Marshaling Integrity - John Lenzi

These excerpts are taken from our interview of John Lenzi, who we asked about working as an assistant compliance officer.

Part of the responsibility of the compliance officer in our corporation is to make sure that we’re not the only ones responsible for compliance and integrity...we’ve built a team called the “Compliance Leadership Team” (it has representatives from each function) that is very similar to what each of our operating companies has done, so that when you undertake a department and company risk assessment, you and I aren’t doing it as outsiders to finance, or outsiders to HR. You have HR people working through the process that you developed, to identify risks for their department, and risks that are shared by everybody...

There’s a difference between program funding and Sarbanes-Oxley funding, which really might focus more on the finance systems and accountabilities therein to make sure that everything is proper and accurate when you file your quarterly and annual report. There you’ve seen a lot in the press where companies and executives are saying, “It’s too demanding on companies. It’s too difficult and too time consuming and too expensive,” and some companies are even suggesting it’s not necessary. But it’s the law, and the important point is to get it right in the end.

John Lenzi'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.)

Marshaling Integrity - Alan Leibowitz

These excerpts are taken from our interview of Alan Leibowitz, a former Director of Environmental, Safety and Health, ITT.

What we’re going to find as we go forward as a profession is that it’s going to be less and less about being the policeman/the trainer, and more and more involvement in the strategic, operating and planning processes for these different organizations we work with. Ultimately, we’ll get to the level where each of the critical decisions made within an organization passes through or in conjunction with somebody whose focus is compliance, ethics, or ESH.

You can get a lot done without having to be abusive about it. I’ve seen people who think that they’re the cops, and that they need to have that sort of police mentality, when that’s not really very effective. You’re asking people to do things they won’t otherwise want to do, and they wouldn’t choose to do. There’s a resource cost, either in dollars or time. And you have to make sure everybody understands you’re not doing it to build an empire or for personal aggrandizement, but that you truly have their interests and the interests of the organization at heart.

Alan Leibowitz'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.)

Marshaling Integrity – Jeffrey Kaplan

It's been a few days since the last excerpt (so as to leave the Amazon post prominent--now the new button link should take care of that). From this point on through the end of the month, expect an excerpt or two every day leading up to the publication of the new book. On the 28th, expect excerpts from the five interviews also included in Building a Career in Compliance and Ethics.

These excerpts are taken from our interview of Jeffrey Kaplan, an outside compliance lawyer.

I also do compliance program assessments. That’s an assessment for a board of directors or senior executives as to how effective the company’s compliance program is. I’ve done those both individually and with a consulting firm called the Ethical Leadership Group, with whom I partner for certain engagements. These assessments entail understanding the company’s risks and how the company has responded to those risks in its compliance program. By talking to executives, employees and focus groups (and through other means), we assess how effective the response seems to be to the risks, and make recommendations as to what else can be done through the compliance program to address those risks.

I’ve certainly seen the field grow, seen companies that never to my knowledge were involved in this embrace it, at least to the extent of hiring compliance and ethics officers and having some kind of program. I’ve certainly seen it rise to a higher level of attention than it had in the early days (meaning the early to mid 1990s). I’ve seen more board involvement, which is obviously a good thing, and senior executives’ involvement, also a good thing. All of those things are good and suggest a field that has not yet come of age, but is heading in that direction. The other side of the coin, however, is that the experience of the late 1990s showed that many companies adopted the programs with great fanfare, and yet gradually lost interest in them. The compliance and ethics officers who were hired saw their positions diminish in importance along with the diminishing commitment of the companies.


The difficulty right now for anyone considering the field is to get a sense of whether the renewed interest—which is spawned by Sarbanes-Oxley, the revised Sentencing Guidelines, and related events—represents a fundamental long-term change, or just a bigger version of what happened in the 1990s, when there was, at least at many companies, initial attention which then diminished.

Jeffrey Kaplan'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.)

Big News: The new book is available for pre-order on Amazon!

We just found out that Amazon.com already has the book up for pre-order! You can order a copy now, and it will be shipped on February 28th.

As is often its way, Amazon.com has discounted the book, so rather than paying the full $29.95, you can pre-order the book now for just $19.77. That's a pretty significant discount (don't worry, we still get just as much from Amazon).

We're very excited to see our book up on Amazon and look forward to the new people it will draw to the field.

So spread the word, and order your copy here!

SCCE News: More on the 6th Annual C&E Institute

SCCE's 6th Annual
Compliance & Ethics Institute
(From a February 5th email)

September 9-11, 2007 | Sheraton Hotel, New Orleans

Call for Speakers
Proposals are due Friday, March 2, 2007

SCCE is currently accepting proposals for breakout sessions at its 2007 annual institute.

The SCCE annual institute is the primary education and networking event for professionals working in the compliance and ethics profession today. Over 500 compliance professionals will gather at this meeting to hear the latest methods and strategies for developing and improving corporate compliance and ethics programs.

For submission information, please visit SCCE's Web site or contact:

Kathy Aro
Society of Corporate Compliance and Ethics
6500 Barrie Road, Suite 250
Edina, MN 55435
Tel: 952-405-7925
kathy.aro@corporatecompliance.org

The submission deadline is Friday, March 2, 2007.

Marshaling Integrity – Pat Gnazzo

This excerpt is taken from our interview of Pat Gnazzo, who discussed his experiences and observations from working as a compliance officer.

I think most companies are reluctant to take on somebody that’s an unknown and put them into a position of confidence immediately. Then that individual is taking in issues where the company potentially has problems, and they have to rely on that individual to help them solve problems, rather than cause more problems. A better example to say is “The devil you know is better than the devil you don’t know.” So unless you have real need—meaning you’re under a deferred prosecution agreement or the government is forcing you to hire somebody that is higher profile—you’re going to want somebody that is a known commodity to you in your organization and somebody you can rely on.

Pat Gnazzo'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.)

Marshaling Integrity - Paul Fiorelli

This excerpt is taken from our interview of Paul Fiorelli, a professor and director of a business ethics center.

At the center, we work with faculty to try to increase their familiarity with business ethics; we’re trying to encourage them to integrate business ethics across the business curriculum. In addition to that, we also provide an outreach service for the business community, running a number of events during the year.

Paul Fiorelli'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.)

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.

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.)

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.)

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
and
-George Wratney, closed his Wratney Ombuds Concepts

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)

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:

Academy:
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.

Date/Location:

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

Click here to learn more

Workshops:
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.

Dates/Locations:
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 www.corporatecompliance.org for program updates!

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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.

Criteria:
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:
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: kathy.aro@corporatecompliance.org

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).