Wednesday, January 31, 2007

Marshaling Integrity - Donna Boehme

This excerpt is taken from our interview of Donna Boehme, who we contacted to learn about her experiences working in compliance "overseas".

As you are probably aware, the industry could be viewed as having its birth in issues arising out of the defense industry scandals of the 70’s. But as the industry has matured, meeting the overall seven elements of an effective compliance program has become more important, in addition to addressing the specific, regulatory compliance issues that you might see in the highly regulated industries, like pharmaceuticals or defense. In Europe there has been a traditional emphasis on ethics which historically manifested in aspirational mission or value statements, but in a recent study the majority of leading European companies also had codes of conduct. So the US no longer has the market cornered on compliance.

Donna Boehme's interview is included in Working for Integrity: Finding the Perfect Job in the Rapidly Growing Compliance and Ethics Field.

(All interviewees spoke to us about their own personal experiences and opinions; interviewees were not acting as a spokesperson or otherwise representing their current or former employers.)

SCCE News: 6th Annual C&E Institute

SCCE's 6th Annual
Compliance & Ethics Institute

(From a January 30th email)

September 9 – 11, 2007 | Sheraton New Orleans Hotel

Mark Your Calendars!

The Society of Corporate Compliance and Ethics (SCCE) announces that its 2007 Compliance and Ethics Institute will be held in New Orleans from September 9–11, 2007.

Featuring nearly 40 breakout and general sessions, SCCE’s Compliance & Ethics Institute is SCCE’s flagship event and is the primary educational and networking event for professionals working in the compliance and ethics profession.

In addition to bringing attendees an outstanding educational program, SCCE invites attendees to fall in love with New Orleans all over again! The most celebrated and historic core of New Orleans is as rich, charming, and welcoming as ever, and we invite you to celebrate the traditions that make New Orleans one of America’s most unique, authentic, and enthralling destinations.

The meeting will take place at the Sheraton New Orleans Hotel. Located on historic Canal Street, the Sheraton New Orleans Hotel is at the heart of the Big Easy. It features majestic views of the French Quarter and Mississippi River and is only a short walk to Bourbon Street, Riverwalk Marketplace, Canal Place, JAX Brewery, Harrah's Casino, and all the world-famous restaurants and live music clubs of the Vieux Carré.

Visit SCCE's Web site regularly for event updates.

Monday, January 29, 2007

Marshaling Integrity - Margaret Bavuso

These excerpts are taken from our interview of Margaret Bavuso, who shared her experiences as a compliance director and investigator and as an outside advisor.

Compliance work is very interesting. The politics in every corporation impact the effectiveness of any compliance program, and very often the politics are based on personality. Everybody has to know what their own threshold is as to what they’re willing to deal with.

…the last thing you want is a program that sits on the shelf. You want a program that actually works and prevents wrongdoing. And then when there is wrongdoing, you actually have a process for investigating and taking action. The transition from inside to outside gave me that benefit.

Margaret Bavuso's interview is included in Working for Integrity: Finding the Perfect Job in the Rapidly Growing Compliance and Ethics Field.

(All interviewees spoke to us about their own personal experiences and opinions; interviewees were not acting as a spokesperson or otherwise representing their current or former employers.)

Wednesday, January 24, 2007

Marshaling Integrity - Scott Avelino

These excerpts are taken from our interview of Scott Avelino, who we asked about providing compliance advice from a Big Four firm.

The range of things that we’ve been involved with have been all over the map, anywhere from helping companies develop a simple code of conduct through to helping a company audit their compliance with that code of conduct worldwide and report the results publicly, and all things in between.

…in the wake of Sarbanes-Oxley, there is an increased obligation on behalf of the external auditor to, as part of its audit of internal control (which is a mandate under Sarbanes-Oxley 404) evaluate the effectiveness of traditional compliance program elements. In the audit world, these are often referred to as anti-fraud programs and controls, but they’re generally the same control elements: codes of conduct, hotlines, training, enforcement mechanisms and the like.

Scott Avelino's interview is included in Working for Integrity: Finding the Perfect Job in the Rapidly Growing Compliance and Ethics Field.

(All interviewees spoke to us about their own personal experiences and opinions; interviewees were not acting as a spokesperson or otherwise representing their current or former employers.)

Friday, January 19, 2007

Assorted News

As we get closer to the release of the new book, we will post some small excerpts from the books to whet your appetite. Check back regularly. In the meantime...

Interesting Ethics News

The University of California has taken a bold step and decided to have all its employees take an ethics course.

