Chapter 10 COMPLIANCE PROGRAM FOR MANUFACTURING PLANTS - Donna Bunch Coaxum
§ 10.01
Taking Preventive Measures
§ 10.02
The Type of Program to Establish
§ 10.03
Sample Manufacturing Plant Program and Considerations
§ 10.04
Product Safety and Facility Security After 9/11
§ 10.05
Reaching the Blue-Collar Employee
§ 10.06
Materials Used in Manufacturing
PART III ADDRESSING YOUR COMPLIANCE RISKS
Chapter 11 LEGAL AND PRACTICAL ASPECTS OF RECORDS AND INFORMATION MANAGEMENT - William A. Brandt, Jr.
§ 11.01
Introduction
§ 11.02
Understanding Information Processes
§ 11.03
The Risks of Uncontrolled Information
§ 11.04
Obstacles to the Creation of Records and Information Management Programs
§ 11.05
Developing a Sound Records and Information Management Program
§ 11.06
Conclusion
Chapter 12 USING HOTLINES TO REPORT WRONGDOING—AND IMPROVE THE ORGANIZATION - Alice Peterson
§ 12.01
Introduction
§ 12.02
Purposes Served by Ethics Reporting Mechanisms
§ 12.03
The Value of a Disciplined Process and System for Handling Hotline Issues
§ 12.04
Confidential Employee Communication Options
§ 12.05
Determining How the Hotline Will Work and Who Will Do What
§ 12.06
The Board of Directors' Role in Overseeing the Hotline, Ethical Culture
§ 12.07
Privacy and Data Protection/International Implementation
§ 12.08
Sample Ethics Hotline Policy
Chapter 13 THE CORPORATE OMBUDS—AN INFORMAL AND CONFIDENTIAL ALTERNATIVE FOR RESOLVING DISPUTES AND ADDRESSING CONFLICT IN THE WORKPLACE - Melissa Connell
§ 13.01
History and Distinctions of Ombudsmen
§ 13.02
Independence
§ 13.03
Neutrality and Impartiality
§ 13.04
Confidentiality
§ 13.05
Informality and Other Standards
§ 13.06
The Ombuds Privilege and Other Legal Ramifications
§ 13.07
Functions of the Ombudsman
§ 13.08
Benefits of Establishing the Ombuds Office
§ 13.09
Setting up an OMBUDS Office
§ 13.10
Certification for Certified Organizational Ombudsman Practitioners
Appendix 13-1: References
Chapter 14 INTERNATIONAL ACTIVITIES - John J. Fedele, Crystal R. Jezierski, Sylwia A. Lis, and Alexandre Lamy
§ 14.01
Introduction
§ 14.02
Antiboycott
§ 14.03
Antitrust
§ 14.04
Bribery and Corrupt Practices
§ 14.05
Child and Forced Labor
§ 14.06
Data Security and Privacy
§ 14.07
Export Controls, Trade Sanctions, and Foreign Investment
Chapter 15 CORPORATE CODES, POLICIES AND COMPLIANCE PROGRAMS
§ 15.01
Codes of Conduct and Ethics
§ 15.02
What Should Be in Your Code?
§ 15.03
Going Beyond the Code: The Compliance Program
§ 15.04
Codes for Third Parties
PART IV COMMUNICATIONS AND OTHER PROGRAM COMPONENTS
Chapter 16 TOOLS FOR IMPLEMENTATION
§ 16.01
Introduction
§ 16.02
The Structure of the Compliance Program
§ 16.03
The Carrot and the Stick (Incentives and Discipline)
§ 16.04
Recordkeeping
§ 16.05
Demonstrating an Effective Compliance Program
§ 16.06
The Reporting Path
§ 16.07
The Role of Other Departments
§ 16.08
Getting Help
Chapter 17 COMMUNICATIONS AND TRAINING
§ 17.01
What Is Effective Communication?
§ 17.02
Effective Presentations
§ 17.03
Speaking Skills
§ 17.04
Written Support Materials
§ 17.05
Audiovisual Support
§ 17.06
Media Variety
Chapter 18 (on CD-ROM only) EIGHT STEPS TO SUCCESSFULLY IMPLEMENTING AN ENTERPRISE-WIDE ETHICS AND COMPLIANCE eLEARNING INITIATIVE - Erica Salmon Byrne and Eric Morehead
§ 18.01
Introduction
§ 18.02
Step One: Determine Training Goals and Estimated Budget
§ 18.03
Step Two: Assemble, Staff, and Meet with the Steering Committee
§ 18.04
Step Three: Create a Code of Conduct Training Plan
§ 18.05
Step Four: Determine a Three- to Five-Year Ethics and Compliance Training Plan
§ 18.06
Step Five: Determine Technology and Deployment Strategy and Preferences
§ 18.07
Step Six: Receive Proposals from Vendors; Analyze, Narrow, and Negotiate Contract
§ 18.08
Step Seven: Customize Programs, Conduct Systems Integration, and Design Communications Plan
§ 18.09
Step Eight: Launch Training Initiative and Drive Completion Rates
Chapter 19 (on CD-ROM only) USING MULTIMEDIA SIMULATIONS FOR COMPLIANCE TRAINING - Kemi Jona, Ph.D.
