Compliance &Ethics - Society of Corporate Compliance and Ethics

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of a company’s “ethical culture” in makingdecisions on “present responsibility” —themain factor that drives whether to suspendor debar a contractor from doing businesswith the government. This is recognized inthe FAR-mandated penalties for a company’s“failure to timely disclose” credible evidenceof violations or overpayments (i.e., suspensionor debarment).As of the writing of this piece, there hadnot yet been a case of the government suspendingor debarring a company solely forviolating the Mandatory Disclosure Rule.However, there have been several cases inwhich the government determined that theunderlying violation, coupled with the failureto disclose in a transparent manner, signaledan unethical corporate culture that raisedenough questions about the company’s “presentresponsibility” that a proposed debarmentwas in order.In an increasing number of cases, welladvisedcompanies have avoided or reversedsuspension/debarment decisions by offeringto proactively hire an independent monitorto (1) conduct an independent assessmentof the ethical culture of the company, (2)evaluate the strength of the corporate ethicsand compliance activities, (3) make specificrecommendations to improve the ethicsprogram and internal controls of the company,and (4) independently monitor (withreports to the government) the company’sprogress in implementing the monitor’srecommendations.The steps described above have not onlybeen enough to avoid suspension, debarment,prosecution, and other punitive actions,but they have also created greater transparencyin the government contracting process.Strengthening their ethical culture, establishingor enhancing the FAR-mandated businessethics and conduct programs, and educatingstaff about the broad applicability of mandatoryreporting requirements have, in fact, helpedcompanies become more responsible governmentcontractors. In the final analysis, isn’t thatthe end game we are all working toward? ✵1. Larsen, Alan S. and Feldman, Eric R.: “Convincing Contractors toReport Their Own Procurement Fraud.” Journal of Public Inquiry,Spring/Summer, 2006.2. Miller, Kathleen: “US Agencies Want 1,000-plus Contractors Barred.”Bloomberg News, December 28, 2011.3. Morford Craig S: “Selection and Use of Monitors n DeferredProsecution Agreements and Non-Prosecution Agreements withCorporations.” U.S. Department of Justice, Office of the DeputyAttorney General, March 7, 2008.Eric R. Feldman is President of Core Integrity Group LLC and Director ofCorporate Compliance, Affiliated Monitors in Redondo Beach, California. Hemay be contacted at eric@coreintegritygroup.com.Thank you!Compliance & Ethics Professional May/June 2012Has someone done something great for you,for the Compliance profession, or for SCCE?If you would like to give recognition bysubmitting a public “Thank You” to be printed inCompliance & Ethics Professional magazine, pleasesend it to liz.hergert@corporatecompliance.org.Entries should be 50 words or fewer.76 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977
Your Guide to Becomingan Effective InvestigatorThe First Information Is Almost Always Wrong:150 Things to Know AboutWorkplace InvestigationsBy Meric Craig Bloch, Esq., CCEP, PCI, CFEEffective workplace investigations are equal partsart and science. Meric Bloch has mastered bothaspects through years of hard-earned experience.In this book, he details the strategies and tacticshe knows work best.His practical guidance will help readers learn toplan and conduct thorough investigations andturn the results into valuable knowledge for theirorganizations. His insightful approach is mappedout in three sections.• Protect Your Career—How to Think Likea Workplace Investigator• Protect Your Company—How to Integrate YourInvestigations into Your Company’s Operations• Protect Your Case—How to Conduct anEffective Workplace InvestigationWith this tutorial, readers will learn not only how touncover the truth about misconduct or fraud, butalso how to ensure that the results can help anorganization resolve issues and move forward.ORDER ONLINE ATwww.corporatecompliance.org/booksGet the executive training DVDs that workThe Ethics Series withDr. Marianne JenningsProduced by DuPont Sustainable Solutions• “Ethics Is a Competitive Advantage” lists five key reasonswhy ethics matter. This program explores why working in the grayareas is risky. (20 min.)• “Speaking Up Without Fear” discusses how organizations candraw out wrongdoing and help create a culture where employees feelempowered. (15 min.)• “Ethical Leadership: Tone at All Levels” explores howemployees can handle the tension between increasing anorganization’s bottom line and protecting its good reputation. (20 min.)SCCE members: $450 per segment, or $1,175 for the seriesNon-members: $495 per segment, or $1,295 for the seriesLearn more and purchase online atwww.corporatecompliance.orgEach segmentis availableindividually,or all togetheron one DVD.Compliance & Ethics Professional May/June 2012+1 952 933 4977 or 888 277 4977 | www.corporatecompliance.org 77
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