EthicsPoint Resources

Meeting government expectations for health care compliance.

Fri, 12 Mar 2010 19:03:31 GMT

This webinar will help health care companies identify and avoid common pitfalls after receiving a report of a potential health care compliance problem.

Business speaker talks of changing face of ethics

Fri, 12 Mar 2010 00:00:00 GMT

Business ethics speaker David Childers advised Elon students to move beyond a sense of ethics as a set of hard and fast rules and toward a life of integrity governed by a sense of personal accountability. Childers, president and CEO of Portland, Oregon-based EthicsPoint, Inc., spoke on campus March 11 as the 2010 Business Ethics Speaker for the Love School of Business. Click here for more!

Childers shares significance of business ethics

Fri, 12 Mar 2010 00:00:00 GMT

David Childers spoke on the importance and practice of business ethics on Thursday night as the 2010 Love School of Business' Ethics Speaker.

"I don't think the world we live in understands ethics and we often get polarized because things are considered either right or wrong," he said. "Rather, I believe in integrity, values, and personal accountability."

Despite the fact that most knowledge is already available within corporate America, Childers said there often fails to be effective communication between different parts of an organization.

"The more you know, the lower your risk," he said. "Part of what you need to do to build ethics is to get people to talk to one another and build transparency."

Beyond the Hotline: Best Practices in Issue Intake

Thu, 04 Mar 2010 16:12:03 GMT

Play by the Rules?

Wed, 03 Mar 2010 00:00:00 GMT

For the past few years I’ve used every forum at my disposal to discuss the inequity of a rule-based environment. You can never have all the rules, and even if you try to have all the rules you ultimately end up with an exhaustive list of requirements that no one can understand or hope to follow. Instead, I’m a huge believer in principle-based performance: Educate to values and integrity, establish clear guardrails and the “rules” for the most part will take care of themselves. The reality, however, is there are people who will choose to break a rule, push a line or tread on thin ice regardless of how much you instruct them otherwise. One example of an organization that maintains too many rules is the NCAA. For the record, to the disdain of most of my children (Go Ducks!), I bleed crimson and gold. My youngest daughter graduated from the University of Spoiled Children (or USC) and during her four years in Los Angeles I found myself completely rooted within the Trojan family. So, like every other loyal Trojan, I’ve been avidly following the NCAA’s attempt to discredit the University of Southern California. Bear in mind there is no allegation whatsoever that USC did not play by the NCAA’s rules. However, the NCAA claims that the family of former USC running back Reggie Bush sought and obtained virtually free housing in the Los Angeles area from an individual that had no direct affiliation with the university. In fact, there isn't even an allegation that any university officials or boosters were involved or even aware of the Bush family arrangement. Just like many other universities, USC took all the necessary steps to educate players and their families on NCAA rules regarding improper behavior. This is essentially what is referred to as compliance training in the corporate world. The issue is that a player and his family, along with an agent, chose to break the rules – not the university. However, the university is somehow held accountable. For those who’ve been reading my blog, you know I have been focused on the extension of compliance concepts to vendors, suppliers and agents because when they screw up it is the corporation who is found guilty – either in the courts or in the court of public opinion. USC has been serving time in both of these “courts” lately. USC will likely be found guilty of a violation of something – because the NCAA unfortunately has enough major and minor rules to make this happen. However, USC didn’t help its cause when it hired Lane Kiffin from the University of Tennessee as its new coach following the departure of Pete Carroll to the Seattle Sea-Chickens. Kiffin is no stranger to questionable behavior and he would not have been among my candidates for the job. According to the New York Times, in less than 14 months at Tennessee, Lane Kiffin committed six secondary violations and is under investigation for the use of student “hostesses” in recruiting. Three of Kiffin’s recruits were also dismissed from the team after they were arrested for armed robbery. Despite promising that his number one priority at USC was to run a clean program, Kiffin has already committed a minor violation by picking up a USC recruit at the airport in a limo. I fly into LAX quite often and while limos may be an odd sight in Ann Arbor, they are pretty common in Los Angeles. I’m not saying what he did was right, I’m just trying to focus on the situational norms – not a bunch of rules. If Kiffin was trying to impress some kid by showing him the ‘So-Cal’ lifestyle, then Kiffin was in the wrong. If he just didn’t want to fight the traffic on I405 and wanted to talk to the kid along the route, what was the harm? Plenty. Kiffin knew what he was doing was wrong. The principle is “inappropriate influence” and he chose to ignore it. I am not suggesting that if the NCAA gets rid of all of its rules that universities will automatically clean up their athletic programs. I am simply suggesting that all the silly little rules get in the way. Minor rules must be made for breaking otherwise they wouldn’t be classified as minor?! If the NCAA created and verbalized a clear set of guidelines to every stakeholder (coaches, players, athletic directors, boosters, agents and family members) and enforced them swiftly and fairly, then I think everyone would get the message. I've been preparing this week for a talk I will give in a couple of months on gaming fraud – specifically focused on Native American casinos. What I have learned is that Native American gaming establishments are not unique and the fraud and abuses that are prevalent in Las Vegas are just as prevalent in Tulsa, Oklahoma. What I have also learned is that the sophistication and pride within Native American tribes makes a huge amount of difference in the volume of fraud-based activity. The tone from the Principal Chief and the value set by which the tribe members hold themselves accountable is the real measure by which you should begin to rank or rate the fraud potential. It should be the same for college athletics. Coaches should set the tone and lead by example, and the alumni must remember that the true sense of winning in college athletics isn’t always measured by trophies or scoreboards.College sports are dominated by the “what have you done for me lately" or "we need to win now" attitude. This can be likened to the sentiment in the corporate world which saw the downfall of Enron and the like, too much focus on short-term profits and not enough focus on long-term growth. Universities need to realize the eventual damage this attitude may inflict down the road if they don’t build a program based on integrity and principle-based performance.

Ethics by Fear and Contract – The Explosion of New Rules and Risks in Federal Contract Activities; The Need for Effective, Preventive Compliance Measures

Mon, 01 Mar 2010 16:02:05 GMT

Join Alan Dickson, Partner, Holland & Knight LLP, as he shares the dramatically intrusive recent developments in the rules of ethical and compliant business operations concerning U.S. Government contracting and subcontracting and the increasingly severe consequences of failure to erect effective compliance measures.

Not Your Father’s Board Training - What Today’s Boards Need to Know About Ethics and Compliance

Tue, 23 Feb 2010 15:26:04 GMT

Attendees will better understand the context and rationale for modern board training and engagement on compliance and ethics, including specific recommended techniques and best practices, to meet current heightened expectations for board oversight and discharge duty to prevent corporate wrongdoing.

Principle-Based Leadership: Setting the Tone

Mon, 22 Feb 2010 00:00:00 GMT

As a member of numerous web 2.0 forums, I oftentimes listen to esoteric rants and the splitting of hairs in the Governance, Risk and Compliance world. Every so often, however, I get the opportunity to read something that is refreshingly lucid.All of us in the compliance world struggle with moving the needle and improving the “ethical quotient” of our organizations. For the last few years, I have come to believe it isn’t the “transformation” of people that is important, it is the tone from the top and the people you hire. Setting the tone and expectation of principled integrity for your organization and interjecting the right DNA into an organization can have a greater impact than any training program. When people are faced with an ethical dilemma they often turn to the example set by leadership or their co-workers. Having well-grounded individuals in your organization that embrace the organization’s goals and know the difference between right and wrong will prove invaluable.Recent comments by Daniel Roberts of RAAS consulting made me take notice. Dan discussed the obituary of one of the translators at the Nuremberg War Crimes Tribunal and recounted this person's recollection of the interrogation of Rudolf Höss, the former head of Auschwitz. The translator asked Höss if he had ever sought to enrich himself off the Jews he was killing. Apparently Höss replied, "What kind of man do you think I am?"This is the verbatim quote from Dan that sparked this post: “Ethics are defined by what we believe to be right and wrong. Höss was not living in an ethical vacuum, just in a place/time in which the ethics were so distorted from our understanding of the word as to earn him a place in history as one of the most loathsome humans ever. Yet he considered himself ethical.Start by looking at the ethical norms or leadership and you will discover the ethical norms of the organization. An ethics program by itself is noise. It is the actual behaviors of leadership that matter. If they cover up inappropriate or even criminal behavior (seen it done), or simply refuse to truly investigate it (seen it done), punish those reporting the potential abuse (seen that done too), then all the ethics handbooks and programs are meaningless.”Thanks Dan for reminding us that inspiring principled based performance and a sense of “presence,” not the issuance of rules and requirements, is how we will change our organizations.

Lessons Learned & Benefits Realized from Taking an Enterprise Wide Approach

Tue, 16 Feb 2010 11:56:14 GMT

Ethics: Now More Than Ever

Tue, 16 Feb 2010 10:31:13 GMT

Join Dr. Mac McCrory, Adjunct Instructor at Spears School of Business, Oklahoma State University, for an intriguing conversation focused on how ethics deals with questions of virtue at all levels and how daily decisions impact your personal and professional life.

Government Transparency: An Oxymoron

Tue, 16 Feb 2010 00:00:00 GMT

For almost a decade, EthicsPoint has provided software and services that help organizations gather, review and resolve issues and events that impact their operations. Most of these issues and events are risk factors that can dramatically affect confidence and share value or result in a serious monetary loss. At EthicsPoint, we provide services to a multitude of organizations from a variety of industries. But if you peel back the onion, you will notice that we service only a handful of municipalities and no government agencies, I’ve often wondered why that is.

I used to believe it was because EthicsPoint delivers its services in the “cloud” as a software-as-a-service provider and doesn’t provide a premise offering that can be put behind an organization’s firewall. But lately I have come to the conclusion that transparency and government -any government - simply doesn’t exist. For all practical intents, the US government became a venture capital company in 2009 and EthicsPoint does service several financial institutions. Therefore, I don’t believe it’s the function of the organization that dictates a lack of transparency, but rather something inherent in the way our government is run. As a tax payer this is frustrating to me.

I was a history major in college and looking back I don’t know if real transparency has ever existed in our government. The reasons for this lack of transparency may be varied, but the result has been the same. For instance, in the earliest days it was a literacy void and the general public’s inability to read helped support our representative form of government. Next, it was a genuine communication failure in reaching the populous due to distance and an unreliable “yellow” journalistic press. Then it was a protectionist view – because we couldn’t let the commies know what we were doing. Today it is just the “way things are done.”

It is somewhat akin to the situation of a plumber not showing up to your house and when you express your discontent to a co-worker she immediately understands and says, “Yeah, that’s just the way those guys are.” We’ve become so accustomed to bad government that we roll our eyes and say, “Yeah, that’s just the way those guys are.”

Several months ago I blogged about “hating the word Ethics” and repeatedly expressed that I personally had difficulty drawing a definitive ethical line when dealing with certain issues or events in the compliance world. Earlier this week, Mark Meaney, the number two man at the city of Chicago’s Office of Compliance, resigned amid allegations he mishandled an intern’s 2008 sexual harassment complaint against a top official at Chicago’s 911 emergency center. I had the opportunity to work with Mark and I personally find this hard to believe. He and his boss Tony Boswell had the very unenviable and daunting task of developing and running the compliance department for the city of Chicago.

The city of Chicago has been monitoring city hiring since the 2005 scandal that found a member of Mayor Daley’s staff guilty of rigging city hiring and promotions to benefit pro-Daley political workers. However, the city’s hiring monitor and other consultants have proven inefficient and, according to the Chicago Sun-Times, have cost Chicago taxpayers $6.2 million. It has also been reported the city’s hiring monitor has been accused of falsifying allegations of misconduct by Boswell and Meaney in order to discredit them and gain total control of the city’s hiring process. This is where that ethical line starts to blur.

The situation gets better or worse depending on your perspective. If you know anything about whistleblowing, it is the responsibility of the compliance officer to protect the organization from any “retribution” resulting from an individual coming forward. The ethical line blurs even further once you know the 911 center official in question is a high-ranking deputy who was stripped of his responsibilities in 2008 after blowing the whistle on alleged contract irregularities involving Motorola that cost taxpayers $2.25 million.

Mark’s quote in the Sun Times says it all. “It was a privilege to have been part of something that had never been tried before; corporate-style compliance in municipal government…Mayor Daley should be applauded in his efforts at true reform. Unfortunately, fear and blame seem to be winning over culture change. I return to the private sector with no regrets for having spent the last two years working with some of the best public servants anywhere.”

What a twisted web. You have heard me say many times the role of a compliance officer is not black and white. The role requires discernment and often a balancing act of issues that would make Solomon shudder. This is no different in government or the private sector. Let’s consider for a moment that the evidence in this case is inconclusive (let me be clear that I have no inside information on this matter). Yes, there is an accusation but it is difficult to fully substantiate. There are multiple variables in play and the subject of the investigation is a person who “blew the whistle.” Appropriately, you might have some trepidation that the accusations could be retaliatory. So I ask you – what would you do?

I like Mike and Tony, which makes this difficult for me. It upsets me that in the public sector what some members of government say in front of a microphone, even for their own benefit or gain, often shapes the court of public opinion, and good guys pay the price.

Conducting Internal Employee Investigations Outside the US - Part 2

Thu, 11 Feb 2010 00:00:00 GMT

Within the US, internal investigations into suspicions or allegations of employee misconduct follow an increasingly-well-defined approach. But conducting a US-style investigation abroad raises high hurdles under local employment and data laws.

Stage II. Initial Response to an Allegation/Suspicion: Conduct a thorough and legally compliant initial response to an allegation or suspicion of misconduct outside the US.

Conducting Internal Employee Investigations Outside the U.S. – Part I

Thu, 11 Feb 2010 00:00:00 GMT

Conducting Internal Employee Investigations Outside the US - Part 3

Thu, 11 Feb 2010 00:00:00 GMT

Within the US, internal investigations into suspicions or allegations of employee misconduct follow an increasingly-well-defined approach. But conducting a US-style investigation abroad raises high hurdles under local employment and data laws.

Stage III. Interviewing Witnesses: Interview witnesses in a way that complies with local employment and data protection laws.

Global Sourcing: The Next Level of Risk

Wed, 10 Feb 2010 00:00:00 GMT

As I mentioned in my last posting, the Justice Department is becoming more serious about Foreign Corrupt Practices Act (FCPA) enforcement and the recent sting operation in Las Vegas certainly reflects the hard-line, somewhat insidious, strategy of their new playbook. While the indictments involved individuals in the defense/arms industry, I expect enforcement to increase across many industries.

Aside from the recent events foreboding stricter enforcement, some of my peers are also predicting a surge in activity. For example, a former US Attorney assured me this sting was only the beginning and that two more will emerge in the coming months. Dan Karson, an executive managing director for Kroll, said the recent sting operation has “sent chills” down the spine of small and mid-sized businesses who may have falsely hoped the Justice Department’s interest in FCPA was reserved for global Fortune 500 companies.

This increasing level of FCPA enforcement has major implications for companies and how they choose supply chain partners. In the past, a partner’s misconduct may have impacted the organization but didn’t necessarily come with the immediate publicity and massive fines experienced today. This is why companies who never considered making the investment are now starting to consider extending their internal compliance expectations and training throughout their supply chain. Cultural and language barriers aside, this remains a daunting task.

Global sourcing relationships have always been about trust and service – but this is new territory that stretches the boundaries of these relationships. The two most important factors in mitigating an FCPA violation in this instance are selecting the right vendor, supplier or agent from the start and developing a process that ensures transparency. I will be writing much more on this topic as the year moves forward. Let me know what you think – can you expect a vendor, supplier or agent to act in accordance with a company’s compliance policies, procedures and guidelines?

EthicsPoint and LexisNexis Form Alliance to Enable Companies to Mitigate Risk, Reduce Penalties and Protect Their Reputation

Tue, 09 Feb 2010 00:00:00 GMT

PORTLAND, Ore./New York —February 9, 2010 —EthicsPoint, the global authority in hotline and anti-fraud reporting and case management services, and LexisNexis, a leading global provider of content-enabled workflow solutions designed specifically for professionals in the legal, risk management, corporate, government, law enforcement, accounting, and academic markets, announced an alliance to enable organizations to maintain a culture of integrity and compliance. With this alliance, the EthicsPoint Issue and Event Manager Suite of software solutions will be featured as a critical component of the LexisNexis Compliance Solutions offering.

Organizations today face not only an ever-expanding list of regulatory mandates to which they need to maintain compliance, but also governmental agencies that are increasing their enforcement activities around these mandates. In such a climate, it’s imperative that companies both closely monitor and understand the impact of regulatory changes on their business as well as implement policies and processes to ensure potential risks are brought forward and investigated consistently and efficiently. The LexisNexis and EthicsPoint partnership addresses this issue through software and information services.

“We are pleased to announce our alliance with EthicsPoint,” said Renee Citera, Vice President – Research & Compliance of LexisNexis. “We evaluated many vendors for inclusion in this program, and believe EthicsPoint’s industry-leading solution is a natural fit within the LexisNexis Compliance Solutions and will help our clients protect their reputations, promote an ethical workforce and maintain an effective compliance program.”

LexisNexis Compliance Solutions include cutting-edge compliance tools, world-class regulatory intelligence and content, and access to industry-leading compliance experts – a robust combination that yields a unique compliance package unavailable elsewhere on the market.

“It’s clear to me that the pace and complexity of new regulations will continue unabated, the risk of enforcement actions is greater now than ever before, and automating your compliance efforts through software is required to stay current in this environment,” said David Childers, CEO of EthicsPoint. “The combination of the EthicsPoint solution and LexisNexis services and expertise within the legal and compliance realm provide true value for those companies attempting to navigate these complex times.”

About EthicsPoint

EthicsPoint is the global authority in integrated hotline and case management solutions. We help our clients protect their culture and reputation by facilitating the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,300 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

About LexisNexis

LexisNexis® (www.lexisnexis.com) is a leading global provider of content-enabled workflow solutions designed specifically for professionals in the legal, risk management, corporate, government, law enforcement, accounting and academic markets. LexisNexis originally pioneered online information with its Lexis® and Nexis® services. A member of Reed Elsevier [NYSE: ENL; NYSE: RUK] (www.reedelsevier.com), LexisNexis serves customers in more than 100 countries with 18,000 employees worldwide.

Learn Answers to the Latest Top 10 Most Frequently Asked Questions for Issue and Event Manager Pro & Enterprise

Fri, 05 Feb 2010 12:21:15 GMT

Know about city fraud, waste? Call new tip line

Tue, 02 Feb 2010 00:00:00 GMT

Anyone who suspects fraud, waste or misuse of city resources by Portland employees now has a way to report it.