Article Alert
As mentioned in a previous post, Joshua Leet wrote an article covering the SCCE's CCEP certification program for ethikos. The issue containing that article is out now. (The article is not online - a copy of ethikos must be ordered.)

You can also expect another article online elsewhere in the near future as part of our efforts to promote the project. More on that in the coming month.

Interview Update
Several of the individuals interviewed for the books have since changed jobs or received promotions. Recently, Rodney Smith informed us that while he is still with the Timken Company, he has been promoted to be Sr. Associate Relations & Safety Analyst at Timken's Faircrest Steel Plant. He is excited about his new role, though it is less of a broad compliance role.

Other interviewees whose information has changed since the first book include:
-Donna Boehme, now acting as a Special Advisor to CSLG and its clients, among other things
-George Wratney, closed his Wratney Ombuds Concepts

Wednesday, January 17, 2007

First Look - New Book Cover

Below you will find the full cover (front and back) of our new book. Made up primarily of material from Working for Integrity: Finding the Perfect Job in the Rapidly Growing Compliance and Ethics Field, this book will appeal more to students, young professionals, and those with a casual interest in the field.

So here you have it, Building a Career in Compliance and Ethics: Find your place in the business world's hottest new field.
Available February 2007 from the Society of Corporate Compliance and Ethics.
(Click each image for a larger version)

Monday, January 15, 2007

SCCE News: Education and Recognition

SCCE 2007 Educational Opportunities
(From a January 3rd email)

SCCE 2007 Educational Opportunities
Register Now!
SCCE is the premier provider of compliance and ethics educational events. Faculty is composed of industry experts from around the world who represent the corporate environment, academia, government, and the law. Attracting hundreds of compliance professionals each year, SCCE events also provide unparalleled networking opportunities. Current program include:

The SCCE Academy is a four-day intensive training program with the optional CCEP exam on the fifth day. Academies are designed to address USSC compliance elements in detail and better prepare interested parties for the CCEP exam. They are designed for participants with a basic knowledge of compliance concepts and some professional experience (6–18 months) in a compliance function.


Dallas: March 26 – 29, 2007 (optional CCEP exam on March 30)

Click here to learn more

Workshops are two-day programs designed to provide the practical information compliance professionals need to create and maintain compliance programs in a variety of industries. Workshops run on Thursdays and Fridays and are followed by the optional CCEP exam on Saturday mornings. For your convenience, the 2007 workshops will be held in four locations throughout the country.

Chicago: March 15 – 16, 2007 (optional CCEP exam on March 17)
New York: March 22 – 23, 2007 (optional CCEP exam March 25)
Los Angeles: April 12 – 13, 2007 (optional CCEP exam on April 14)
Dallas: May 17 – 18, 2007 (optional CCEP exam on May 19)

Click here to learn more

Audio Conferences:

The McNulty Memorandum

SCCE will present its first-ever web conference on January 18, 2007 to discuss the ramifications of the memorandum released on December 12, 2006 by U.S. Deputy Attorney General Paul J. McNulty

Expert speakers for the web conference are Gabriel L. Imperato, Managing Partner at Broad and Cassel and Judith A. Walz, Partner at Foley and Lardner.

Date/Time: January 18, 2007 | 12:00 Central Time (90 min.) | 1.2 CEUs

Click here to learn more

Credits earned at SCCE events will count toward the credits required to sit for the certification exam.

Please visit the SCCE website at for program updates!

SCCE Announces Annual Journalism Award

(From a January 10th email)

SCCE has established a new annual journalism award. The award will recognize a journalist who shows insight into the compliance and ethics field, and who promotes public and governmental recognition of the field and/or the value of compliance and ethics programs. The award will be given to a specific journalist or team of journalists.

Submissions may include printed or broadcast materials. SCCE prefers to have permission to reprint or reproduce the material on its Web site. The award recognizes contributions to the compliance and ethics field made at any time in the past; it is not limited to work published in any given year.

Submitted works must have a major focus on corporate compliance and ethics programs and/or compliance and ethics professionals—they should not only be about corporate crime, corporate governance, enterprise risk management, corporate social responsibility, or similar areas. Works sponsored by or focused on the products or services of any one service provider, such as a helpline service, software provider, or online training provider, are not eligible. Works appearing in publications intended solely for the compliance and ethics field (i.e., the trade press) are not eligible, unless the work has had a public impact. Blogs, Web sites, and books will not be considered.

Nominations may be submitted by anyone, including self-nominations. The nomination must include a copy of any material which forms the basis of the nomination and background information on the nominee. Selection decisions will be made by the SCCE. All determinations are final.

