, Senior Director, Ethics and Compliance,CDW CorporationSteve LeFar, President, Sg2Stephen A. Morreale, DPA, CHC, CCEP, Principal,Compliance and Risk DynamicsMarcia Narine, JD, Vice President Global Complianceand Business Standards, Deputy General Counsel,Ryder System, Inc.Ann L. Straw, General Counsel US, Votorantim CimentosNorth America, Inc.Greg Triguba, JD, CCEP, Principal,Compliance Integrity Solutions, LLCStory Editor/AdvertisingLiz Hergert, +1 952 933 4977 or 888 277 4977liz.hergert@corporatecompliance.orgCopy EditorPatricia Mees, CCEP, CHC, +1 952 933 4977 or 888 277 4977patricia.mees@corporatecompliance.orgDesign & LayoutSarah Anondson, +1 952 933 4977 or 888 277 4977sarah.anondson@corporatecompliance.orgCompliance & Ethics Professional (CEP) (ISSN 1523-8466)is published by the Society of Corporate Compliance and Ethics(SCCE), 6500 Barrie Road, Suite 250, Minneapolis, MN 55435.Subscriptions are free to members. Periodicals postage‐paid atMinneapolis, MN 55435. Postmaster: Send address changes toCompliance & Ethics Professional Magazine, 6500 Barrie Road,Suite 250, Minneapolis, MN 55435. Copyright © 2012 Societyof Corporate Compliance and Ethics. All rights reserved. Printedin the USA. Except where specifically encouraged, no part of thispublication may be reproduced, in any form or by any means,without prior written consent from SCCE. For subscriptioninformation and advertising rates, call +1 952 933 4977or 888 277 4977. Send press releases to SCCE CEP PressReleases, 6500 Barrie Road, Suite 250, Minneapolis, MN55435. Opinions expressed are those of the writers and not ofthis publication or SCCE. Mention of products and services doesnot constitute endorsement. Neither SCCE nor CEP is engaged inrendering legal or other professional services. If such assistanceis needed, readers should consult professional counsel or otherprofessional advisors for specific legal or ethical questions.Volume 9, ISSUE 3+1 952 933 4977 or 888 277 4977 | www.corporatecompliance.org 5Compliance & Ethics Professional May/June 2012
Page 3: Letter from the CEOby Roy Snell, CH
Page 7 and 8: NewsWebsites uncover petty briberya
Page 9 and 10: SCCE NewsSCCE conference NewsNation
Page 11 and 12: SCCE NewsNewsContact Eric Newman at
Page 13 and 14: Help Keep YourCompliance ProgramFul
Page 15 and 16: FeatureMueller places on compliance
Page 17 and 18: Featurea copy of which is provided
Page 19 and 20: 10th AnnualHigher EducationComplian
Page 21 and 22: Boehme of Contentionby Donna Boehme
Page 23 and 24: Ohio··Tim Butler, Teradata Corp·
Page 25 and 26: FeatureBased on the wording of the
Page 28 and 29: Get expert guidance with:The Comple
Page 30 and 31: Featureby Peter J. CrosaBuyers on t
Page 32 and 33: Featurecannon and will eventually s
Page 34 and 35: Featureby Marlowe DomanIt’s time
Page 36 and 37: FeatureCompliance & Ethics Professi
Page 38 and 39: Compliance & EthicsRegional Confere
Page 40 and 41: Featureby Roz BlissEthical decision
Page 42 and 43: FeatureHowever, it takes more than
Page 44 and 45: y Dan Small and Robert F. RoachPowe
Page 46 and 47: it is amazing, wonderful work, if i
Page 48 and 49: y Adam TurteltaubThe economy, compl
Page 50 and 51: y Justin EstepOverzealous I-9 compl
Page 52 and 53: Frederico Melville NovellaChairman
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y Gilbert Geis, PhD and Henry N. Po
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It is the policy of the company to
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Compliance & Ethics Professional Ma
Page 60 and 61:
Page 62 and 63:
prosecutors from demanding waivers.
Page 64 and 65:
Page 66 and 67:
y Dawn LomerSocial media evidence:A
Page 68 and 69:
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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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