City Auditor LaVonne Griffin-Valade announced the city’s first public fraud alert line is working. Concerns can be reported by phone or through a secure Web site.

Read more at the link below!

Conducting Internal Employee Investigations Outside the U.S.

Fri, 29 Jan 2010 12:15:18 GMT

Join Donald C. Dowling, International Employment Counsel, White & Case LLP, for a hands on webinar on conducting internal investigations into the international context. You will learn how to avoid missteps and legal violations in conducting investigations abroad.

Cleveland school board gives protection to whistleblowers

Fri, 29 Jan 2010 00:00:00 GMT

CLEVELAND, Ohio -- The Cleveland school board is trying to regain the public confidence it lost in a highly publicized purchasing scandal.

The board on Tuesday adopted a whistleblower policy that forbids retaliation against employees who report fraud and other misconduct.

Former Cleveland schools Chief Operating Officer Daniel Burns.Board members also approved an employee code of ethics, expanded a policy on conflicts of interest, authorized an independent audit of a state-funded construction program and ordered the district's internal auditor to report to the board instead of to the chief executive officer.

The votes came during a meeting at Whitney M. Young School, in front of about 200 people who had come largely to complain about proposed school closings.

State Auditor Mary Taylor recommended a whistleblower policy as part of a special audit released in December.

The audit found that former schools Chief Operating Officer Daniel Burns approved paying more than $160,000 for printing equipment and consulting the district never received. Burns and Toledo businessman John Briggle are charged with theft, racketeering and tampering with records.

Taylor's office did not find that lack of a whistleblower policy abetted the scandal -- in fact, a suspicious employee brought it to light. But she said such policies help unearth wrongdoing.

The other new policies had been discussed for some time. Board member Natalie Peterson, a lawyer who helped draft the measures, hopes the package reassures wary taxpayers.

"We want to send a strong message from the top," she said. "We're serious about preventing fraud, corruption and other inappropriate behavior."

The whistleblower policy calls for outside management of a fraud hot line the district launched last year.

The line has been managed internally.

About a year ago, the Jefferson County, Ky., school district, which includes Louisville, hired Oregon-based EthicsPoint Inc. to set up and run a telephone and online system for reporting suspected financial fraud. The district started the system after an anonymous letter led to the conviction of a principal who steered $70,000 to sham educational consultants.

The service has so far cost the district about $18,000 and generated 35 calls. Most involved problems such as unauthorized visitors in schools, but tips have landed a few employees in trouble for offenses such as habitual tardiness. No additional fraud has been found.

Director of Accounting Eddie Muns said having an outside manager is worth the expense. He said it gives employees faith that they won't face reprisals and their complaints won't be squashed.

The board approved giving $180,000 to the Bond Accountability Commission for audit of the school district's construction program. The independent commission monitors the spending of local tax money for school construction.

Board Vice Chairwoman Louise Dempsey urged the commission to quickly complete the audit. She noted that some of the 'companies involved in the program have been tied to a probe of corruption in county government.

Commission Vice Chairwoman Sandra Morgan said the panel was fulfilling its responsibility by asking for the audit.

"We didn't approach this with an 'ah-ha' agenda," she said. "We're not looking to nab anyone."

Morgan said she would prefer to hire auditors from outside Northeast Ohio or the state. She said she hopes the audit will be done in six months.

Standing Ovation

Wed, 27 Jan 2010 00:00:00 GMT

I just read Scott McNealy's farewell letter to Sun employees and was struck by a couple of paragraphs I'd like to share:"What we did right and wrong at Sun over the years might make for interesting reading. However, I am not a book writer. I am a husband, father of four, and a builder and leader of people who want to make a difference.But spare me a bit of nostalgia. Not of the mistakes we made, and lord knows I made a ton. But of the things we did right and well.First and foremost, Sun innovated like crazy. We took it to the limit (see Eagles). And though we did not monetize our inventions as well as we could have, few companies have the track record in R&D that we had over the last 28 years. This made working at Sun really cool. Thanks to all of you inventors and risk takers who changed how we live.Sun cared about its customers. Even more than we cared about our own company at times. We looked at our customer's mission as more important than ours. Maybe we should have asked for more revenue in return, but our employees were always ready to help first. I love this about Sun, which I guess makes me a good capitalist, if not a great capitalist.Sun did not cheat, lie, or break the rule of law or decency. While we enjoyed breaking the rules of conventional wisdom and archaic business practice, and for sure loved to win in the market, we did so with a solid reputation for integrity. Nearly three decades of competing without a notable incident of our folds going off course morally or legally. Not all executives and big companies are bad. Really. There are good companies out there. Special thanks to all of my employees for this. I never had to hide the newspaper in shame from my children."While tempted to comment on all I find admirable in these paragraphs, I think it's better to let them stand on their own. I tip my hat to Mr. McNealy and all the employees at Sun.

2009 Most Influential in Business Ethics List

Wed, 27 Jan 2010 00:00:00 GMT

Last week I had the opportunity to spend a day with one of our newer clients, learning about their Compliance and Ethics program, goals for next year and overall philosophy on fostering a culture based on ethical decision making and caring for their customers. One of our topics for discussion was quantifying the return on their ethics and compliance programs, which is often a difficult number to ascertain. While it's somewhat straight forward to calculate time savings in various stages of the various business processes that are part of your GRC programs, it becomes more difficult to calculate the full impact. For instance, how do put a number on not being fined for FCPA violations, or not having a class-action lawsuit filed against you for bad labor practices, or increased sales from consumers who trust your business more than your competitors? It was a lively discussion, and one that I hope to have more often in 2010 as I visit more of our customers.I was reminded of the conversation when I saw Ethisphere's 2009’s 100 Most Influential People in Business Ethics list last week. The list is comprised of people in eight different categories spanning government, non-profits, education and corporations. When you look at the names of the companies represented by these individuals and consider their market success, you can begin to get a good idea that while it may be difficult to exactly quantify the ROI of a culture of integrity, there clearly is a strong correlation between culture and business success.I was especially pleased to see a number of EthicsPoint's customers represented on the list, and would like to congratulate the following people for their outstanding efforts and accomplishments in the field of business ethics over the past year:Peter Solmssen – General Counsel, SiemensSharon Allen – Chairman, DeloitteBill Gates – Founder, Bill and Melinda Gates FoundationKathleen Edmond – Chief Ethics Officer, Best BuyBrian Martin– SVP and General Counsel, KLA-TencorPascal Bourdin – SVP, and GM of European Chocolate Business, KraftCongratulations to all the winners!

Back in the Saddle

Fri, 22 Jan 2010 00:00:00 GMT

This past year was a difficult one for most companies. I am happy to say that EthicsPoint not only survived but thrived during one of the worst economic periods in recent memory. But the work load to succeed took its toll and my conversation with you suffered. To all of you who took the time to link into my blog last year, I want to reiterate how much I enjoy sharing my thoughts in a blog format and that I am dedicating the time and discipline this year to be attentive to this dialog.My blog will soon take on some new dynamics. I also have one of our analysts working with me to ensure I remain current and vocal around the important topics in GRC. A new section of my blog site will be dedicated to monitoring important legislation or regulations. There are many new areas of fraud and risk evolving and the compliance emphasis on FCPA, supply chain management and green initiatives is growing exponentially. I hope to keep current on each of these and share my thinking both here and thru Twitter.This past week the FBI showed that it was serious about FCPA enforcement. Their sting efforts were very effective. Dan Karson of our partner Kroll Worldwide said in a recent article,“This [sting] has sent a chill down the back of a lot of companies…Mainstream companies, not just from the defense industry, are now wondering, 'Am I at risk?'” I have been suggesting for months that small and midsized companies need to better understand their supply chain and extend their compliance programs to these stakeholders. With these new "rules of engagement" the risk level within supply chains just moved to a new DEFCON level. More comments to follow and please comment and tell me what you think.

Tips and Tricks for Using Pivot Grids

Thu, 21 Jan 2010 12:11:46 GMT

Frequently Asked Questions in 2009

Thu, 21 Jan 2010 11:59:00 GMT

Pivot Reports - Overview - Winter 10 Release

Thu, 14 Jan 2010 15:23:46 GMT

Overview of Pivot Report Functionality included in Winter '10 Release of IEM Professional and Enterprise

New EthicsPoint Software Updates Enhance Advanced Analytics

Tue, 12 Jan 2010 00:00:00 GMT

Updates to Issue and Event Manager Professional and Enterprise Improve User Experience, Drive Productivity

Portland, OR (PRWEB) January 12, 2010 -- EthicsPoint, the global authority in hotline and anti-fraud reporting and case management services, today announced updated versions of its Issue and Event Manager (IEM) Professional and Enterprise solutions. The updates to IEM Professional and Enterprise deliver to the market a more effective method to analyze data and spot trends in the ultimate pursuit of mitigating enterprise risk while also providing more facilities for EthicsPoint customers to interact with us and other users of our solutions.

With the Winter ’10 release, IEM Professional and Enterprise now ship with Pivot Reports as part of the Advanced Analytics module. Leveraging advanced charting tools, EthicsPoint Pivot Reports deliver the ability to summarize, analyze and explore data in a highly configurable, non-prescriptive manner. With the addition of Pivot Reports users will be able to create comparisons across a multitude of data dimensions facilitating trending and pattern analysis.

“Our customers recognize the value of consistently approaching how they collect, investigate, document and resolve reports of misconduct within their operations. These activities require workflow-oriented software and tools to help mine this data to identify patterns and trends. This improvement to our analytics engine is yet another example of our commitment to innovation and product leadership across an increasingly advanced, data-driven domain.” said David Childers, CEO of EthicsPoint.”The Winter ’10 release provides our clients the flexibility to define their own custom analysis in an extremely intuitive ‘drag and drop’ format.”

Also included in this update is a totally refreshed Customer Resource Center designed to facilitate customer satisfaction by providing a place for users and administrators to engage one another, and share best practices and advice in addition to accessing documentation and training materials. New, smarter search functionality has also been added to the Knowledge Base, reducing the time it takes for users to locate information and solve problems. The Customer Resource Center also offers a dramatically more powerful support ticketing system targeted at quickly connecting users to a client services representative who can provide assistance.

About EthicsPoint

EthicsPoint is the global authority in integrated hotline and case management solutions and enable organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by facilitating the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2300 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

Homepage Updates in Summer 09 Release of IEM Pro and Ent

Mon, 11 Jan 2010 13:33:53 GMT

Walkthrough of changes to the Homepage - Summer 09 Release

What's New in Summer 09 Release

Mon, 11 Jan 2010 12:06:02 GMT

What's new - Summer 09 Release

User Training - Professional and Enterprise

Mon, 11 Jan 2010 11:43:35 GMT

User Training for IEM Professional and Enterprise

Administrator Training - Professional and Enterprise

Mon, 11 Jan 2010 11:41:49 GMT

Admin Training - Professional & Enterprise

Hotlines in the European Union

Fri, 08 Jan 2010 20:30:21 GMT

Join Amanda Mayhew, General Counsel, Corporate Secretary and Privacy Officer of EthicsPoint and Mike Hyatt-Evenson, Director of Client Services, as they discuss recent legal rulings on the use of hotlines within European Union countries with strict data privacy laws.

Gaining Efficiency & Insight by Taking an Enterprise Approach to Issue & Event Manager

Fri, 08 Jan 2010 20:27:21 GMT

Grid Controls, Search Capabilities and Analytics

Fri, 08 Jan 2010 20:25:02 GMT

Data Privacy

Fri, 08 Jan 2010 20:08:13 GMT

Driving Program Awareness and Insight

Fri, 08 Jan 2010 20:06:27 GMT

Due to technical difficulties, the recording of this webinar is not available.

What are Issue and Event Manager (IEM) Report Forms? Learn About Different Types of Intake Models and the Value of IEM Report Forms

Fri, 08 Jan 2010 19:11:10 GMT

Professional Services: Lessons Learned from a Year in the Trenches

Fri, 08 Jan 2010 19:09:54 GMT

Data Integration Management Services: From HRIS Data to Legacy Data Integration

Fri, 08 Jan 2010 19:08:46 GMT

Due to some technical problems, this recording is not available.

Back Due To Popular Demand! Learn Answers to the Latest Top 10 Most Frequently Asked Questions

Fri, 08 Jan 2010 19:06:50 GMT

Get Creative! Are You Optimizing Your Hotline Portal Page to Increase Employee Awareness?

Fri, 08 Jan 2010 19:05:12 GMT

Tricky Issues! Conducting C-Suite Investigations

Fri, 08 Jan 2010 19:04:40 GMT

Best Practices to Promote Your Code Of Conduct

Fri, 08 Jan 2010 19:04:05 GMT

We all know that simply having a code of conduct doesn't mean employees will understand it, adhere to it, or even know that it exists. The challenge is to find creative ways to communicate it internally so it will encourage employees to become active participants in upholding your company's high standard of business ethics.

Quick Tips & Tricks That Will Make Your Life Easier - for Professional and Enterprise Clients

Fri, 08 Jan 2010 19:03:43 GMT

EthicsPoint Unveils New Hotline Benchmarking Data! How Do You Compare?

Fri, 08 Jan 2010 19:02:11 GMT

Fine-Tuning Your Case Management Workflow

Fri, 08 Jan 2010 19:01:42 GMT

Unraveling the Mysteries Around User Setup in Professional and Enterprise

Fri, 08 Jan 2010 19:00:33 GMT

Take Advantage of Valuable GRC Resources Through our OCEG Partnership

Fri, 08 Jan 2010 18:59:41 GMT

Best Practice Advice for Improving Employee Awareness of Your GRC Program

Fri, 08 Jan 2010 18:59:11 GMT

Recording is unavailable due to technical issues

Learn About Intake Models and the Value of Web Intake Forms

Fri, 08 Jan 2010 17:17:51 GMT

Data Privacy Supplemental Guide

Fri, 08 Jan 2010 00:00:00 GMT

EthicsPoint Issue and Event Manager Standard, Professional, and Enterprise provide you with the incident and administrative tools necessary to handle data privacy report and cases.

This guide presents general best practices and gives detailed instructions for handling data privacy reports and cases. It also includes special sections for administrators to manage users who are assigned to handle data privacy reports and cases.

MobileLink User Guide

Fri, 08 Jan 2010 00:00:00 GMT

EthicsPoint MobileLink provides a streamlined version of Issue and Event Manager on your web-enabled handheld device, allowing you to immediately evaluate incoming reports or cases, so you can respond quickly to time-sensitive issues.

Q and A Employees

Fri, 08 Jan 2010 00:00:00 GMT

Sample Questions and Answers from Employees

Sample President's Letter to Employees

Fri, 08 Jan 2010 00:00:00 GMT

Sample of a president's letter to employees.

Professional Enterprise Admin Guide

Fri, 08 Jan 2010 00:00:00 GMT

EthicsPoint Issue and Event Manager Professional/

Enterprise offers a comprehensive set of administrative tools to give you the flexibility you need to manage your users and their ability to work with cases.

This guide introduces and explains

basic concepts used in the administration of Professional/

Enterprise, in addition to in-depth descriptions of the administrative tools. Look for real world examples

and tips that you can use as starting points when you set up your own system.

How To File a Report

Fri, 08 Jan 2010 00:00:00 GMT

Sample employee Instructions on how to file a report

FAQ for Employees

Fri, 08 Jan 2010 00:00:00 GMT

FAQ for employees

Roll Out Letter to Employees

Fri, 08 Jan 2010 00:00:00 GMT

President's Letter to Employees Version 2

Fri, 08 Jan 2010 00:00:00 GMT

IEM Professional Enterprise - Release Notes Winter '10

Fri, 08 Jan 2010 00:00:00 GMT

Release notes for Winter '10 version of IEM Professional and Enterprise

Professional Enterprise User Guide

Fri, 08 Jan 2010 00:00:00 GMT

EthicsPoint Issue and Event Manager Professional and Enterprise

put an array of incident tracking tools in your hands, allowing you to capture and track multiple aspects of any issue or event.

This guide is organized into sections that correspond to the tabs you see at the top of Issue and Event Manager. To learn about Professional and Enterprise features, refer to the section that matches the tab.

President's Letter to Employees Version1

Fri, 08 Jan 2010 00:00:00 GMT

Executive Director Letter to Staff for NonProfits

Fri, 08 Jan 2010 00:00:00 GMT

Sample executive letter to staff - announcing ethics program.

EthicsPoint Establishes International Data Center to Meet Global Client Needs

Tue, 22 Dec 2009 00:00:00 GMT

Facility powers secure, reliable, sustainable systems to support international demand

PORTLAND, Ore. — December 22, 2009 —EthicsPoint, the global authority in integrated hotline and case management services, today announced that it has established an international data center in order to meet growing demand for its software-as-a-service (SaaS)-based offerings for governance, risk and compliance programs. This investment makes EthicsPoint the first hotline and case management vendor with a data center outside the United States.

Meeting Client Needs Globally

The new international data center is part of EthicsPoint’s strategic growth plan and the company’s continued commitment to addressing customer needs. Currently, EthicsPoint has over 2,300 clients; approximately 40 percent of which have international operations. With demand from organizations headquartered outside of the United States growing, the new data center enables EthicsPoint to better meet the needs of existing and prospective customers with specialized data protection and data privacy demands. For example, the new facility will provide access to a data-privacy-approved location in compliance with the Article 29 Working Party of the European Union.

“The decision to build our new international data center reflects our increasingly diverse global customer base,” said David Childers, CEO of EthicsPoint. “This data center will not only allow us to scale to provide reliable and secure on-demand delivery for our clients while addressing their data privacy concerns, but also reflects our strong commitment to protecting Earth's natural resources by implementing sustainable practices throughout our business.”

Supporting Sustainable Business Goals

EthicsPoint selected the Canadian RackForce data center in Kelowna, British Columbia as the location for this data center. The facility, which first opened in July 2009, has been recognized as one of the greenest and most advanced data centers in North America. It leverages state-of-the-art server hardware and virtualization to minimize energy consumption. Its power comes from Renewable Hydro Power with an extremely low CO2/kWh footprint – 1/100th of coal fired electrical generation.

EthicsPoint’s application system currently processes an average of more than 100,000 transactions per day with greater than 99 percent system uptime and sub-second average server response time. The expanded storage and processing capacity will help meet current and projected user needs for availability, responsiveness and security.

About EthicsPoint

EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by facilitating the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,300 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

Contact:

Toni Cole, Edelman

503-471-6841

toni.cole@edelman.com

Maintaining an Ethical Workplace: Third-party employee hotline, case management solution helps CDW keep watch

Wed, 09 Dec 2009 00:00:00 GMT

It was an infraction, an apparently isolated breach of corporate policy that could have gone entirely unnoticed. A manager bought a hot new product before its official release date with his employee discount and then sold the product on eBay for a profit.