All nominations may be e-mailed to Kathy Aro:

Deadlines for submissions:
All nominations must be received by Friday, January 26, 2007.

The journalism award will be presented at the SCCE’s annual awards dinner in Chicago, IL, on Sunday, April 22, 2007, from 6–9 pm.

Visit SCCE’s News Room for this and other SCCE announcements.

Book Cover Delay

Well, obviously the new book's front and back covers are not posted yet, and for good reason:
We don't have the finalized images yet.

Hopefully we will have them up this next week. If not, expect them sooner rather than later.

In the mean time, we will be posting various compliance news and perhaps a few tidbits from the book(s).

Sunday, January 07, 2007

Links - Jobs and Blogs

They are a bit later than planned, but there are now some more links in the sidebar scrollboxes, specifically sites listing compliance jobs, and some blogs we came across related to compliance and ethics. We don’t specifically recommend any of them, nor do we check them all regularly, but most of you will probably find something interesting.

The new job listings sites are shown below (and will be in the Compliance and Ethics Link section of the sidebar), but the blogs will only be listed in the sidebar, in the new Relevant Blogs section.

Job Listings/Searching:

Compliance Week - General "Help Wanted Listings" are provided. There aren't too many, but if nothing else, they may serve as good examples.

HCCA - The Health Care Compliance Association lists various job openings in the Health Care field.

NSCP - The National Society of Compliance Professionals offers a "Job Line" section on its site.

SCCE - The Society of Corporate Compliance and Ethics has a page of listings.

ECOA - The Ethics and Compliance Officer Association offers JobLink, but you have to be an ECOA member to access it.

U.K. only sites - These two sites cater to compliance job seekers in the United Kingdom.

Compliance Online -, the "UK financial services compliance portal" lists almost 200 jobs.

ICA - The International Compliance Association has various jobs sorted by region.

Beyond all of these specific sites, you will find countless compliance and ethics jobs listed on the larger job search sites (Jobster, Monster, Yahoo, etc), and you may also find that some "headhunter" firms also deal with compliance.

Friday, January 05, 2007

Big News! A New Installment in the Project

As some of you may know, we have long planned a smaller, more mass market version of the book.

We have just finished looking over the galley proofs of that book, and it goes to press next week.

The new book, Building a Career in Compliance and Ethics: Find your place in the business world's hottest new field, will sell for only $29.95 and will be published next month, February 2007.

It will of course be available through SCCE, but we are not sure yet where else you may be able to get a copy. We will keep you updated.

Below, we have included the Table of Contents of this new book, and next week, we should have up the front and back covers of the book, so be sure to check back then.

Building a Career in Compliance and Ethics
Table of Contents



1. What Is This Field?

2. Why Should I Go into This Field?
Appendix 2A: Should I Go Into Compliance and Ethics? Some Questions to Ask Yourself

3. How Do I Get into This Field?
Appendix 3A: Resume Builders: Things You Can Do to Advance in the Compliance and Ethics Field.

4. What Are the Jobs in Compliance/Ethics?
Appendix 4A: What’s in a Name? Titles and Positions in the Compliance and Ethics Field

5. The Top Job In-house: Compliance Officer

6. Compliance Careers for Lawyers

7. Compliance Work in Privacy and Data Protection

8. The Voices of Experience: Advice from Those in the Field
Odell Guyton, Microsoft’s Director of Compliance
Rodney Smith, In-House Environmental, Health, Safety and Ethics Analyst
Joseph "Joe" Murphy, Former In-House Compliance Lawyer, outside advisor
Linda Lipps, In-House Compliance Officer
Richard Gruner, Law Professor and author in compliance

9. What Training and Certifications Are Available for Compliance Professionals?
Appendix 9A: Model Curriculum
Appendix 9B: University of Pennsylvania Corporate Lawyering Seminar: Compliance Basics
Appendix 9C: Certified Compliance & Ethics Professional (CCEP) Program Overview - Excerpts from the Society of Corporate Compliance and Ethics "CCEP Candidate Handbook"

10. Selling Compliance (and the Importance of Your Job) to Management
Appendix 10A: Benefits of a Compliance Program

Appendix A: Glossary and Acronyms in Compliance (from Integrity Interactive's Compliance Primer)
Appendix B: Sentencing Guidelines Definitions
Appendix C: Where Can I get More Information and Advice?
Appendix D: Compliance: War story reading
Appendix E: Ethics Centers
Appendix F: There Is More