§ 19.01
Introduction
§ 19.02
Why Compliance Training Can Be Ineffective
§ 19.03
Creating Effective Compliance Training
§ 19.04
Goal-Based Scenarios: A Framework for Developing Effective Computer-Based Learning Environments
§ 19.05
Case Studies of Compliance-Related Learning Systems
§ 19.06
Principles to Improve the Effectiveness of Compliance Training in Your Organization
Chapter 20 USING TECHNOLOGY FOR COMPLIANCE TRAINING AND MONITORING - Christian E. Liipfert
§ 20.01
Introduction
§ 20.02
Training
§ 20.03
Compliance Monitoring Technology
Chapter 21 WRITING FOR UNDERSTANDING - Sarena Green
§ 21.01
The State of Written Compliance Materials
§ 21.02
Ten Writing Tips
§ 21.03
Before and After Example
Chapter 22 USE OF THE “DRAMATIZATION” IN COMPLIANCE TRAINING - Tim Mooney
§ 22.01
Introduction
§ 22.02
Other Ineffectual Compliance Techniques
§ 22.03
What the Theater Brings to Business
§ 22.04
Working with a Writer
§ 22.05
Video Issues
§ 22.06
From Idea to Script: Money Laundering
PART V EVALUATION
Chapter 23 MEASURING YOUR PROGRAM
§ 23.01
Introduction
§ 23.02
Thinking About the Purpose of Compliance Programs
§ 23.03
Risk Analysis
§ 23.04
Benchmarking
§ 23.05
Objective Evaluation
§ 23.06
Subjective Evaluation
§ 23.07
Auditing and Compliance
§ 23.08
Investigations of Wrongdoing
§ 23.09
The Self-Critical Evaluation Privilege
Chapter 24 MAKING THE BEST OF A BAD SITUATION: INVESTIGATING AND DISCLOSING WRONGDOING - Scott R. Lassar
§ 24.01
The Possibility of Wrongdoing
§ 24.02
Conducting an Internal Investigation
§ 24.03
Disclosing Wrongdoing
§ 24.04
Responding to a Government Investigation
§ 24.05
Cooperating with the Government
§ 24.06
Taking the Punishment
Chapter 25 COMPLIANCE WITH GOVERNMENT AGREEMENTS AND DECREES
§ 25.01
Compliance with Government Agreements & Decrees
§ 25.02
Compliance with the Sentencing Guidelines
PART VI KEY LEGAL AREAS
Chapter 26 ABANDONED PROPERTY - Scott J. Heyman
§ 26.01
State Laws
§ 26.02
Failure to Comply with Legal Requirements
§ 26.03
Establishing a Compliance Procedure
Chapter 27 ADVERTISING
§ 27.01
Overview
§ 27.02
FTC Rules
Chapter 28 ANTITRUST
§ 28.01
Background
§ 28.02
Pricing
§ 28.03
Trade Associations and Joint Activity
§ 28.04
Bigness and Badness
§ 28.05
The Freedom to Sell
§ 28.06
Lawsuits and Privilege
§ 28.07
Imposed Antitrust Compliance Programs
§ 28.08
Director Interlocks
Chapter 29 ATTORNEY-CLIENT PRIVILEGE AND ATTORNEY COMPLIANCE PROGRAMS - Mary Robinson
§ 29.01
Background
§ 29.02
Employee Responsibilities
§ 29.03
International Situations
§ 29.04
Attorney Responsibilities
Chapter 30 COMMODITY AND FINANCIAL FUTURES TRADING - Leslie A. Blau and Carl Gilmore
§ 30.01
Overview
§ 30.02
Key Statutes
§ 30.03
Agencies and Organizations
§ 30.04
Who Must Register—Generally
§ 30.05
Major Categories of Registration
§ 30.06
Due Diligence—Obtaining Information on Registrants from NFA
§ 30.07
Futures Exchanges
§ 30.08
Swaps Execution Facility (“SEF”)
§ 30.09
Futures Clearing Organizations
§ 30.10
Negotiating Customer Account Agreements
§ 30.11
Futures Margin
§ 30.12
Segregation of Customer Funds
§ 30.13
Churning
Chapter 31 COMMUNICATIONS AND CRISIS MANAGEMENT - Christopher Beard
§ 31.01
Communications
§ 31.02
Confronting Disasters
Chapter 32 CONFIDENTIAL INFORMATION AND TRADE SECRETS - Charles B. Brown
§ 32.01
Background
§ 32.02
Ethical Guidelines
§ 32.03
What Is a “Trade Secret”?
§ 32.04
Misappropriation and Other Violations
§ 32.05
Federal Defend Trade Secrets Act
Chapter 33 CONSUMER PRODUCT SAFETY - Debra S. Rade
§ 33.01
Corporate Policies
§ 33.02
Federal and Private Standards
Chapter 34 CONTRACTS
§ 34.01
Contract Law Training
§ 34.02
Special Considerations for Sales Employees
Chapter 35 COPYRIGHT
§ 35.01
What a Copyright Does
§ 35.02
Corporate Concerns
§ 35.03
Copyright Treaties and Acts
Chapter 36 CORPORATE GOVERNANCE AND SECURITIES LAW - Krista A. Endres and Talita Ramos Erickson
§ 36.01
Background
§ 36.02
Compliance, Corporate Law, and Corporate Governance
§ 36.03
Securities Laws
Chapter 37 CREDIT AND COLLECTION - John Verscaj
§ 37.01
Overview
§ 37.02
Federal Statute
Chapter 38 DOCUMENTS
Chapter 39 EMPLOYMENT LAW - Suzanne Alexander
§ 39.01
Introduction
§ 39.02
Age Discrimination in Employment Act
§ 39.03
Americans with Disabilities Act
§ 39.04
At-Will Employees and Personnel Handbooks
§ 39.05
Child Labor and the Fair Labor Standards Act
§ 39.06
Civil Rights Act of 1964
§ 39.07
Covenants Not to Compete
§ 39.08
Executive Order 11246 (1965)
§ 39.09
Employee Polygraph Protection Act of 1988 and Background Checks