If it had remained unnoticed and undocumented, the company might have missed the fact that many others were engaging in similar non-ethical behaviors, putting the company’s relationship with its vendors at significant risk and costing them selling opportunities with customers.

Management at Vernon Hills, Ill.-based CDW, a provider of business-to-business technology products and services, wanted to ensure that, as much as possible, incidents like this would not go unnoticed in its operation.

To accomplish this, CDW’s management focused on two related goals. First, to give its co-workers a safe outlet to report suspected violations and seek guidance on ethical and compliance issues. Second, to develop a robust incident management process which would allow it to aggregate data about policy violations so that it could identify issues and trends early.

ACUA Annual Conference

Fri, 04 Dec 2009 12:43:11 GMT

EthicsPoint will be exhibiting at ACUA's 2010 Annual Conference.

ECOA 18th Annual Business Ethics and Compliance Conference (ABECC)

Fri, 04 Dec 2009 12:25:35 GMT

EthicsPoint will be exhibiting at ECOA's 18th Annual Business Ethics and Compliance Conference (ABECC)

SCCE 2010 Compliance & Ethics Institute

Fri, 04 Dec 2009 12:12:14 GMT

EthicsPoint will be exhibiting at SCCE's 2010 Annual Compliance & Ethics Institute Conference.

EthicsPoint raises questions, doubts

Thu, 03 Dec 2009 00:00:00 GMT

EthicsPoint, the third-party whistleblower service adopted by Seattle University last month, has sparked both acclaim and outcry from students and faculty.

Though some speculated EthicsPoint was implemented to handle only ethical issues or inappropriate behaviors, the university purchased the software in compliance with the Sarbanes-Oxley Act of 2002, the post-Enron legislation which requires companies and other institutions to handle any embezzlement allegations and protect the identity of whistleblowers. The university will still handle ethical issues with the protocol outlined in Seattle U’s code of conduct.

Reports submitted to EthicsPoint are forwarded to the administration.

Still, the outside approach to gathering complaints has sparked opposition from some members of the university community.

“When I first saw it, I thought they we were going to institute an honor code. I went back and read it, and I thought ‘My God, this is Orwellian,’” said David Madsen, history professor. “Where do these reports go […] who’s getting it?”

An institution using an independent program to oversee internal—and sensitive—affairs at the university is in no way unique. However, according to Jerry Huffman, assistant vice president of human resources, EthicsPoint is not only a secure alternative to traditional handling of ethics cases, but a preferable one.

Ethics Bubble?

Thu, 03 Dec 2009 00:00:00 GMT

Image by ecstaticist via FlickrJust spent some time reviewing the Ethics Resource Center's 2009 National Business Ethics Survey . There's some very interesting data in the report - some of which seems contradictory, which means I'm going to be spending more time this weekend digging into the details.On the positive side, the survey revealed that:Misconduct at work is downReporting of observed misconduct is upEthical cultures are stronger, andPressure to cut corners is lower.But before we start congratulating ourselves too much, however, there were some cautionary data as well. For instance, 30% of people who observed behavior that constituted a "red flag" (activities that may be indicative of material fraud or questionable actions taking place) said they did NOT report it. You can't take appropriate action to mitigate potential misconduct if you aren't aware of it!Furthermore, there is an interesting analysis of results from past Business Surveys that may suggest we are in an "ethical bubble."If you look at the chart, you'll see that in the last economic downturn, reported misconduct also decreased, but as the economy improved, misconduct rose with it. While the sample may be a bit small, the parallels between the S&P Index and observed misconduct are fairly consistent. The ERC surmises this may be because in hard times management may talk (and inspect) more on the importance of high standards. Thus, misconduct goes down.This really has me thinking...On one hand, I know that most of our clients are putting their money where their mouth is - allocating resources to ethics and compliance programs and making a true commitment to fostering an ethical culture. I don't see this changing as we exit the down turn. But the chart is revealing. Curious as to your thoughts - are we really in a bubble? Is this latest good news fleeting?I'll leave you with the advice the ERC has for Ethics and Compliance Professionals:Focus on culture and collect data! Now is the time to assess your culture and put in place processes - especially regarding the collection of potential violations of your stated code of conduct - for how you manage issues and events that expose your organization to risk.

Lies, Damn Lies and Statistics

Thu, 03 Dec 2009 00:00:00 GMT

Seems to be the season for publishing the results of surveys and other research - I just got finished reviewing PricewaterhouseCooper's excellent report, Image by TW Collins via FlickrThe Global Economic Crime Survey which contains some great data for those of us concerned about fraud and other financial misconduct to consider.One of the things that stuck out to me - especially considering the results from the ERC's 2009 National Business Ethics Survey - was that PwC did not see any statistical difference in the level of economic crime for companies that had suffered during the economic downturn from those that did not suffer. Hence, they conclude that economic crime remains a pervasive business risk, which does not discriminate among its victims based on the relative degree of their financial performance. They do note, however, that organizations sufferng from the downturn did report higher levels of accounting fraud.Among the other data I found interesting:Tips were the detection method in 34% of the cases - with the hotline system accounting for only 7% - reinforcing the need to both foster an environment in which your employees and others feel comfortable bringing issues forward in conversations as well as the need for a consistent approach to capturing and investigating these issuesWhile internal audit is consistently detecting less of the reported frauds over time, the combination of anti-fraud controls and a strong ethical culture appears to be improving the detection of economic crimeThere is a correlation between reported frauds and the frequency of fraud risk assessments - In other words, if you look for it, you will find it.Finally, and what should concern you if you hold a leadership position within your organization, respondents have consistently underestimated their exposure to fraud. Regardless of the research you're reviewing, the data is pretty compelling - fraud and other misconduct occurs in good economic times and bad. Having a strong ethical culture and good controls reduces the amount of fraud, and its associated losses. So what are you doing to reduce your risk?

Kroll Global Fraud Report 2009 / 2010

Wed, 02 Dec 2009 00:00:00 GMT

The global financial services industry saw a dramatic spike in fraud activity with companies losing an average of $15.2 million over the past three years, according to the 2009/2010 Annual Edition of Kroll's Global Fraud Report.

Despite sector-specific spikes and declines in fraud activity, the worldwide fraud rate remained steady in 2009. Companies lost an average $8.8 million to fraud over the past three years, an increase of seven percent over last year’s figure which stood at $8.2 million. The findings are the result of a survey Kroll commissioned from the Economist Intelligence Unit of more than 700 senior executives worldwide.

EthicsPoint and Kroll Expand Partnership to Help Companies Address Fraud and Other High-Risk Incidents

Tue, 01 Dec 2009 00:00:00 GMT

PORTLAND, Ore./New York —December 1, 2009 —EthicsPoint, a leading provider of hotline and anti-fraud reporting and technology services, and Kroll, the world’s leading risk consulting company, today announced their expanded partnership to provide organizations with the tools and support to properly resolve incidents ranging from employee misconduct to widespread fraud schemes.

Without processes to effectively detect, investigate and resolve incidents, companies are at risk of potentially significant financial losses and non-compliance penalties. Kroll and EthicsPoint are strengthening their partnership to address this gap, which has become more important with the rising incidence of corporate theft, misconduct and fraud in 2009.

“We are pleased to expand our partnership with EthicsPoint,” said Tim Whipple, President of Kroll’s Consulting Services Group. “EthicsPoint’s state-of-the art technology is a natural fit with Kroll’s suite of investigative and compliance monitoring services and will help our clients effectively manage their internal reporting requirements.”

As part of the agreement, Kroll and EthicsPoint will collaborate to share knowledge and research among their client base. The expanded alliance extends the client referral relationship globally to now include Asia alongside North America, Latin America and Europe, Middle East and Africa.

“Even with a strong internal investigation protocol in place, there are times when the risks and scale of an issue necessitate the engagement of third-party specialists,” said David Childers, CEO of EthicsPoint. “Kroll’s record and reputation for helping organizations navigate these sensitive situations makes us confident that they can help our customers fully review and resolve any high-risk issues.”

About EthicsPoint

EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

About Kroll

Kroll, the world's leading risk consulting company, provides a broad range of investigative, intelligence, financial, security and technology services to help clients reduce risks, solve problems and capitalize on opportunities. Headquartered in New York with offices in more than 60 cities in over 29 countries, Kroll has a multidisciplinary team of approximately 3,000 employees and serves a global clientele of law firms, financial institutions, corporations, non-profit institutions, government agencies, and individuals. Kroll is a subsidiary of Marsh & McLennan Companies, Inc. (NYSE: MMC), the global professional services firm.

For more information, visit www.Kroll.com.

Personal Information Protection and Electronic Documents Act (PIPEDA)

Wed, 25 Nov 2009 00:00:00 GMT

The Personal Information Protection and Electronic Documents Act (PIPEDA) is a Canadian law relating to data privacy. It governs how private-sector organizations collect, use and disclose personal information in the course of commercial business.

In addition, the Act contains various provisions to facilitate the use of electronic documents. PIPEDA was passed in the late 1990s to promote consumer trust in electronic commerce. The act was also intended to reassure the European Union that the Canadian privacy law was adequate to protect the personal information of European citizens.

International Financial Reporting Standards (IFRS)

Wed, 25 Nov 2009 00:00:00 GMT

International Financial Reporting Standards (IFRS) are Standards, Interpretations and the Framework adopted by the International Accounting Standards Board (IASB).

Many of the standards forming part of IFRS were issued by the Board of the International Accounting Standards Committee (IASC)The IASC Foundation is an independent, not-for profit private sector organisation working in the public interest. Its principal objectives are:

to develop a single set of high quality, understandable, enforceable and globally accepted international financial reporting standards (IFRSs) through its standard-setting body, the IASB;

to promote the use and rigorous application of those standards;

to take account of the financial reporting needs of emerging economies and small and medium-sized entities (SMEs); and

to bring about convergence of national accounting standards and IFRSs to high quality solutions.

Equal Employment Opportunity Commission (EEOC)

Wed, 25 Nov 2009 00:00:00 GMT

The U.S. Equal Employment Opportunity Commission (EEOC) is a federal agency whose goal is ending employment discrimination. The EEOC investigates discrimination complaints based on an individual's race, color, national origin, religion, sex, age, disability and retaliation for reporting and/or opposing a discriminatory practice.

The Commission is also tasked with filing suits on behalf of alleged victim(s) of discrimination against employers and as an adjudicatory for claims of discrimination brought against federal agencies.

Sarbanes-Oxley Act of 2002 (SOX)

Wed, 25 Nov 2009 00:00:00 GMT

The Sarbanes-Oxley Act (SOX), a federal securities law in the United States, was enforced in 2002, introducing major changes to the regulation of financial practices and corporate governance for publicly traded companies. It covers issues such as auditor independence, corporate governance, internal control assessment, and enhanced financial disclosure.

SOX is arranged into eleven titles. As far as compliance is concerned, the most important sections within these are often considered to be 302, 401, 404 (which no longer applies to small public companies with a public float below $75 million as of November, 2009), 409, 802 and 906.

North American Electric Reliability Corporation (NERC)

Wed, 25 Nov 2009 00:00:00 GMT

NERC reliability standards are developed using an industry-driven ANSI-accredited process that ensures the process is open to all persons who are directly and materially affected by the reliability of the North American bulk power system; is transparent to the public; demonstrates the consensus for each standard; fairly balances the interests of all stakeholders; provides for reasonable notice and opportunity for comment; and enables the development of standards in a timely manner.

Federal Anti-Kickback Satute

Wed, 25 Nov 2009 00:00:00 GMT

The federal anti-kickback law's main purpose is to protect patients and the federal health care programs from fraud and abuse by curtailing the corrupting influence of money on health care decisions.

Straightforward but broad, the law states that anyone who knowingly and willfully receives or pays anything of value to influence the referral of federal health care program business, including Medicare and Medicaid, can be held accountable for a felony.

Federal Sentencing Guidelines

Wed, 25 Nov 2009 00:00:00 GMT

The Federal Sentencing Guidelines are rules that set out a uniform sentencing policy for convicted felons in the United States federal courts system.

The Guidelines are the product of the United States Sentencing Commission and are part of an overall federal sentencing reform package that took effect in the mid-1960's.

Department of Transportation (DOT)

Wed, 25 Nov 2009 00:00:00 GMT

The Department of Transportation (DOT) is a government agency in North America devoted to transportation. The largest is the United States Department of Transportation, which oversees interstate travel. All U.S. states, Canadian provinces, and many local agencies also have similar organizations.

Environmental Protection Agency (EPA)

Wed, 25 Nov 2009 00:00:00 GMT

The U.S. Environmental Protection Agency (EPA) is an agency of the federal government of the United States charged to protect human health and the environment, by writing and enforcing regulations based on laws passed by Congress.

The EPA was proposed by President Richard Nixon and began operation on December 2, 1970, when its establishment was passed by Congress, and signed into law by President Nixon, and has since been chiefly responsible for the environmental policy of the United States.

Securities and Exchange Commission (SEC)

Wed, 25 Nov 2009 00:00:00 GMT

The U.S. Securities and Exchange Commission (commonly known as the SEC) is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets.

Currently, the SEC is responsible for administering seven major laws that govern the securities industry. They are: the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and most recently, the Credit Rating Agency Reform Act of 2006.

The enforcement authority given by Congress allows the SEC to bring civil enforcement actions against individuals or companies alleged to have committed accounting fraud, provided false information, or engaged in insider trading or other violations of the securities law. The SEC also works with criminal law enforcement agencies to prosecute individuals and companies alike for offenses which include a criminal violation.

Lilly Ledbetter Fair Pay Act

Wed, 25 Nov 2009 00:00:00 GMT

The Lilly Ledbetter Fair Pay Act of 2009 is an Act of Congress enacted by the 111th United States Congress and signed into law by President Barack Obama on January 29, 2009.

The bill amends the Civil Rights Act of 1964 stating that the 180-day statute of limitations for filing an equal-pay lawsuit regarding pay discrimination resets with each new discriminatory paycheck. The law was a direct answer to the Ledbetter v. Goodyear Tire & Rubber Co., 550 U.S. 618 (2007), a U.S. Supreme Court decision holding that the statute of limitations for presenting an equal-pay lawsuit begins at the date the pay was agreed upon, not at the date of the most recent paycheck, as a lower court had ruled.

Health Insurance Portability and Accountability Act (HIPAA)

Wed, 25 Nov 2009 00:00:00 GMT

The U.S. Department of Health and Human Services (“HHS”) issued the Standards for Privacy of Individually Identifiable Health Information (“Privacy Rule”)to implement the requirement of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”)

The Privacy Rule standards address the use and disclosure of individuals’ health information by organizations subject to the Privacy Rule, as well as standards for individuals' privacy rights to understand and control how their health information is used.

A major goal of the Privacy Rule is to assure that individuals’ health information is properly protected while allowing the flow of health information needed to provide and promote high quality health care and to protect the public's health and well being. The Rule strikes a balance that permits important uses of information, while protecting the privacy of people who seek care and healing. Given that the health care marketplace is diverse, the Rule is designed to be flexible and comprehensive to cover the variety of uses and disclosures that need to be addressed.

Environment Health and Safety (EHS)

Wed, 25 Nov 2009 00:00:00 GMT

Environment, Health and Safety (EHS) guidelines were created by the International Finance Corporation in 1998. Organizations based in the United States are subject to EHS regulations found in Code of Federal Regulations

Spanish Data Protection Act (LOPD)

Wed, 25 Nov 2009 00:00:00 GMT

The Spanish Constitution recognizes the right to personal privacy, secrecy of communications, and the protection of personal data.

The Data Protection Act (LOPD) brought Spanish law in line with the European Union Data Protection Directive. The LOPD applies to information held by the public and private sectors. The law establishes the right of citizens to know what personal data is contained in electronic records and grants citizens the right to correct or delete incorrect or false data in those records.

Additionally, the LOPD restricts the disclosure of personal information to a third party by requiring the consent of the individual to the specific purpose for which the data was collected. Additional protections are also provided for sensitive personal data.

Americans with Disabilities Act (ADA)

Wed, 25 Nov 2009 00:00:00 GMT

The Americans with Disabilities Act of 1990 (ADA) was signed into law by President George H. W. Bush, and later amended with changes effective January 1, 2009.

The ADA is a wide-ranging civil rights law that prohibits, under certain circumstances, discrimination based on disability. It affords similar protections against discrimination to Americans with disabilities as the Civil Rights Act of 1964, which made discrimination based on race, religion, sex, national origin, and other characteristics illegal.

On September 25, 2008, President George W. Bush signed into law The ADA Amendments Act of 2008 (ADAAA). It is intended to give broader protections for disabled workers and "turn back the clock" on court rulings which Congress deemed too restrictive.

Federal Acquisition Regulation (FAR)

Wed, 25 Nov 2009 00:00:00 GMT

The Federal Acquisition Regulation (FAR) is the principal set of rules in the Federal Acquisition Regulation System. This system consists of sets of regulations issued by agencies of the Federal government of the United States to govern what is called the "acquisition process," which is the process through which the government purchases ("acquires") goods and services.

That process consists of three phases: (1) need recognition and acquisition planning, (2) contract formation, and (3) contract administration. The FAR System regulates the activities of government personnel in carrying out that process. It does not regulate the purchasing activities of private sector firms, except to the extent that parts of it are incorporated into government solicitations and contracts by reference.

Commission nationale de l‘informatique et des libertés (CNIL)

Wed, 25 Nov 2009 00:00:00 GMT

The Commission nationale de l'informatique et des libertés or CNIL is an independent French administrative authority. CNIL's mission is to ensure that data privacy law is applied to the collection, storage, and use of personal data.

Created on January 6, 1978, CNIL aims to ensure that the development of information technology remains at the service of citizens and does not breach human identity, human rights, privacy or personal or public liberties.

Stark III Law

Wed, 25 Nov 2009 00:00:00 GMT

Stark III is Phase III of the physician self-referral prohibition, commonly referred to as Stark II in recognition of the author of the original statute, California Representative Pete Stark.

Phase III changes became effective December 4, 2007. This regulation provides further clarifications and modifications to Stark II, especially regarding physicians in group practice and the relationships between physicians and hospitals.

Financial Instruments and Exchange Law (J-SOX)

Wed, 25 Nov 2009 00:00:00 GMT

he Financial Instruments and Exchange Law is the main statute codifying securities law and regulating securities companies in Japan.

The law applies to:

Registration and regulation of broker dealers and their registered representatives

Disclosure obligations applicable to public companies, investment trusts and similar entities

Tender offer rules

Disclosure obligations applicable to large shareholders in public companies

Internal controls in public companies; in this role the law is often referred to as J-SOX, a reference to the American Sarbanes-Oxley Act (SOX).

Federal Energy Regulatory Commission (FERC)

Wed, 25 Nov 2009 00:00:00 GMT

FERC is an independent agency that regulates the interstate transmission of natural gas, oil, and electricity. FERC also regulates natural gas and hydropower projects.

Foreign Corrupt Practices Act (FCPA)

Wed, 25 Nov 2009 00:00:00 GMT

The Foreign Corrupt Practices Act of 1977 (FCPA) is a United States federal law known primarily for two of its main provisions, one that addresses accounting transparency requirements under the Securities Exchange Act of 1934 and another concerning bribery of foreign officials.

The anti-bribery provisions of the FCPA prohibit:

Issuers, domestic concerns, and any person from making use of interstate commerce corruptly, in furtherance of an offer or payment of anything of value to a foreign official, foreign political party, or candidate for political office, for the purpose of influencing any act of that foreign official in violation of the duty of that official, or to secure any improper advantage in order to obtain or retain business.

Data Privacy

Wed, 25 Nov 2009 00:00:00 GMT

Data privacy is the relationship between collection and dissemination of data, technology, the public expectation of privacy, and the legal and political issues surrounding them.

Privacy concerns exist wherever personally identifiable information is collected and stored - in digital form or otherwise. Improper or non-existent disclosure control can be the root cause for privacy issues.

Data privacy issues can arise in response to information from a wide range of sources, such as:

Healthcare records

Criminal justice investigations and proceedings

Financial institutions and transactions

Biological traits, such as genetic material

Residence and geographic records

Ethnicity

The challenge in data privacy is to share data while protecting personally identifiable information. The fields of data security and information security design and utilize software, hardware and human resources to address this issue.

Data Privacy Directive

Wed, 25 Nov 2009 00:00:00 GMT

The Data Protection Directive (officially Directive 95/46/EC on the protection of individuals with regard to the processing of personal data and on the free movement of such data) is a European Union directive which regulates the processing of personal data within the European Union. It is an important component of EU privacy and human rights law. The directive was implemented in 1995 by the European Commission.

Basel II Accord

Wed, 25 Nov 2009 00:00:00 GMT

Basel II is the second of the Basel Accords, which are recommendations on banking laws and regulations issued by the Basel Committee on Banking Supervision.

The purpose of Basel II, which was initially published in June 2004, is to create an international standard that banking regulators can use when creating regulations about how much capital banks need to put aside to guard against the types of financial and operational risks banks face. Advocates of Basel II believe that such an international standard can help protect the international financial system from the types of problems that might arise should a major bank or a series of banks collapse.

In practice, Basel II attempts to accomplish this by setting up rigorous risk and capital management requirements designed to ensure that a bank holds capital reserves appropriate to the risk the bank exposes itself to through its lending and investment practices. Generally speaking, these rules mean that the greater risk to which the bank is exposed, the greater the amount of capital the bank needs to hold to safeguard its solvency and overall economic stability.

Federal Aviation Administration (FAA)

Wed, 25 Nov 2009 00:00:00 GMT

he Federal Aviation Administration (FAA) is an agency of the United States Department of Transportation with authority to regulate and oversee all aspects of civil aviation in the U.S.

The Federal Aviation Administration's major roles include:

Regulating U.S. commercial space transportation

Regulating air navigation facilities' geometry and Flight inspection standards

Encouraging and developing civil aeronautics, including new aviation technology

Issuing, suspending, or revoking pilot certificates

Regulating civil aviation to promote safety, especially through local offices called Flight Standards District Offices

Developing and operating a system of air traffic control and navigation for both civil and military aircraft

Researching and developing the National Airspace System and civil aeronautics

Developing and carrying out programs to control aircraft noise and other environmental effects of civil aviation

Federal False Claims Act

Wed, 25 Nov 2009 00:00:00 GMT

The False Claims Act is an American federal law which allows people who are not affiliated with the government to file actions against federal contractors claiming fraud against the government.

The act of filing such actions is informally called "whistleblowing." Persons filing under the Act stand to receive a portion (usually about 15-25 percent) of any recovered damages. The Act provides a legal tool to counteract fraudulent billings turned in to the Federal Government. Claims under the law have been filed by persons with insider knowledge of false claims which have typically involved health care, military, or other government spending programs.

Patient Safety and Quality Improvement Act

Wed, 25 Nov 2009 00:00:00 GMT

The Patient Safety and Quality Improvement Act of 2005 (PSQIA) established a system of patient safety organizations and a national patient safety database. To encourage reporting and broad discussion of adverse events, near misses, and dangerous conditions, it also established privilege and confidentiality protections for Patient Safety Work Product (as defined in the act).

The right stuff

Tue, 24 Nov 2009 00:00:00 GMT

Two years ago, Lake Oswego-based EthicsPoint, which provides hotline and web-based ethics reporting systems, built itself a new world headquarters — in the online, virtual world known as Second Life.

The goal, according to CEO David Childers, was to give clients yet another avenue to report internal wrongdoings within a company — harassment, theft, security breaches. If an employee were too timid to report, say, embezzlement in the real world, maybe their outgoing, aggressive alter ego in Second Life would take care of business.

“Maybe when they put on the mask of their avatar, they become much more bodacious . . . much more capable of exposing a fraud without fear,” says Childers, his native Oklahoman drawl coloring his adjectives.

Lack of interest at the time prevented testing the CEO’s surmise — “We were so far ahead of our time it was crazy,” he says — but this fall, a client actually called and wanted to know if employees’ Second Life avatars could report issues through the EthicsPoint system.

“Obviously we will be going back and putting more emphasis on that,” Childers says, happily validated.

Co-founded by Childers in 1999, EthicsPoint hit its initial stride by offering secure, web-based reporting systems and email communications at a time when telephone hotlines and snail mail ruled the day. The pace picked up after Sarbanes-Oxley in 2002. Angel investors graced the company with $4.1 million in 2003, and in 2005 EthicsPoint recast its application to accept data from a much broader range of sources...

Kroll Global Fraud Report 2009 / 2010: Assessing the Impact of the Global Economic Decline

Mon, 23 Nov 2009 11:55:48 GMT

This webinar will explore how the financial crisis has changed the effects of the risks underlying fraud and assess its impact on businesses around the world. Kroll will share its unrivalled expertise in dealing with fraud and corruption with this executive audience and offer actionable strategies to protect company interests at home and abroad.

The Emergence of the Chief Risk Officer

Fri, 20 Nov 2009 20:55:07 GMT

This webinar will help the attendee understand how an organizational structure that includes a Chief Risk Officer can help the institution look at risk in a comprehensive manner.

2009 National Business Ethics Survey

Wed, 18 Nov 2009 00:00:00 GMT

The Ethics Resource Center began collecting data in the mid-1990s to assess the state of ethics in the American workplace. Its National Business Ethics Survey

® has been in the field every two years since 2003. Including surveys in 2000 and in 19941, this new NBES marks the sixth in the series. NBES is the essential tool ERC uses to collect national data and benchmark changes in employee attitudes over time. It provides both longitudinal data and a look at employee perceptions of topical issues of interest to researchers, management and employees

themselves.

In 2007, NBES benchmarking showed that key measures of workplace ethics had declined since 2005. The drop was steep enough that ERC warned in its report that year that misconduct appeared to have returned to “pre-Enron levels.”

2 We know now that within a few weeks of that report, in December 2007, the United States had begun to enter a severe economic recession that may be ending only now, 24 months later.3 What effect the recession has had on workplace ethics is the focus of this year’s report.

New EthicsPoint Software Updates Streamline Workplace Incident Management

Tue, 17 Nov 2009 00:00:00 GMT

Updates to Issue and Event Manager Enhance User Experience, Improve Productivity

PORTLAND, Ore. — November 17, 2009 —EthicsPoint, the global authority in hotline and anti-fraud reporting and case management services, today announced updated versions of its Issue and Event Manager (IEM) Professional and Enterprise solutions. The updates to IEM Professional and Enterprise are based on customer feedback and requests, and reflect EthicsPoint’s commitment to quality through continuous improvement and feature enhancements that deliver efficiency and productivity gains in workplace incident management.

The EthicsPoint Issue and Event Manager solution is designed to provide a framework for companies to manage the complete lifecycle of incident management, from reporting through the investigation, documentation, resolution and analysis process. Enhanced analytics features in the Fall 2009 release enable data trending analysis for ongoing ethics and Governance, Risk and Compliance (GRC) program improvement. Updates to dynamic browse-and-filter functionality, including a redesign of the Assignments Tab and edits to Grid Controls, help users investigate issues more quickly and easily. Within the report intake process, updates to the Information Contributor feature and the Reporter Follow Up user interface are designed to streamline workflow within the investigation process.

“Our latest release addresses specific requests and needs raised by our customers. Because EthicsPoint has a broad client base from a range of industries, it is vital that we continue to adapt and improve our solutions to meet their needs,” said David Childers, CEO of EthicsPoint. “IEM is designed to help companies of all types and sizes efficiently manage reports of code of conduct violations and inform corporate ethics and compliance initiatives.”

Improvements to IEM Professional and Enterprise in the Fall 2009 release include:

Redesign of Assignments Tab: The Assignments area now has the ability to drag and drop columns, filter data in-line and group information as with the other grids.

Improvements to Grid Controls: A paperclip icon has been added to the dynamic browse and filter grid control to provide a visual indication that one or more attachments have been added to a case.

Enhancements to the Information Contributor: The Information Contributor functionality has been enhanced to include all cases regardless of intake type. This includes both Hotline and Report form methods.

User Interface Enhancements: The Reporter and Reporter Follow Up area of Issue and Event Manager has been modified to provide the reporter with a more consistent and intuitive interface.

About EthicsPoint

EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

Contact:

Toni Cole, Edelman

503-471-6841

toni.cole@edelman.com>

The Dark Side of Aggressive Goal Setting in the Workplace: A Shortcut to Unethical Behavior

Mon, 16 Nov 2009 11:07:15 GMT

Join us for an intriguing discussion on how setting goals can have systematic, negative effects and can focus attention too narrowly, increase risk taking, and lead to unethical behavior.

Quick Links

Tue, 10 Nov 2009 00:00:00 GMT

I've come across a number of really great research reports over the past few weeks, and wanted to share them with you. In each case I'm finding myself going back and finding a new nugget that directly relates to Governance, Risk and Compliance, and the challenges our customers and prospects face. I'd encourage all of you to download these reports if you have already done so.

Kroll Global Fraud Report

This is the latest of the Kroll Fraud reports, where they survey hundreds of senior executives across the world to understand the impact of fraud and corruption both in individual industry segments and in specific geographic regions. One of the things that stood out to me on first reading was that the overall incidence of reported fraud did not increase significantly during the past year, despite what was expected. But there are differences across the different industries and countries worth understanding.

If you'd like to get a quick overview of the contents in the report, you can attend a webinar we are hosting with Blake Coppotelli and David Holley of Kroll.

Transparency International's Global Corruption Report 2009

Learned about this one from the excellent FCPA Blog. This is a really comprehensive report (weighs in at 496 pages!) which definitely requires multiple visits. But to give you a taste of what's inside, consider:

90% of the top 200 businesses worldwide have adopted business codes, but fewer than half report they monitor compliance!Companies with anti-corruption programs and ethical guidelines are found to suffer 50% fewer incidents of corruption. While that may seem obvious -especially based on other research - the question I would have is why, then, do not all companies have business codes, and why do relatively so few monitor compliance?Fulbright's 6th Annual Litigation Trend Survey

Stumbled on the 5th annual survey last year, so was pleased to learn the latest version is out. Interestingly, as opposed to what Kroll reports, this survey of mostly General Counsels, Head of Litigation, and people with titles just below those (e.g. Senior Counsel, Associate General Counsel, etc.) reported that the incidence of companies reporting corruption/bribery investigations over the past 12 months has nearly doubled since last year! But bribery/corruption is not the only thing with which these respondents are challenged. According to the survey 40% have seen increases in wage & hour, multi-plaintiff and employement cases over the past year.

As I said, there is a lot of great information in these reports - hopefully you'll learn something as well!

University buys online ethical watchdog service

Tue, 10 Nov 2009 00:00:00 GMT

EthicsPoint to aid whistleblowers reporting university abuse

"Students and faculty who suspect ethical misconduct on campus can now act as private whistleblowers and instigate ethical investigations, all with the click of a mouse.

President Stephen Sundborg. S.J. announced Oct. 28 Seattle University will use the external and Web-based EthicsPoint as a tool to safeguard against unethical acts of faculty and staff. But students and professors were left scratching their heads as to the reasoning behind the new ethical policy.

The site allows the user to make claims based on a variety of ethics complaints ranging from conflict of interest to sexual harassment to recruiting misconduct..."

Fairness Matters: Driving a Culture of Justice and Respect

Thu, 05 Nov 2009 18:58:59 GMT

Join Dr. Stephen Gilliland, Arnold Lesk Chaired Professor of Leadership and Department Head, Eller College of Management, University of Arizona, for a practical demonstration on the what, why, and how of managing organizational fairness. With the information presented, attendees will learn how a culture of fairness can create a powerful differentiator for your organization.

Questions from the Front Lines: Real-World Issues in Workplace Investigations

Tue, 20 Oct 2009 20:48:18 GMT

Join us for a relevant, practical discussion of some of the real-world issues investigators face, led by Meric Bloch, one of EthicsPoint’s most popular presenters. The content comes directly from questions asked by people just like you who attended Meric's past speaking engagements. The questions are practical, and the answers draw upon what Meric learned from writing, speaking and conducting over 400 workplace investigations.

University Hotline Available For Reporting Financial Concerns

Thu, 15 Oct 2009 00:00:00 GMT

9:01 a.m., Oct. 14, 2009----The University has a Compliance Hotline, designed to give individuals an additional avenue for reporting concerns they may have about financial, accounting and auditing issues at the University.

The hotline, operated through a national company called EthicsPoint, allows individuals to report any suspected financial irregularity confidentially and anonymously.

“The use of such anonymous reporting systems is a 'best business practice' and has been recommended for all organizations by the American Institute of Certified Public Accountants,” Edward J. Drozd, director of Internal Auditing at the University, said.

“We have a responsibility to our colleagues and the public to ensure that University funds are being used in accordance with legal and contractual requirements. This hotline will help identify issues that can improve our environment.”

University employees are encouraged to continue to report financial concerns through the standard chain of command or by contacting UD Human Resources or the Internal Auditing Department. For those who do not feel comfortable with the standard methods, the Financial Compliance Hotline is an additional option.

Reports, which can be made by anyone -- employees, students and vendors -- may be made 24 hours a day, seven days a week, via telephone or on the World Wide Web. The toll-free telephone number is 1-888-366-6033, and the Web site may be reached by going to [www.udel.edu/compliance]. Individuals may use any computer with Internet access; it does not have to be a University computer.

Reporting categories relate to internal control and financial matters including fraud, abuse of University resources, improper handling of gifts and improper accounting.

The EthicsPoint system uses state-of-the-art security features, including passwords, encryption and firewalls, to protect the anonymity and confidentiality of those making reports. Individuals may identify themselves if they choose to do so, or remain anonymous. Each person who files a report creates a private password and is assigned a unique identifier for secure communication and access to the system.

Notification of reports goes to UD's Internal Auditing Department, where experienced professional internal auditors will conduct necessary investigations to ascertain the facts in each case. Reports will be handled promptly and discreetly. No retaliatory action will be taken against anyone for reporting or inquiring in good faith about potential breaches of UD financial standards.

IEM Professional Enterprise - Release Notes Fall '09

Wed, 14 Oct 2009 00:00:00 GMT

Release notes for Fall '09 version of Issue and Event Manager Professional and Enterprise

Employee Helplines: Safety Valve or False Security? (why many don't work and what to do about it)

Fri, 09 Oct 2009 17:57:58 GMT

Join Donna Boehme, Principal, Compliance Strategists LLC (and former Group Compliance and Ethics Officer of BP plc), for a frank, interactive discussion on the confidential employee helpline. With the information presented, attendees will learn key issues to address when structuring the helpline, the common gap areas, debunking some myths, why helplines can't operate in a vacuum and best practices of leading companies.

Prolifiq and EthicsPoint Announce Partnership: `Automatic Alerts´ Help Life Sciences Engage in Good Promotional Practices

Fri, 09 Oct 2009 00:00:00 GMT

Prolifiq Software Inc. is on pace to match last year’s 52 percent revenue growth by selling sales communication software to high-tech and digital media companies.

Now CEO Jeff Gaus has his sites on the life sciences space. He believes his company’s software can help pharmaceutical and medical device companies avoid costly mistakes caused by running afoul of federal Food & Drug Adminstration marketing guidelines.

Gaus believes the move into a $400 billion industry will turn his $3.2 million, 30-employee Beaverton company into a 200-person, international business with $50 million in revenue.

And that’s just in the next three years.

Some of those expectations are borne from fortuitous timing.

Prolifiq has been dipping its toes into the life science space for the past year. It unveiled its life sciences product at a regulatory affairs trade show about a week after Pfizer Inc. and a subsidiary agreed to pay $2.3 billion to settle charges that it illegally promoted certain drugs.

“If I could have picked (the timing), I couldn’t have done it much better,” Gaus said.

While drugs or other medical products might have a multitude of applications, the FDA prohibits the marketing of products for anything other than their approved uses.

It has always been tricky territory for medical-related sales operations. Then came Pfizer, which was the largest so-called “off-label” settlement on record.

“There’s a lot more concern since the Pfizer settlement,” said John Mack, publisher of online trade publication Pharma Marketing News based in New Town, Pa.

Steven E. Skwara, a litigation attorney with the Washington, D.C., firm Epstein Baker & Green PC who primarily represents health care clients, said companies in the life sciences space need to be vigilant, “perhaps more than any other business.

“In a lot of these cases, in the investigations, some of the so-called evidence will be the promotional materials,” Skwara said. “Some of it might be problematic for various reasons. They might not have been vetted and given to the wrong people.”

That’s where Prolifiq comes in.

The company launched in the late ’90s during the dot-com bubble with a plan to incorporate rich media content into university e-mail systems using an advertising-supported model.

It was financed by $4 million in venture capital, the majority from Oregon investors.

Gaus said the company quickly realized that model wasn’t going to work and in 2002 shifted gears.

Starting with high-tech clients like Cisco Systems, the company developed communication software to allow sales representatives to more easily include corporate brand images and company-approved marketing materials into e-mail and text communications without the use of bulky attachments.

The company later moved into the digital media space, first serving photo archiving company Getty Images with the idea that the company’s client communication should logically incorporate Getty’s pictures.

Today, Prolifiq also works with other media outlets including Corbis Corp., the Associated Press and the British Broadcasting Corp.

A year ago the company was approached by Cincinnati-based medical device company AtriCure Inc., which was looking for a way to control marketing content related to unapproved uses of products.

HCCA 14th Annual Compliance Institute Conference

Tue, 06 Oct 2009 16:09:09 GMT

EthicsPoint will be exhibiting at HCCA's 2010 Annual Compliance Institute Conference.

Risk and Incident Management: Getting the Right Information at the Right Time

Thu, 01 Oct 2009 10:33:19 GMT

When an issue is brought forward in a face to face conversation with a manager or HR, how do you ensure the follow up is consistent across your organization? Answer this question and more as you join David Wilber, COO for Eggleston Services, for an in-depth webinar on risk and incident management.

The New Normal

Thu, 01 Oct 2009 00:00:00 GMT

With Less, Do More

The other day I read Microsoft CEO Steve Ballmer’s latest executive e-mail, entitled The New Efficiency. A few of his thoughts resonated with me, and in my opinion, have broad applicability to the market segments and business functions we serve at EthicsPoint. I’d encourage you to read all his comments, but want to highlight a few here.

Ballmer’s email starts with,

In all the talk about the economy, one term that comes up more and more frequently is something called “the new normal.” I like this phrase because it speaks to the fact that economic reality has undergone a fundamental shift over the course of the past 12 months.

So what is the nature of this shift? After years of economic expansion fueled by unrealistic rates of consumption and unsustainable levels of private debt, the global economy has reset at a lower baseline level of activity. Today, people borrow less, save more, and spend with much greater caution.

This is the new normal and it will be with us for some time to come. The issue now is how to respond.

I think Mr. Ballmer is spot on with this line of thinking – despite some encouraging signs of economic recovery, I think it’s going to take longer and be more difficult than any of us want, and even after the recovery has been achieved, the marketplace in which we all compete will be completely different than it was prior to the meltdown.

Mr. Ballmer goes on to stress the importance of cutting costs, but points out that no company ever cut their way to greatness. Rather, to ultimately succeed, you need to do two things – increase productivity and provide value to your customers – the trick is how you achieve these two objectives simultaneously. He writes:

For years, we’ve talked about how information technology enables companies to do more with less. But during this economic reset, IT provides business leaders with the answer to a slightly different question: Can my company with less, do more?

Other trends give this question even greater urgency. Workforces are more distributed and employees are more mobile. Government regulations are increasing and compliance requirements are mounting. Data security is more important to preserve and more difficult to maintain.

At EthicsPoint, we’re seeing Mr. Ballmer’s comments play out in our customer base every single day. Compliance mandates are mounting, governmental enforcement is strengthening (witness the increase in FCPA prosecutions and Corporate Integrity Agreements), rates of employee misconduct – if not increasing – are at least holding steady, and compliance, audit, HR and other budgets are being cut. The only way to effectively manage in this environment is to find ways to build efficiencies into your processes – increase the level of collaboration, communication and insight across the enterprise, while eliminating waste, and the barriers that create and maintain organizational silos.

As I’m going through our own internal 2010 budgeting and strategy-setting sessions, I’m challenging myself and my team to think about Ballmer’s question: how can we – with less, do more?

What are you doing?

"Whistleblower" hotlines show participant concerns.

Mon, 28 Sep 2009 00:00:00 GMT

Institutions can receive reports, track investigations

When a human subjects protection program wants to ensure that participants have a confidential means of reporting concerns about studies, one alternative is a commercial "whistleblower"

hotline service, which provides anonymity to callers.

Some institutions have gone further, employing a service that not only provides a phone and online reporting capability, but the ability to track what kinds of complaints the institution receives to look for trends and possible solutions.

Representatives of EthicsPoint, a Lake Oswego, OR- based company, say more than 200 colleges and universities use their service to log reports about everything from financial misconduct to NCAA violations. At many schools, they also are a conduit for participants and others involved in human subjects research to report serious concerns about studies.

Cornell University in Ithaca, NY, recently started putting out information to participants in informed consent documents about the availability of the EthicsPoint hotline, says Matthew Aldridge, senior IRB administrator for Cornell's Ithaca campus.

"If our office exists for the effort of maintaining the public trust in the research enterprise, then it behooves us to say we will take extra steps to make sure we have independent and anonymous (if wanted) reporting processes," Aldridge says. "People who have concerns can address them without feeling the risks of any sort of repercussion..."

Not Just Another Day at the Office: Recent Changes in the Law Affecting the Workplace

Thu, 24 Sep 2009 10:33:15 GMT

Join Mark Downey, Partner, Munsch Hardt Kopf & Harr, P.C., as he discusses how employment laws affecting the workplace are changing significantly, requiring employers to change with them. With the information presented, employers will be in a better position to assess their current employment policies and practices to ensure compliance.

At Coca-Cola, Most EthicsLine Reports Arrive Via The Internet

Fri, 18 Sep 2009 00:00:00 GMT

The Internet continues to change the world in ways that were completely unforeseen a generation ago—from the way people communicate to how they receive their news to where they purchase their books, clothes, and music.

It is even changing the way employees report business misconduct.

At the Coca-Cola Company (Atlanta), more ‘concerns’ about business conduct and ethics are now reported through the firm’s Internet portal than arrive via its ethics hotline (telephone).

Indeed, about three-fourths (75 percent) of the company’s EthicsLine questions and reports now arrive from its Internet portal as opposed to the telephone line (25 percent), according to Sharon J. Zealey, the company’s Chief Ethics & Compliance Officer.

This is particularly surprising because less than half of Coca-Cola employees use a computer at their work site, notes Zealey. A lot of them use the telephone, but many are obviously connecting with the Internet portal via their home computers or from other areas, like Internet cafes.

Coca-Cola’s EthicsLine was established in 2005. From the start it included both telephone and web-based reporting mechanisms. “It was very important to provide Internet access,” says Zealey in an interview, and it was one of the reasons the company selected EthicsPoint, a third party vendor based in Lake Oswego, Oregon, as its hotline provider. That firm was able to do both.

Under the Microscope: The New AdvaMed Codes of Ethics and Anticipated Transparency Regulations

Wed, 16 Sep 2009 20:13:07 GMT

Join Andrew Van Haute and Tom Schumacher, original members of the drafting committee of the new AdvaMed Code of Ethics as they discuss proposed transparency initiatives regarding industry interactions with health care providers.

Society of Corporate Compliance and Ethics - Compliance and Ethics Institute

Tue, 15 Sep 2009 20:15:57 GMT

<p>EthicsPoint will be exhibiting at the Society of Corporate Compliance and Ethics (SCCE) - Compliance and Ethics Institute</p>

<a href="http://www.ethicspoint.com/article/meric-bloch-how-to-avoid-15-common-pitfalls-that-undermine-workplace-investigations"><img src="/images/meric-small-promo.png" /></a>

Gain Insight and Efficiency by Taking a Consistent Approach to Campus Incidents

Tue, 15 Sep 2009 00:00:00 GMT

In order to gain insight into potential organizational risk, a major public university system in southern United States recently conducted a survey to understand how faculty, staff and students reported potential issues across their various campuses. Specifically, the survey focused on what happened when someone observed a violation of the university’s policies, e.g. financial fraud, student safety, research impropriety, discrimination, and more.

Based on results from this study, university leaders noticed two critical weaknesses that exposed the whole system to an unacceptable level of risk

How to Avoid 15 Common Pitfalls that Undermine Workplace Investigations

Thu, 10 Sep 2009 00:00:00 GMT

Companies routinely conduct internal investigations of suspected workplace misconduct. When done well, investigations offer a significant return on investment because the investigation determines both whether misconduct occurred and identifies areas of unacceptable business risk.

All too often, however, compliance professionals make predictably wrong assumptions about their investigations processes. This compromises the utility of their workplace investigations and minimizes the ROI contribution.

Do the Right Thing

Fri, 04 Sep 2009 00:00:00 GMT

Find out how talking, training, and technology can create environments that engage everyone in the business of ethics.

Expert Panel: HR's Role in Fostering Ethics and Compliance

Wed, 02 Sep 2009 10:00:08 GMT

Staples’ Secret Weapon

Wed, 02 Sep 2009 00:00:00 GMT

In the case of Staples, the world’s largest office supply retail store chain, the most effective weapon in the armory is the company’s soul.

What makes a company a leader? Depends on what’s in its arsenal.

The chain’s CEO Ron Sargent once said that to continue its growth path and build an enduring company, Staples would have to have a “corporate soul.”

Accordingly, in 2004, Staples created its first-ever ethics office and named Nan Stout, the company’s internal employment attorney since 1994, the ethics officer.

What does an ethics officer do? Besides creating and maintaining programs designed to promote ethics and integrity across the organization, Stout also takes the lead, along with the VP of loss prevention, in circumventing shrinkage. She is especially involved in a new effort to combat employee fraud—and in today’s economy, that is no small task. In 2008, theft by employees accounted for a staggering $15.9 billion in retail losses, according to statistics compiled by the National Retail Security Survey. Experts suggest that the downturn will only cause those numbers to escalate further.

To mitigate internally generated shrinkage and promote associate accountability, Staples has implemented a program (see related story below) to prevent and detect employee theft and maintain a consistent ethical culture across all of its stores and operations. Under Stout’s watch, the program is having an effect, even though employee theft is on the rise. Senior editor Katherine Field talked with Stout about Staples’ loss-prevention programs and the company’s stand on ethics, integrity and corporate soul...

Detecting Fraud

Wed, 02 Sep 2009 00:00:00 GMT

KPMG released their Fraud Survey 2009 the other day. Among some of their findings were:

Nearly a third of executives expect some form of fraud or misconduct to rise in their organizations

66% of respondents reported that inadequate internal controls or compliance programs at their organizations enable fraud and misconduct to go unchecked.

Roughly a quarter of respondents lack effective protocols on how investigations should be conducted and what point the board of directors should be alerted to potential concerns. (check out our website in the next few days to sign up for a webinar addressing internal investigations)

There was a lot of thought-provoking data in addition to the stats above. But the one thing that got me thinking was their finding that 47% of executives believed that Internal Audit, Legal or Compliance would be the most likely to uncover fraud in their organization - the number one source for detection. Yet they note in their report that this contrasts with the findings in both the ACFE Report to the Nation 2008 (tips were identified there as the number one source) and their own KPMG Integrity Survey 2008-2009 that cited Internal Audit as among the least likely channels to which employees would feel comfortable reporting misconduct.

From an EthicsPoint perspective, we've always said the venue is not important - whether fraud is detected by people reporting via a hotline, though face to face conversations with their manager, HR or other appropriate personnel, through controls or other methods - what's important is that your organization have a strong ethical culture, a way to collect reports of misconduct, and a system to consistently investigate, document, resolve and ultimately analyze each report.

But I'm curious as to your reactions - In your own organization or experience, what do you think is the most important channel for detecting fraud?

Social networking: Cornerstone for your “new” compliance program

Tue, 01 Sep 2009 00:00:00 GMT

We live in a new world of communication and information sharing. In the last 24 hours, over 900,000 new blog posts were written – a majority of them about product or service information, idle chatter, or personal experiences with  companies and their employees. In fact, by the time you finish this paragraph, two new blog sites will be created.

Blogs (short for web-log) are just one part of the 21st century’s online conversation. This conversation includes an array of networking tools, blogs, bookmarking sites, and other social media resources. It is part of what’s known as “Web 2.0,” a term that describes new ways people learn and interactively share information through the Internet. These online conversations are fast, expansive, and crucial to be a part of, and if you are like most compliance professionals, you are neither aware nor involved enough.

KPMG Fraud Survey 2009

Thu, 27 Aug 2009 00:00:00 GMT

"Amidst the current economic downturn, and the pledges of renewed vigor of regulatory enforcement, our 2008–2009 Fraud Survey reveals serious challenges confronted by leaders in the public and private sectors. Since the latest economic downturn began, vast sums of market capitalization have been wiped out. Trillions more have been committed to stabilizing financial institutions, injecting liquidity into the capital markets, and jumpstarting the economy through infrastructure spending programs. The aftermath of the downturn has further uncovered numerous Ponzi schemes that caused investors to watch billions more vanish.

Aside from questioning where yesterday’s money went, many remain concerned about where tomorrow’s money is going. To be sure, record levels of government spending may usher in record levels of fraud, waste, and abuse. Deals made to offload toxic assets may be exposed to self-dealing. In those industries outside the center of direct government intervention, managers may face downward pressure to do whatever it takes to “make the numbers” as analysts and creditors scrutinize financial results. And for those companies operating outside the United States, increased investigation and prosecution of anti-bribery and corruption laws mean employees and agents may trigger risks like never before.

Our survey reveals the perceptions of senior executives across this new landscape as they consider the nature of fraud and misconduct risks in their organizations going forward, and the challenges they confront in their efforts to prevent, detect, and respond to such risks..."

Association of College and University Auditors Annual Conference

Tue, 25 Aug 2009 12:25:37 GMT

EthicsPoint will be exhibiting at the Association of College and University Auditors (ACUA) - Annual Conference.

Digital Law & Social Media at Engage Expo - San Jose

Mon, 24 Aug 2009 20:29:30 GMT

Amanda Mayhew, our EthicsPoint General Counsel, will be speaking at Engage Expo in San Jose

MSU rolling out ethics, integrity initiatives

Sun, 23 Aug 2009 00:00:00 GMT

A year after a landscaping scandal led to the retirement of a longtime university leader, Mississippi State University is looking to improve the ethical culture on campus.

"We want to assure everyone that Mississippi State is above reproach," MSU President Mark Keenum said.

The university is rolling out new ethics and integrity initiatives that include increased employee training and the creation of a third-party reporting system and new whistle-blower policy.

"Whether you've had a problem recently or not, this is something that should be addressed," Higher Education Commissioner Hank Bounds said. "It's really good common sense work that we should all be doing."

...

Rightsizing the Internal Audit Function for Higher Education

Fri, 21 Aug 2009 14:58:50 GMT

How much of your higher educational institution’s resources should be dedicated to the internal audit function?

<div style="margin:4px 0;color:red">Unfortunately due to technical difficulties there is no audio available for this webinar.</div>

American Health Lawyers Association Fraud and Compliance Forum

Fri, 21 Aug 2009 10:58:43 GMT

EthicsPoint will be exhibiting at the American Health Lawyers Association (AHLA) - Fraud and Compliance Forum

Ethics and Compliance Officers Association 2009 Annual Business Ethics & Compliance Conference

Fri, 21 Aug 2009 10:53:48 GMT

EthicsPoint will be exhibiting at ECOA's 2009 Annual Business Ethics & Compliance Conference.

Focus On Call Center Services - Web Exclusive!

Thu, 20 Aug 2009 00:00:00 GMT

Many retailers operate hotlines to provide employees, suppliers, and customers with a way to confidentially and anonymously report misconduct or policy violations. Coldwater Creek is one such retailer. But when Divisional VP of Internal Audit Fred Halpin found effectiveness and efficiency problems with the retailer’s homegrown management-operated voicemail-based hotline, he knew it was time to overhaul the problematic system.

Ethics 101: New training works to promote integrity

Wed, 19 Aug 2009 00:00:00 GMT

With the Monday start of the fall semester, Mississippi State University unveils a new training program, reporting system and policy changes to better promote ethics and integrity at the university.

“At Mississippi State, we take seriously our commitment to being responsible and ethical, and I believe each member of our community is a part of that effort,” said MSU President Mark Keenum.

MSU’s departments of internal audit and human resources management, along with the general counsel’s office, recently conferred with an authority in the field to develop content for broad-based training related to ethical situations that might be encountered and how they relate to applicable laws, regulations and policies.

Beginning Sept. 15 for non-academic administrators, human resources staff members will begin online training and, later, class discussions of case studies.

In addition to training, a new ethics reporting system officially approved by Keenum is providing a way to anonymously address potential issues of waste, fraud or unethical actions. The new Web-based MSU Ethics Line is the first independently operated reporting service at a Mississippi public university.

The reporting Web site, www.msstate.ethicspoint.com, is independently operated by EthicsPoint of Lake Oswego, Ore., a company serving more than 2,000 clients nationwide, including more than 300 colleges and universities. Anonymous reports also may be made by telephoning toll-free 877-310-0424.

Reporting Wrongs with a Mouse and a Click

Wed, 19 Aug 2009 00:00:00 GMT

5Teachers College has launched a Web site and telephone hotline that provide faculty, staff and students a way to anonymously and confidentially report allegations of misconduct or fraud in areas ranging from finance and accounting to environmental health and safety.

The site and hotline were created in partnership with Portland, Oregon-based EthicsPoint Inc., which has developed similar reporting systems for educational institutions across the country, including Cornell University, Georgetown University and the University of Pennsylvania.

The development of the reporting system comes amid TC’s continuing efforts to promote safety, security and ethical behavior. Indeed, the site and hotline were not developed in response to any action or event, but instead are designed to be an additional resource for employees, one that draws on best practices and the latest in technology.

“I want to make it very clear that this service is a proactive measure rather than a reaction to any breach of conduct,” states TC President Susan Fuhrman in a letter to the TC community that can be found on the new site. “While I hope and expect that few of us will ever need to use the hotline, I am pleased that we can provide it and enable all members of our community to feel protected and empowered in upholding the College’s high ethical standards.”

Employees are still encouraged to speak with their managers first should there be an issue of concern, but if there is a need for anonymity, the new online site and hotline number provide an easy and effective way to report an incident. The new reporting system is specifically for issues related to finance, accounting, environmental health and safety. Existing reporting methods for such things as harassment and other grievances remain in place.

TC has been working with EthicsPoint for several months to tailor the portal for the needs of the College. As structured, the site gives users the option of calling the hotline number without having to identify themselves or simply filling out a report online. (The site is hosted on EthicsPoint’s server and thus is not part of TC’s Web site.) To file a report, users are given the option of clicking on either Accounting and Financial or Environmental Health & Public Safety.

From there, users have the option of clicking on a range of specific reporting areas that include everything from Conflict of Interest and Theft/Embezzlement to Student Safety and Unsafe Working Conditions. The online forms themselves ask users a number of questions and request various details about the incident.

Once the report is submitted, the system automatically issues the user a unique code, known as a “report key,” that the person can then use to log onto a secure section of the site after 10 business days to check if there are any follow-up questions or submit more information. Users can opt to remain anonymous throughout the entire process.

Any report submitted through the site automatically enters a centralized database and is then routed to appropriate personnel to investigate. The online system is robust enough that it can detect a potential conflict of interest of anyone who is responsible for investigating an incident and route the report to only those who are clear of any potential conflicts.

Treasury & Risk - Tool Time

Tue, 18 Aug 2009 00:00:00 GMT

EthicsPoints recent IEM launch was included in Treasury & Risks weekly Tool Time round-up. Except below:

"EthicsPoint has enhanced its application that helps companies with hotline and anti-fraud efforts keep track of hotline reports and follow-up investigations, as well as the reporting and data analysis involved. Portland, Ore.-based EthicsPoint's Issue and Event Manager now has a dashboard that users can alter to display the information they need most. The upgrade also provides more ways to analyze data sets, more pre-formatted charts and graphs, improvements in the user interface and performance enhancements."

EthicsPoint Listed in This Year's Inc 500/5000

Thu, 13 Aug 2009 00:00:00 GMT

EthicsPoint's Business Model:

Publishes software that helps its clients protect their culture and reputation by automating the business processes involved in identifiying, reporting, investigating, and resolving code of conduct violations. More than 2,000 organizations across all industries use EthicsPoint\'s telephone hotline, Web-based reporting, and case management services as a component of their overall governance, risk, and compliance efforts.

Organizations Turn to EthicsPoint Professional Services to Optimize Compliance Initiatives

Wed, 05 Aug 2009 00:00:00 GMT

Implementation and consulting services align people, processes and technology for sustainable risk management

PORTLAND, Ore. — August 5, 2009 —EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced the expansion of its Professional Services Organization (PSO) to include additional services that help clients develop and improve Governance, Risk and Compliance (GRC) programs. Based on a proven methodology and experience gained from over 2000 client implementations of EthicsPoint Issue and Event Manager (IEM) Software, the company’s PSO now delivers hands-on consulting to help organizations build a business culture of integrity and compliance.

With employee fraud and misconduct predicted to rise due to the economic downturn, ethics and compliance programs form an important part of corporate efforts to manage risk. To help existing customers maximize their GRC program effectiveness, EthicsPoint PSO is offering new Program Optimization services. As part of this service, EthicsPoint consultants conduct a comprehensive evaluation of client business objectives and program needs and deliver recommendations and guidance on program improvements, including how to take advantage of unused functionality within their current EthicsPoint program, upgrading to an advanced application or integrating with other GRC systems.

Design and Deliver a Clear Governance Framework for Success EthicsPoint’s solutions consultants provide a range of implementation services, training and product support. Drawing upon its experience working with stakeholders spanning industries from health care to manufacturing, the Professional Services team partners with clients to understand business challenges, define the core objectives and develop a clear governance framework that will provide ongoing support to manage organizational risk.

EthicsPoint consultants systematically assess client program requirements and align them with current and future business objectives to deliver a readily adoptable, efficient implementation. With a system that is intuitive and easy-to-use, users can quickly access and analyze information to gain insights into current ethics issues and plan improvements that will minimize the company’s risk exposure.

A Guide to Improving Culture and Managing Risk Formed in April 2008, EthicsPoint’s PSO has grown by over 150 percent in the last 12 months. The Professional Services team comprises corporate governance and ethics professionals dedicated to helping EthicsPoint customers design GRC programs that incorporate EthicsPoint hotline and case management solutions into the company’s overall compliance framework, delivering value that goes deeper than basic product support.

The EthicsPoint approach to professional services is based on a closed-loop methodology that incorporates four major components:

Alignment of priorities with Governance, Risk and Compliance processes and initiatives

Awareness of concerns, losses, events and organizational risk

Management of business processes

Insight and transparency into trends and data

“In today’s business climate, risk is a moving target, so our Professional Services consultants approach each client with the strategic goal of improving their overall GRC efforts,” said David Childers, president and CEO, EthicsPoint. “We work closely with each client to understand their unique business challenges and build a sustainable structure that increases productivity and delivers a faster return on investment.”

Additional services offered by the PSO team include custom education and scenario-based training, best practice recommendations, integration and change management, and dedicated account management and support.

About EthicsPoint EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

# # #

Contact: Toni Cole, Edelman (503)471-6841 toni.cole@edelman.com

EthicsPoint Enhances Hotline Reporting and Case Management Solutions

Tue, 04 Aug 2009 00:00:00 GMT

New Issue and Event Manager provides greater visibilityinto business, operational risks

PORTLAND, Ore. — August 4, 2009 —EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced updated versions of its Issue and Event Manager (IEM) Professional and Enterprise solutions. Improved features and an enhanced user interface streamline access to hotline information and improve data analysis capabilities, providing compliance, HR, audit, security and other business stakeholders greater visibility into business and operational risks.

The EthicsPoint Issue and Event Manager application is designed to serve as an end-to-end compliance solution, from the initial intake of reports, through investigation and resolution processes, and finally, to reporting and data analysis for ongoing ethics and GRC program improvement. The new versions of IEM Professional and Enterprise give ethics and compliance managers a more comprehensive and intuitive view into hotline data and incident reports, delivering detailed insight into areas of risk as well as greater assurance that compliance programs are in place and effective.

“Many HR and compliance teams are being squeezed by ethics program staffing and budget cuts coupled with a simultaneous increase in cases of workplace misconduct that they must document, investigate and resolve,” said David Childers, CEO of EthicsPoint. “Technology such as EthicsPoint Issue and Event Manager can fill an important role by automating and streamlining this work and freeing up staff time to focus on and develop effective strategies to manage broader ethics and compliance risks.”

Customizable dashboard and dynamic UI streamline workflow

The changes made to IEM were made based on client feedback, with the goal of making it easier for organizations to realize the full potential of their hotline and case management investment. Improvements to IEM Professional and Enterprise include:

·        Dynamic and configurable user dashboard: Users can personalize their home page to display frequently accessed reports and information that is most relevant to them, such as saved reports, system messages or RSS feeds.

·        Additional data viewing tools: The expanded data functions help users analyze and interface with data sets including “drag and drop;” column chooser; sort, filter and group; and new data export formats. There are also additional preformatted charts and graphs to display information visually.

·        Enhanced user interface features changes designed to enhance workflow and productivity. From navigation architecture and page views to icon design and color palette, users will find a more dynamic and interactive UI that makes it easier to navigate to find, view and understand relevant information.

·         Performance enhancements from continued investment in server and data center technologies, as well as rich internet application technologies including AJAX, ASP.NET, Silverlight and other standards-based components, provide a secure, dynamic and modern user experience.

About EthicsPoint

EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

 

# # #

Contact:Toni Cole, Edelman503-471-6841toni.cole@edelman.com

Software Association of Oregon Elects New Chairman and Vice Chair To Board of Directors

Mon, 03 Aug 2009 00:00:00 GMT

Ryan Buchanan And David Childers Provide Dynamic Leadership As SAOTakes Commanding Advocacy Role For State’s Diverse Tech Community

PORTLAND, Oregon, August 3, 2009 - The Software Association of Oregon (SAO) today announced that it has elected Ryan Buchanan as chairman and David Childers as vice chair to its board of directors. These two appointments follow the recent selection of Matthew Nees as SAO’s new president and spotlight the organization’s growing emergence as a leading advocate for Oregon’s diverse technology community.

SAO’s board of directors consist of more than 30 organization members representing some of the most innovative and dynamic technology companies in the country. As chairman and vice chair to the board, Buchanan and Childers will draw on the experience and skills offered by board members to maximize SAO’s ability to build opportunities and economic growth for Oregon’s technology companies.

Ryan Buchanan has been an SAO board member since 2007 and is president and CEO of web and email marketing company eROI. Buchanan has served as president of the board of the Portland Advertising Federation and as a board member of the Friends of the Children, Oregon Entrepreneurs Network, Starve Ups and Greenlight Greater Portland. He was named Portland Business Journal’s “40 Under 40,” and received honors as one of the “50 Great Leaders For Oregon” by Oregon Business Magazine.

Childers joined the SAO board in 2009 and is president and CEO of EthicsPoint Inc., innovators in governance, risk and compliance management software and services. He is a member of the Society of Corporate Compliance and Ethics, the Ethics & Compliance Officer Association and the National Association of Corporate Directors. He is a charter member and serves on the leadership council of the national Open Compliance and Ethics Group. In 2008 he was named one of the “100 most Influential People In Finance” by Treasury & Risk Magazine.

Buchanan’s replacement of Michael Phillips as board chair is part of a leadership transition within SAO that began in 2008. Philips played an instrumental role in facilitating the recent restructuring of SAO as the organization moved to meet the new challenges being faced by Oregon’s technology companies.

“Michael did an amazing job as a leader, facilitator and referee, at a time when SAO was reevaluating its mission and vision for the future,” said Buchanan. “As board chair, he skillfully steered the organization through an evolution that is already showing results.”

“Thanks to the hard work of many, SAO is now poised for enormous success,” said Phillips. “Recent activities show that we are heading in the right direction and it is now time for dynamic leaders within the software community, such as Ryan, to take us into the future.”

Earlier this year, SAO worked closely with the Governor’s office as advocates for the State’s technology community. The organization helped identify projects for federal stimulus spending and outlined key areas where technology investments could play a key role in the State’s budget. SAO also played a pivotal role in establishing Portland’s Clean Technology Alliance, advocates for the advancement of environmentally friendly hardware and software technology  

About the Software Association of Oregon

SAO has been connecting Oregon’s software and technology leaders to each other and relevant technology topics for the last 20 years.  As the only membership based association headquartered in Oregon solely dedicated to the technology industry, SAO offers events, training, services and advocacy to bolster the health of the vital local software industry. 

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FOR IMMEDIATE RELEASECONTACTS:Brad Brenner, 503-736-0610brad@brennerassociates.com

Misconduct Rarely Happens in Isolation: How You Can Detect Critical Trends

Mon, 27 Jul 2009 00:00:00 GMT

Executive Summary (excerpt)

The data most organizations need in order to have visibility into potential code of conduct violations is already available to them. Yet companies are often unaware of these issues until they become multi-million-dollar lawsuits. Our observations of the marketplace, validated by various ethics research studies, show that a major cause of these situations is managers typically do not recognize or correctly escalate issues communicated to them by employees. When the information-gathering process stops at local levels within a company, the potential for true insight is missed.

EthicsPoint Bridges the Gap between Hotlines and Open-Door Reporting

Tue, 21 Jul 2009 00:00:00 GMT

New forms simplify and standardize documentation, enable more comprehensive view into incidents and misconduct trends.

PORTLAND, Ore. — July 21st , 2009 —EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced the availability of Issue and Event Manager Report Forms, customizable web-based report templates that extend the secure, easy-to-use format of EthicsPoint’s hotline reporting portal to managers for documenting issues and complaints received in conversations with their employees. 

Vast majority of all issues are reported face-to-face According to KPMG’s Integrity Survey 2008-2009, employees are almost twice as likely to notify their supervisor or another manager of misconduct, rather than contacting the ethics and compliance hotline. The new Report Forms, which integrate with EthicsPoint Issue and Event Manager Professional and Enterprise versions, help organizations ensure that issues and events requiring documentation, investigation, resolution and analysis are handled consistently, regardless of whether the report originated from the hotline or in manager-employee conversations.

“While many organizations encourage an open-door policy with managers, they often struggle to ensure these verbal reports are appropriately documented and communicated to the appropriate group in a timely manner,” said David Childers, CEO of EthicsPoint. “It makes sense for organizations to take advantage of the existing workflows and data analytics capabilities in their hotline and case management solution.”

“At Town Sports International, we encourage our employees to raise issues either with their supervisor, HR or through our hotline,” said Jim Rizzo, senior vice president of Human Resources. “With the Issue and Event Manager Report Forms, all reports go directly into the same case management workflow, which helps give confidence to our employees that their reports will be addressed and resolved consistently.”

Integrated reporting and case management enable greater business insights EthicsPoint’s HTML-based Report Forms help streamline issues documentation, providing managers with a reporting mechanism that is consistent with the hotline and automatically integrates data within a centralized database. The Report Forms can be customized to capture necessary information about any type of workplace issue or complaint, including:

HR management issues

Work-related injuries

Security investigations

Retail loss prevention 

Patient falls and injuries for healthcare providers

Conflict of interest

Competitor misconduct

Any other code of conduct violation

Forms can also be customized to reflect unique branding requirements and can be made accessible from a company’s intranet, web portal, or via file folders from the desktop of authorized personnel. 

“Companies that only monitor and investigate issues coming in through their hotlines have limited visibility and could be exposed to liability or non-compliance penalties,” commented Childers. “By enabling managers to easily and quickly document issues reported to them, EthicsPoint is helping our clients significantly reduce risk throughout their organization.”

aggregating this data in a centralized database, organizations can more easily spot trends that may indicate a widespread risk to the organization.”

About EthicsPointEthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

Contact:Toni Cole, Edelman 503-471-6841 toni.cole@edelman.com

Copyright 2009 EthicsPoint, Inc. EthicsPoint and the EthicsPoint logo are trademarks or registered trademarks of EthicsPoint, Inc.  All other trademarks are the property of their respective owners.

IEM Professional Enterprise - Release Notes Summer '09

Wed, 15 Jul 2009 00:00:00 GMT

Release notes for Summer '09 Release of Issue and Event Manager Professional and Enterprise

Kroll Global Fraud Report - Corruption & Bribery

Fri, 10 Jul 2009 20:15:23 GMT

Pumping trillions of dollars into the world economy creates a once in a lifetime opportunity for corruption. How large the issue is, and the potential consequences on corporations, will be discussed in this webinar and the latest issue of the Kroll Global Fraud Report.

London User Forum: Culture and Corruption at Work

Fri, 10 Jul 2009 16:33:52 GMT

Join us for a dynamic one-day user forum on corruption legislature (FCPA) and corporate ethical culture: July 14th in London.

Lessons from the Dark Side

Wed, 01 Jul 2009 00:00:00 GMT

Meet Nicholas and Carolyn Ryberg. Nick is a former vice president of HR for a Fortune 500 company; Carolyn is a former small business owner.

They are happily married, strive to be good parents and are comfortable in their hometown of Eagan, Minn., a bedroom community just outside of Minneapolis. They are both studying to receive Master of Divinity degrees from the Western Theological Seminary in Holland, Mich. Carolyn is also a resident seminarian at the Peace Reformed Church in Eagan.

They are "normal." They are also ex-cons.

Georgia Tech's Networking and Mentorship Programs Challenge Employees

Tue, 30 Jun 2009 00:00:00 GMT

Five years, two promotions, and one Outstanding Staff Performance Award later, Ms. Diggs-Butler, who coordinates registration in the George W. Woodruff School of Mechanical Engineering, says she's found a place to work for life: "It doesn't matter whether you're a staff person or on faculty, everyone realizes they're important here."

Ms. Diggs-Butler is one of several employees who have benefited from university mentorship and networking programs designed to further career plans. While she participated in Mentor Tech, a program primarily for support-staff members, faculty members have seen success from similar programs.

Adjo A. Amekudzi, an associate professor of transportation engineering, took part in a mentorship series sponsored by a National Science Foundation grant. Aimed at raising the number of women in scientific and engineering careers, it helped prepare her for a successful tenure bid, she says. She also attended informal networking events and workshops offered by the university. "They make women more aware of the kinds of resources and other things that can help them," she says.

Georgia Tech also used money from that grant to work on eliminating bias of all kinds in the promotion-and-tenure system. A team of university designers created a computer-simulation game that places players in hypothetical promotion-and-tenure situations, and challenges them to identify forms of bias. After seeing participants grow more aware of the biases that can surface during the process, researchers posted the game online for the general public to use. Promotion-and-tenure committee members also use the game as part of their training.

In 2002, Georgia Tech began using EthicsPoint, a hotline that employees can call anonymously with job complaints. "The employees are very pleased that there's a way in which they can relate issues to management without having to be the one who stands up and falls on their sword," says Phillip W. Hurd, director of internal auditing.

While performance management and conflict coaching are high on the agenda at Georgia Tech, which employs more than 5,700 people, Pearl J. Alexander, senior director for employee-relations services, says there's still room to improve. "We don't want to be satisfied with where we are," she says. "We definitely want to lead in this area."

Operators Are Standing By: Hotline Reporting at Thunderbird School

Fri, 26 Jun 2009 00:00:00 GMT

New graduates of the Thunderbird School of Global Management in Glendale, AZ are challenged to sign a professional oath of ethics akin to the medical practice's Hippocratic Oath. But the graduate school knows that pursuing an ideal isn't the same as achieving it. Some students don't follow the rules. Some students do things that imperil their lives. And that's why Thunderbird has also implemented EthicsPoint, a Web-based anonymous hotline and case management system. Originally introduced in 2006 to allow faculty and staff to report incidents of unethical behavior, the college expanded the functionality in 2008 to all students as a safety measure.

Most Colleges Avoid Risk Management, Report Says

Thu, 25 Jun 2009 00:00:00 GMT

Less than a quarter of colleges regularly assess how they could prevent or respond to threats such as criminal acts, environmental catastrophes, and financial misconduct. And half of colleges plan for such risks only after receiving an audit, experiencing a campus crime, or seeing the fallout from such a problem on another campus.

Whistleblowing: Are We Hearing More of it Now and How Should We be Responding?

Tue, 23 Jun 2009 16:45:25 GMT

David Childers, CEO and President, will be speaking on Whistleblowing: Are We Hearing More of it Now and How Should We be Responding, at the Institute of Internal Auditors (IIA) Governance, Risk, and Compliance Conference.

Ethics on the Cheap????

Fri, 19 Jun 2009 00:00:00 GMT

I just ran across a recent thought-provoking article in the Christian Science Monitor, called "Are Ethics Too Expensive? about companies cutting back on ethics training due to budget pressures. This got me thinking on a number of fronts:

How can we measure the long-term ramifications of these decisions? I spend a good part of my time at work thinking about how to prove the positive return on investment for ethics programs. So little hard data exists I find the same statistics being used over and over in the media (the cost of fraud, according to the ACFE, the increased shareholder value for the Ethisphere "Most Ethical Companies," etc.). But if there's a lack of hard data to prove the positive, there's even less to show the adverse affects of a poor ethical culture (unless you take what's written in the popular media every time a company on Wall Street fails). I'd love to know which companies are cutting back and track their performance over time - I'll bet they suffer.

Given that we're all under pressure to keep costs down, you can't just argue to keep spending flat to previous years, much less increase it. So - instead of cutting training altogether or severely cutting back on it, have these companies looked at new ways to deliver the training? I filled in for our CEO David Childers today on a "Use of Social Media in Compliance" webinar and talked about ways companies can use Web 2.0 technologies and sites such as Twitter, Facebook, Blogging, LinkedIn, etc. within their compliance programs. Based on the instant polls we conducted, not many organizations have embraced Web 2.0 yet. There are a lot of cool and inexpensive ways to deliver your training if you're willing to try new things.

I'm curious - what are you doing to make your ethics training more efficient and effective?

Doing More with Less in Today’s Economy: Obstacle or Opportunity?

Wed, 17 Jun 2009 19:34:19 GMT

Bill Piwonka, Senior Director of Marketing, will be speaking about Doing More with Less in Today's Economy at the Association of Certified Fraud Examiners (AFE) conference in Las Vegas, NV.

Client-Exclusive: Portland User Forum

Tue, 16 Jun 2009 11:53:18 GMT

Join EthicsPoint and other professionals like you in a one-day forum that encourages networking, sharing of ideas, and sharing of best practices.

Client-Exclusive: San Francisco Area User Forum

Tue, 16 Jun 2009 11:51:06 GMT

Join EthicsPoint and other professionals like you in a one-day forum that encourages networking, sharing of ideas, and sharing of best practices.

SCCE: West Coast Regional Compliance Conference

Tue, 16 Jun 2009 10:09:42 GMT

David Childers, CEO and President, will be speaking on Data Privacy and Helplines at the Society of Corporate Compliance and Ethics (SCCE): West Coast Regional Compliance Conference.

Deloitte whitepaper: 2009 American Recovery and Reinvestment Act, Going Beyond Compliance

Tue, 16 Jun 2009 00:00:00 GMT

Thanks to the 2009 American Recovery and Reinvestment Act (ARRA), public infrastructure is receiving a major infusion of federal dollars. Since the plan was first announced, there has been considerable debate over how to ensure that the nation spends the stimulus dollars wisely, avoiding some of the more egregious fraud, waste and abuse problems that have plagued earlier emergency spending initiatives like the responses to hurricanes Katrina and Rita and the reconstruction of Iraq.

To prevent large amounts of fraud, waste and abuse from derailing ARRA, it is critical for every organization receiving substantial ARRA funds to get the basics right – from planning all the way through to closeout audits – and then to effectively execute them. Getting the basics right can help reduce waste, fraud, and other incidents that will tarnish the reputation of the spending agency.

Only after the basics are in place can program management and anti-fraud program controls be further strengthened by utilizing more innovative management and technology practices, including:

Using scenario planning to determine all the combination of things that can go wrong when you are rolling out multiple projects at great speed

Adopting a portfolio management approach to identify synergies among projects that can be effectively delivered within the time frame allotted

Transforming financial operations and processes to collect and report financial performance data on a real-time basis

Using innovative procurement models to shift the risks and incentivize performance

Putting everything – contracts, expenses, project details and the like – up on the Web for public consumption, and making it searchable

Using social media tools to facilitate a meaningful two-way conversation with the public about how stimulus funds are being spent

Employing analytics tools to transform the volumes of raw data collected into useful information

Developing a collaborative workspace to facilitate interagency and intergovernmental information sharing and collaboration in real time

Using these innovative techniques can help to mitigate the amount of fraud, waste, and abuse in the ARRA program while optimizing performance. Moreover, diffusing these innovations throughout the organization can enhance overall agency performance long after ARRA funds run out.

This report helps government agencies manage the tidal wave of stimulus funds, first by getting the compliance basics right and then by building more robust operational capacity. This is critical to preventing ARRA funds from going the way of other emergency spending initiatives that were marred by unacceptably high levels of fraud, waste and abuse.

Voluntary Boundaries of Compliance: How to Draw the Line

Tue, 16 Jun 2009 00:00:00 GMT

In the almost seven years since the passage of Sarbanes-Oxley, compliance and risk professionals have worked diligently to be in compliance with the law and sustain an ethical culture. You would think more than two-thirds of a decade would be sufficient time to get it right, but that assumes Sarbanes was all they had to contend with. Unfortunately, during this period of time more than 18,000 additional laws and regulations have been passed in the United States alone. Each requires either a cursory review or the direct attention of CEO’s, Boards, or compliance professionals.

Recognizing that compliance is a moving target, organizations must determine their long-range compliance strategy. Will they study and define a minimum set of standards to achieve compliance or seek to fund and refine a very broad set of initiatives to ensure minimal out-of-compliance risk –- or something in between?

DII Best Practices Forum

Thu, 11 Jun 2009 12:29:05 GMT

David Childers, CEO and President, will be speaking on Compliance and a Culture of Ethics in Challenging

Environments at the Defense Industry Initiative (DII) in Washington, DC.

Ethics Resource Center 2007 National Business Ethics Survey

Thu, 11 Jun 2009 00:00:00 GMT

As the Ethics Resource Center presents the findings of its 2007 National Business Ethics Survey (NBES), the fifth in its benchmark series, we are more aware than ever that the world of "ethics" has moved far beyond the world of "compliance." Equally important, the study reveals that understanding and measuring an organization's ethical behavior is absolutely central to the risk equation that every business now faces -- and to the value that it brings in the financial and commercial marketplace.

National Retailer Federation Loss Prevention Conference

Mon, 08 Jun 2009 11:17:05 GMT

EthicsPoint will be exhibiting at the National Retailer Federation (NRF) - Loss Prevention Conference.

American Recovery and Reinvestment Act Compliance: Is Your Institution Ready?

Thu, 04 Jun 2009 18:34:13 GMT

Is your Higher Education institution one of thousands of organizations receiving stimulus funds from the American Recovery and Reinvestment Act? Do you fully understand the impact of its provisions on your compliance program?

Bottlenecks in Ethics Reporting

Thu, 04 Jun 2009 00:00:00 GMT

Does the Ethics Office Always Receive the Complete Picture? Do ethics offices and senior leaders get all the information they need?

Organizational structure and inconsistent language standards serve as impediments to the capture of risk information.

EthicsPoint Establishes Fund for Ethics Research at The University of Arizona

Tue, 02 Jun 2009 00:00:00 GMT

Program to advance business ethics research and ethical management practices

Portland, Ore. (PRWEB) June 2, 2009 -- EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced a gift to The University of Arizona Foundation that will establish the EthicsPoint Fund for the Discovery and Dissemination of Ethics Research. The first of its kind for the University and EthicsPoint, the Fund will support research, education and collaborative programs designed to redefine the focus and impact of business ethics research.

"The economic downturn has underscored that poor ethical leadership can have a negative impact on not only a company's reputation, but also the bottom line," said David Childers, CEO, EthicsPoint. "EthicsPoint and The University of Arizona's Eller College of Management share a common view that business ethics must transition from the philosophical to the practical. EthicsPoint makes this donation with the dual goals of helping prepare the next generation of business leaders and of advancing research to better understand the dynamics behind behavioral ethics in business."

Under the administration of the Department of Management and Organizations (M&O) in the Eller College of Management, the EthicsPoint gift will provide for research discovery and dissemination. The M&O department will work with EthicsPoint to define and support research in areas including organizational justice, behavioral decision-making and management information systems. They will jointly promote these findings and education via reports, webinars and other marketing and educational programs.

EthicsPoint and M&O will also partner to offer the inaugural Business Ethics Symposium hosted by the Eller College of Management. At this symposium, industry compliance officers and M&O faculty will offer panel discussions that tie best practices from industry with emerging research from academia.

"This program represents an important collaboration between the public and private sectors to redefine and promote ethical leadership," said Stephen Gilliland, Arnold Lesk Chair in Leadership and Head of the M&O Department, The University of Arizona. "The EthicsPoint gift will not only fund our research, but will give both our students and faculty the opportunity to gain real-world experience and knowledge with leaders from EthicsPoint. We are honored by EthicsPoint's recognition of our work and look forward to furthering it with their generous support."

"The cutting-edge research by the University faculty on the dynamics behind ethical decision-making, combined with our experience working with over 2,000 organizations, will enable us to deliver more value to our clients and help them build a sustainable business culture of integrity," added Childers.

About The Eller College of Management The Eller College of Management at The University of Arizona is internationally recognized for pioneering research, innovative curriculum, distinguished faculty, excellence in entrepreneurship, and social responsibility. The College is home to top-ranked entrepreneurship, MIS, MBA, doctoral, and undergraduate programs, and leads the nation's business schools in generating grant funds for research. The Eller College of Management supports more than 5,500 undergraduate and 600 graduate students on the UA campus in beautiful Tucson, Arizona.

The Department of Management and Organizations (M&O) in Eller has embraced an emerging field of behavioral ethics that focuses on organizational practices and individual decision processes. The M&O Department represents one of the strongest groups of researchers in the world using this new orientation, and is defining and developing the next generation of business ethics research. This new orientation draws on social scientific research methods, with an emphasis on quantitative data analysis and experimental methods.

About EthicsPoint EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit http://www.ethicspoint.com.

Back to School

Mon, 01 Jun 2009 00:00:00 GMT

I'm currently sitting at my son's dance studio, waiting for him to finish his hip/hop rehearsal in preparation of the big recital in two weeks. Ironically, in one of the studios nearby, the class is working on a dance to Alice Cooper's 1972 hit, "School's Out," while I'm writing this blog announcing the new EthicsPoint Fund for the Discovery and Dissemination of Ethics Research with The University of Arizona's Department of Management and Organizations in the Eller College of Management. School is definitely NOT out for EthicsPoint!

The first of its kind for the University and EthicsPoint, the Fund will support research, education and collaborative programs designed to redefine the focus and impact of business ethics research. One of the things that attracted us to the work being done at The University of Arizona is they share our view that the teaching and research of business ethics needs to transition from the philosophical to the practical.As a result of our partnership, we'll be working with the faculty of the Department of Management and Organizations in a number of ways, including:

Establishing a Business Ethics Symposium later this year in which industry ethics and compliance officers and faculty from M&O will jointly participate in panel discussions that tie best practices from industry with budding research from academia.

Publicizing the work of the M&O faculty in the area of business ethics through webinars, whitepapers and other communication vehicles.

Working with the faculty on their research projects into business ethics when appropriate.

Collaborating with the faculty within their classrooms, with EthicsPoint senior management participating as guest lecturers, providing students with the perspective of private industry to augment their studies.

This announcement is just the start in our relationship with The University of Arizona, one that I see having great promise and potential, and I can't wait to see where it goes!

Is That a Pledge Pin, Soldier?

Sun, 31 May 2009 00:00:00 GMT

Forgive the reference to one of the favorite movies from my early teenage years, but it came to mind when I read a NY Times article about the Harvard MBA's who were taking a pledge to act responsibly, ethically, and refrain from advancing their "own narrow ambitions" at the expense of others.

Don't get me wrong, I'm all for people acting with integrity and ethics, but I find this news somewhat disturbing. First, only 20% of the graduating class has signed it so far. I refuse to believe the rest of the 80% don't believe in what the oath stands for. Instead, I'm very hopeful that those 80% feel a bit like me - why do I need to sign an oath to do what should be considered normal course of action?

As a father of two boys (12 and 14), I certainly hope they don't need to sign an oath to remember to do what's right - I know that the values my parents, coaches, teachers, Sunday School leaders and other adults instilled in me helped form the basis for my actions. Likewise, I would hope that the future leaders of business already had formed a moral compass that will guide them as they encounter ethical challenges in the workplace. If an oath helps them remember to do the right thing, great. But hopefully it's only a reminder to do what they would have done otherwise, and not the sole thing guiding them.

Perhaps I'm being a bit cynical - what do you think?

Client-Exclusive: Chicago User Forum

Thu, 28 May 2009 19:02:48 GMT

Join EthicsPoint and other professionals like you in a one-day forum that encourages networking, sharing of ideas, and sharing of best practices.

Client-Exclusive: Toronto (Canada) User Forum

Thu, 28 May 2009 16:21:27 GMT

Join EthicsPoint and other professionals like you in a one-day forum that encourages networking, sharing of ideas, and sharing of best practices.

Learn How EthicsPoint Will Help You Mitigate the Risk of Potential FCPA Violations

Thu, 28 May 2009 11:22:47 GMT

We show why EthicsPoint Issue and Event Manager is instrumental in helping companies mitigate the risk of Foreign Corrupt Practices Act (FCPA) violations.

Ernst &Young European Fraud Survey 2009

Thu, 28 May 2009 00:00:00 GMT

Last week Ernst & Young released their European Fraud Survey 2009 - a fascinating and disturbing (they called it "startling") report. I'd strongly recommend any readers with European operations to download a copy, as it highlights a number of key problems, including a shockingly high tolerance for unethical behavior and a serious lack of confidence in senior management and board members.

The survey was conducted in January and February with a total of 2,246 interviews with employees in 22 European countries - all participants were employed with companies with over 1,000 employees, stock exchange-listed or multinationals.

Here are just a few nuggets I pulled:

55% of respondents expect corporate fraud to increase over the next few years

29% believe management to be untrustworthy

42% believe that the senior ranks in an organization pose the biggest threat of fraud.

25% thought it was acceptable to make case payments to win new business (potential FCPA violations!)

At a country level, only 12% from Italy or France believed their management always operated with a high level of personal integrity (my ancestral home of the Czech Republic didn't fare much better at 13%)

On a much happier note, we had a fantastic user forum in Boston last week. Very interactive, lots of networking (favorite quote from the day from a conversation between two participants - "We HAVE to meet more often- we only work five minutes from one another!") and a great presentation from Doug Cornelius on the implications of social networking for compliance officers. I'll be in Chicago next week and am really looking forward to meeting our clients there. (unfortunately will not be able to attend the Toronto Forum also next week, but looking forward to hearing how it goes).

Know Your Wage: How to Prepare and Protect Your Company from the Lilly Ledbetter Fair Pay Act

Fri, 22 May 2009 10:30:49 GMT

With a retroactive effective date of May 28, 2007, it is imperative that companies know, and understand, the ramifications and the significant effect the Lilly Ledbetter Act law has on your record-keeping policies and compliance programs. Are you confident that your organization is prepared to comply with this new Act? Attend this webinar and become familiar with the history and scope of this monumental law, and learn valuable strategies to address its potential effect on your organization.

Interesting Litigation Survey

Thu, 21 May 2009 00:00:00 GMT

At the end of March my family and I escaped the dreary weather of Portland for the warmth and sunshine of Arizona. At the time I remarked to my wife just how much I disliked the whole air travel experience - from the lines at security to over-crowded planes with decreased/ nonexistent service (food, beverage, a kind word, etc...). There's just no comparison to the experiences I had as a child, when flying was fun (at least to me).

I thought about that today as I was flying across country, sandwiched between the window and a woman who evidently couldn't remember that her husband (and the person - I hope -on whose shoulder she wanted to sleep) was on her LEFT side, and not the right, where I sat. Because, despite the discomfort and inconvenience that is now associated with air travel, I actually had been looking forward to my flight. Not for the flying experience, but for the four hours my laptop battery would last, and the uninterrupted time to get some work done!

One of the things I did somewhere over Minnesota was read the 2008 Fulbright Annual Litigation Trends Survey, from the law firm of Fulbright and Jaworski LLP. Although published in October of 2008, I just ran across this earlier this week, and I found it fascinating! Here are just a few tidbits I pulled from the report:

One third of all publicly held companies and 17% of all privately held companies have at least one lawsuit with more than $20 million at issue

One of every 10 companies spends at least $10 million or more annually (excluding settlements and judgments!) 

A third of all publicly held companies and 17% of all privately held companies have at least one lawsuit with more than $20 million at issue

43% of respondents from the largest companies expect disputes to increase this year

The greatest increases in multi-plaintiff cases in the US are Wage-hour, discrimination and privacy issues

Half of the US respondents consider Labor/Employment litigation to among their greatest concerns

Companies spending $1 Million or more on litigation increased in both the US and UK. Among smaller companies, the percentage spending $1M+ more THAN TRIPLED and increased by half among mid-sized companies

One third of privately held companies and 60% of publicly held companies conducted at least one internal investigation requiring outside counsel. More than half report 2 to 5 of these investigations Considering all this, the biggest question I have is...

Why aren't more companies implementing ethics and compliance programs that have proven to reduce both the risk of litigation and the cost associated with settlements and judgments???

Oh, and I was on a plane today because I am attending the first of the 2009 EthicsPoint Regional User Forums here in Boston. I'm really looking forward to meeting many of our customers here in the Northeast, including Doug Cornelius, who writes a great blog - Compliance Building, and will be presenting on the use of social media in Ethics and Compliance programs.

Ethics: Lessons Learned from the Trenches

Thu, 14 May 2009 11:37:06 GMT

Does your University have the type of culture that will lead to ethical lapses or breakdowns? Or, the type that will keep it out of trouble?

Using actual cases to illustrate, Hank Shea, Senior Distinguished Fellow, University of St. Thomas School of Law and Holloran Center for Ethical Leadership Professions, explains the causes, consequences, and cures for typical ethical breakdowns and misconduct found in Universities, or any organization, that can lead to criminal wrongdoing.

Healthcare Organizations: Designing, Implementing and Maintaining an Effective Compliance Program

Wed, 13 May 2009 12:50:55 GMT

View this webinar and learn from the expertise of John Steiner, Chief Compliance Officer UK HealthCare of the University of Kentucky, a well known leader in Healthcare Compliance. John addresses the key legal principles that are the foundation of effective corporate compliance and specific methods for implementing those principles in complex healthcare organizations.

Unprecedented Whistleblower Provisions Created by the ARRA (aka "Stimulus Bill")!

Wed, 13 May 2009 12:49:07 GMT

Are you one of the thousands of companies receiving stimulus funds from the American Recovery and Reinvestment Act (ARRA)? Do you fully understand the impact the much-extended reach of the whistleblower provisions has on your compliance program? Join Frank C. Morris, Jr., Esquire, as he provides key insights into compliance with the sweeping whistleblower provisions and new level of accountability applicable to a broad range of recipients of covered funds.

EthicsPoint Names Michael Lund new Director of Global Partnerships

Thu, 07 May 2009 00:00:00 GMT

Industry veteran brings strengths in building high-performing channel programs

PORTLAND, Ore. — May 7, 2009 —EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced that Michael Lund has joined the company as the Director of Global Partnerships.  Mike brings a unique set of experiences with more than 20 years of sales and marketing leadership in the technology and professional services markets.“Strengthening our global presence and supporting our OEM, Integration and Referral Partners are key components of EthicsPoint’s strategic plan to maintain our rapid growth,” said Tom O’Keefe, executive vice president, EthicsPoint. “Mike brings a strong record of success in building superior channel programs, and his experience as a vice president of sales and general manager gives him the ability to contribute right away to both EthicsPoint and our partners’ success.”Prior to joining EthicsPoint, Mike was the vice president, North American sales and general manager at Genevalogic/Netop where he led his team to double-digit growth in consecutive years by doubling sales through channel partners. Prior to that, Mike held key sales leadership positions at Activant Solutions.“EthicsPoint strong commitment to growing the contribution from their Global Partners, enviable reputation as the leading provider of hotlines and case management solutions and incredible passion and level of talent throughout the organization are among the reasons I am so excited to take on this role,” said Lund.  “I look forward to working collaboratively with our partners to drive an even high level of growth.”About EthicsPointEthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.For more information, visit www.ethicspoint.com.# # #Contact:Toni Cole, Edelman (503) 471-6841 toni.cole@edelman.comCopyright 2009 EthicsPoint, Inc. EthicsPoint and the EthicsPoint logo are trademarks or registered trademarks of EthicsPoint, Inc.  All other trademarks are the property of their respective owners.

EthicsPoint 2009 Best Ethics and Compliance Portal Winners!

Thu, 07 May 2009 00:00:00 GMT

It is with great pleasure that I am able to announce, honor and celebrate the 10 winning companies in the EthicsPoint 2009 Best Ethics and Compliance Portal contest.

These portals were chosen from among our more than 2000 customers, and were judged based on a number of factors, including clarity of message, quality of reporter experience, effective integration within their overall governance, risk and compliance (GRC) strategy and innovative use of technology.

Please join me in congratulating this year's winners:

AkzoNobel

AstraZeneca

Catholic Healthcare Partners

The Coca-Cola Company

Diocese of Cleveland

FMC Technologies Inc.

Integrys Energy Group

Staples

Toyota Financial Services

University of California System

To view a screenshot of these winning portals or learn how we can work with you to improve your portal, visit our site.

EthicsPoint Honors 2009 Best Ethics and Compliance Portals

Thu, 07 May 2009 00:00:00 GMT

Custom Portals Showcase Best Practices in Business Ethics, Compliance Communications

PORTLAND, Ore. — May 7, 2009 — In conjunction with Corporate Ethics and Compliance Week, EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, today announced the winners of the 2009 Best Ethics and Compliance Portals contest. Entries were judged based on their clarity of message, quality of reporter experience and effective integration with an overall governance, risk and compliance (GRC) strategy. The 10 client portal pages selected as the EthicsPoint 2009 Best Ethics and Compliance Portals are:

AkzoNobel

AstraZeneca

Catholic Healthcare Partners

The Coca-Cola Company

Diocese of Cleveland

FMC Technologies Inc.

Integrys Energy Group

Staples 

Toyota Financial Services 

University of California System

“These winning portals illustrate the outstanding job these organizations have done to foster a business culture of trust and transparency,” said Tom O’Keefe, executive vice president, EthicsPoint. “By customizing their portals to reflect their organization’s unique branding, these clients have created a seamless experience to market their ethics and compliance programs and create greater employee awareness.”Winning Perspectives on a Sustainable Compliance EnvironmentAstraZeneca:  “At AstraZeneca, we believe that compliance programmes should do more than offer a reporting mechanism,” said Steve Mohr, global compliance officer. “The AZethics portal is an important part of our communication strategy which supports our aim to embed a culture of ethics and integrity through our commitment to a clear set of principles defined in our Code of Conduct and supporting Global Policies. All employees worldwide are educated in these principles and are encouraged to take an active role in making our corporate culture of ethics and integrity a reality.”The Coca-Cola Company:  “At The Coca-Cola Company, we understand that our reputation is our most valued asset. Through our Company values and initiatives like the EthicsLine, we are committed to being a leader in corporate responsibility and maintaining world-class standards of integrity and fair treatment of all Company associates and other stakeholders,” said Sharon Zealey, chief ethics and compliance officer. “In the 200 plus countries where we operate, we offer EthicsLine as an on-line resource available 24/7 with language translations, and as a toll-free hotline.”   FMC Technologies Inc.:  “FMC possesses a culture of integrity based on a spirit of ethics, trust and cooperation – principles that we expect our employees to live every day, and that every employee can always expect from FMC,” said Jeff Carr, vice president, general counsel and secretary. “We live in an increasingly complex and interconnected world; we respect and are committed to complying with the laws, customs and cultures of the communities in which we operate. We are pleased that EthicsPoint has recognized our ethics portal as noteworthy.”University of California System: “UC's core values are integrity, excellence, accountability and respect, which are essential to fulfilling our mission of instruction, research and public service,” said Sheryl Vacca, senior vice president, ethics, compliance & audit services and chief compliance & audit officer. “Our partnership with EthicsPoint strengthens our ability to institutionalize these vales in our daily work, and in doing so helps us to fulfill the university’s mission.”Front Line of Employee and Stakeholder CommunicationsCustomized portals form an important part of a company’s overall GRC efforts. They serve as a resource for employees, partners, customers, shareholders, suppliers and other stakeholders seeking information about the organization’s code of conduct. With the economic downturn driving many organizations to look for ways to improve the efficiency and effectiveness of their compliance programs, businesses are emphasizing cooperation and communication among stakeholders. By making ethics and compliance everyone’s business, organizations can derive stronger business value from their GRC efforts.To view the 2009 winning portals and learn more about best practices for integrating a portal into a broader corporate reporting program, visit www.ethicspoint.com/hotline/service/customer-portals.aspx. About EthicsPointEthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.For more information, visit www.ethicspoint.com.# # #Contact:Toni Cole, Edelman (503) 471-6841 toni.cole@edelman.comCopyright 2009 EthicsPoint, Inc. EthicsPoint and the EthicsPoint logo are trademarks or registered trademarks of EthicsPoint, Inc.  All other trademarks are the property of their respective owners.

Developing a Culture of Honesty and Integrity...It's Not Easy!

Tue, 05 May 2009 13:00:08 GMT

How committed is your organization to developing a culture that

fosters open and honest behavior? If an organization is committed, they need to be willing to work hard to achieve that goal. Learn from Bob Phillips, co-author of the book "Absolute Honesty; Building a Corporate Culture That Values Straight Talk and Rewards Integrity," about the tools he has developed over his 30-plus years of business experience. Tools that he’s successfully used to introduce cultural change initiatives.

Ethics and Compliance Week

Sun, 03 May 2009 00:00:00 GMT

It's been a few weeks since my last post - no idea where the time goes. But I'm hoping to post at least 3-4 times this week - lots going on, as it's Ethics and Compliance Week. For now I've just got some random items...

Just read a really interesting blog by Shanti Atkins, President and CEO of ELT, discussing the impact of the "Obama Effect" on Workplace Compliance. Whether you fervently support our new President or find yourself disagreeing on his policies thus far, I think we all can agree that compliance will play a big part in his policies, and it pays to keep up with all the new legislation. (If you want to get more informed on the impact of the Lilly Ledbetter Fair Pay Act, sign up for our upcoming webinar, to be given by Martin Wickliff, JR - Epstein Becker; Green, P.C

Congratulations to all the EthicsPoint customers who were named among the 100 Most Ethical Companies. (I'd name them all, but the list would get unwieldly for a short blog!)

The OCEG Red Book 2.0 Final Draft has been released - If you haven't downloaded it yet, you should!

If you ever have a chance to go to Blue Hill NYC restaurant, I strongly encourage you to do so - had a phenomenal meal there earlier this month

Look for more stuff here later this week - I'm hoping to preview some really cool data we've been looking at as we pull together our latest benchmarking report; we'll be announcing the winners of the 2009 Best Ethics and Compliance Portal contest, and maybe a few other things as well.

Can Web 2.0 rekindle America’s love affair with the automobile?

Thu, 30 Apr 2009 00:00:00 GMT

As many of you know I made the decision to go back to school this year and have been attending an extended learning program at MIT Sloan School of Business. I have my quarterly meeting in Cambridge coming up and was reading through my assigned case studies this weekend. One of the readings concerned a supply chain situation at Ford that was taken from events earlier this decade. I don’t know if the professor was looking to evoke this line of thinking, but I started wondering if the automobile world could transform itself and convert to the Dell distribution model. So while this is outside the realm of my normal blog topics I am hoping to leverage this forum to get some quick feedback for this zany idea.

The Dell Direct Model has been very successful from a supply chain and margin contribution perspective. Dell Direct is a business model that eliminates the traditional distribution channel and goes directly to the consumer. Traditionally, as is in the case of Ford and others, there is a supply chain that supports the manufacturer (the “brand”); the finished goods are shipped to a variety of distribution outlets and the consumer selects a branded product from one or more of these outlets.

Dell broke this model by using a Web 2.0 enabled business model that removed the traditional hardware distributors and opened a line of communication directly with their customers. They also ensured/marketed that the computers they sold would be customized for each client and delivered to their home. They built a website with a well defined on-line configurator and allowed the consumer to craft the PC of their choice.

Stick with me – I know this may sound crazy, but with the automobile industry in chaos-wouldn’t this model work for cars just as it has for computers?

One of the many problems with the auto industry is over supply. In 2008 manufacturers had the capacity to make 17 million cars annually to support a 10 million domestic car demand. The current cost-to-market structure and low margin of profit per vehicle has collectively rendered auto company business plans not successful at the 10 million vehicles sold rate. Regrettably, the industry has continued to blindly build significantly more than 10 million cars, go deeper in debt and is now financially and credibility bankrupt.

By changing their go-to-market strategy Dell proved they could derive stronger margins, control their inventory costs and nurture a very satisfied consumer base. So what would this mean for the car buying consumer? First the buying experience would change dramatically. Showrooms would be totally reconfigured with more interactive displays and computer simulations but the overall footprint would be reduced dramatically. Sure the auto dealers would need to have a few, very few, new models in stock for the person who just wanted a good, better or best model and wanted a new car today. There would still be used cars, but for a new car the majority of us would configure our new car, do the paperwork and have it arrive 3-4 weeks later. Or, we might never visit a showroom and simply configure and buy the car on-line.

If you let your mind wander a bit and if you have ever configured a Dell system you can begin to think about how this buying experience might work. Packages and promotions would be similar. Like a free upgrade to a XM/Sirius radio instead of an upgrade to a DVD Burner from a standard CD drive. How about custom wheels in lieu of an extended battery? Door to door shipping is a premium option, but a cost-efficient pick up area near a rail distribution hub could provide the lowest shipping cost option.

The advantages of this system could be remarkable. The cost to build and maintain (just think of the property tax savings in some states) a dealership would be significantly reduced. Even rural communities would be better supported with this model. While the assembly-line process would need to evolve to ensure overall vehicle costs do not rise dramatically, the advantage of knowing your exact demand would eliminate excess inventory and floor-plan costs would be dramatically reduced.

Because manufacturers are primarily shipping product on demand it is likely transportation costs would improve – the carbon footprint would also be reduced.I can imagine unique designer packages for interiors that are truly unique. Resale values might hurt downstream with some poor choices, but why not a Martha Stewart, NASCAR, or NCAA interior of your choice? All would add license opportunities and potential additional revenue. Buying online also provides click through revenue from alternative financing sources or custom items from tailpipe extensions to HD-DVD systems made for the vehicle, but not available from the manufacturer.

More importantly, just like Dell, the auto manufacturer would begin to know what motivates the consumer and cars would evolve just as PCs have to meet the usage demands of the consumer. Lower R&amp;D costs, fewer miscalculations (can anyone say Pontiac) and an overall improved track record for consumer loyalty. Can you imagine blogs and twittering by designers, engineers and quality assurance folk who were sincerely interested in market feedback?

There are a number of specific business planning details I will need to construct before going to MIT next week, but help me out with a little informal survey…would you buy a car using a system like this? If not, why not?

THIS JUST IN -- Chrysler files for Chapter 11 (http://tinyurl.com/d3f5kf) -- are they better off dead or alive??

ACFE: Occupational Fraud: A Study of the Impact of an Economic Recession

Tue, 21 Apr 2009 00:00:00 GMT

With the economy struggling to find its foothold, many businesses and individuals are facing the greatest financial concerns in recent memory. In these tough times, protecting valuable — and increasingly scarce — economic resources has become a monumental task. Losing assets to fraud may be enough to send an already struggling organization to the financial brink.

To get a pulse on how the economy is affecting fraud trends, the ACFE went to the experts who are in the trenches fighting fraud on a daily basis. By surveying anti-fraud professionals about their experiences and observations, we hope to gain some insight into the correlation between economic downswings and fraudulent activity.

 

To read the full article, please click here.

 

Health Care Compliance Association - Annual Conference

Mon, 20 Apr 2009 17:10:23 GMT

Tom O'Keefe, EthicsPoint's Executive Vice President, will be a featured speaker at the Health Care Compliance Association (HCCA) Annual Conference.

Healthcare Risk Management Takes a Broader Perspective

Thu, 16 Apr 2009 00:00:00 GMT

Using a comprehensive incident management system increases efficiency and insight, reducing risk in the healthcare industry.

From fraud and theft to the challenge of meeting government regulations, businesses are at risk to numerous factors that can have a negative financial and reputational impact. Keeping up with corporate governance, risk management and legal compliance mandates promises to become relentlessly more complex in 2009 as turbulent economic conditions continue to impact the business world.

The case for anonymous hotlines

Wed, 15 Apr 2009 00:00:00 GMT

Summary

* One in five American workers possesses personal knowledge of workplace fraud, according to a 2002 study sponsored by Ernst & Young LLR

* Some hotlines work better than others. The difference has a lot to do with the adoption of some key best practices.

* A good system uses a database that can automatically determine the correct recipient by comparing data such as the nature of the allegation and the location involved.

Making Ethics Everyone's Business

Wed, 15 Apr 2009 00:00:00 GMT

Companies take aggressive measures to prevent fraud that costs organizations 7% of their annual revenue.

Taking a Six Sigma approach, Cummins deployed a company-wide anonymous reporting mechanism and case management system to report, manage and resolve incidents that may expose the company to fraud or compliance risk. They selected a third-party vendor, EthicsPoint, to provide a trusted, safe resource for employees to report issues and, if necessary, remain completely anonymous.

Note: Cummins is an EthicsPoint Inc. client

Celebration of Excellence

Mon, 13 Apr 2009 00:00:00 GMT

Madoff. Satyam. Stanford. Who's next?

Actually, I don't want to know who's next. I'm tired of hearing about ethical lapses, fraud, misconduct, etc. I'm tired of opening the morning paper (actually, my browser) and reading about who's been accused of FCPA violations, bribery, or worse. Spring has arrived here in the Pacific Northwest, and I'm feeling hopeful and optimistic, and I'm tired of all the negativity.

Thus, I'm very pleased to announce that EthicsPoint has launched the nomination page for the 2009 Best Ethics and Compliance Portal contest. We want to recognize clients who have done an outstanding job of fostering cultures of integrity and compliance. We're soliciting nominations for Ethics Portals that demonstrate excellence in the following areas:

Clarity of message

Integration of technology within an overall ethics and compliance strategy

Quality of user experience

Overall "look and feel."

So please click on the link above and nominate your organization! And good luck!

(and if you're just getting started on building your portal, you may want to check out the 2008 winners. And I'd also encourage our existing clients to attend the April 23 webinar "Get Creative! Are You Optimizing Your Hotline Portal Page to Increase Employee Awareness?")

OCEG Announces Standards to Improve Corporate Conduct (Red Book 2.0)

Mon, 13 Apr 2009 00:00:00 GMT

The OCEG GRC Capability Model™ (also known as Red Book 2.0) sets out practices that will ensure better corporate governance and drive compliance with laws, regulations and company policies. "Red Book 2.0 is a critical tool that will protect and build value in every organization that uses it," says OCEG president, Carole Switzer. More than 200 individuals with expertise in governance, risk management, compliance, ethics, audit and internal controls contributed to the development of Red Book 2.0 and thousands more reviewed it during the open comment period. Now, the public may obtain a final copy at www.oceg.org.

EthicsPoint clients are automatically eligible for a free special "Basic Plus" OCEG Membership. Download the OCEG Basic Member Edition of Red Book 2.0 at www.oceg.org

Investigation management tools ease fraud pains

Fri, 10 Apr 2009 00:00:00 GMT

In today's complex and distributed financial services environment, an organization ... needs a 360-degree view of enterprise fraud investigations.

Financial service organizations are often in disarray when it comes to having consistent processes and technologies for managing fraud investigations and loss. The disarray is a result of:

Fragmentation. Financial service organizations often lack a common platform for managing enterprise-wide investigations, fraud, incidents, issues, events, complaints and/or loss. Instead, different business groups within the organization manage corporate investigations in their own silos.

Inconsistency. These fragmented investigation processes are poorly defined and do not provide an enterprise visibility into incidents and loss. As a result, the organization has a variety of methodologies ranging from the ad hoc to the mature.

Misuse of technology. Financial service organizations tend to have an abundance of homegrown spreadsheets, custom-built databases, and perhaps an occasional commercial product thrown into the mix. There is limited adoption of enterprise technology to manage fraud investigations processes.

NACUBO: Recovery Act Rules and Reporting Requirements Emerge

Fri, 10 Apr 2009 00:00:00 GMT

April  9, 2009

As the federal government gears up to pump billions of dollars into the economy through the American Recovery and Reinvestment Act of 2009 (Recovery Act), several notices have been released (or are coming soon) detailing quarterly reporting requirements, grant and contract provisions, and more. There is a strong focus on transparency and accountability in the use of these funds, including quarterly reporting on expenditures and outcomes.

Given the urgency of getting rules in place quickly, Federal Register notices implementing the Recovery Act are generally being released as interim final rules with a request for comments. With this type of hybrid notice, the regulations take effect immediately even as the agency actively requests comments and anticipates publishing revised rules in the future.

The following notices and guidance memoranda are now available for review.

The "Art" of Customer Service

Thu, 09 Apr 2009 00:00:00 GMT

Guest blog from Mike Hyatt-Evenson, EthicsPoint Director of Client Services

My father-in-law is a retired pharmacist. All jokes aside about being a drug dealer, for part of his career he worked as the pharmacy manager where he, as you can expect, was continually enticed by pharmaceutical salespeople. Since the pharmaceutical sales model is one of the most competitive, highly compensated models in the world, I asked him how he would choose what to buy. His answers struck me. Fundamentally, everything had to do with the salesperson who:

Kept their promises.

He trusted.

Really listened to understand his needs.

Took the extra step.

What struck me was that he did not mention price, quality, gifts, or incentives. Though he was talking about salespeople, those qualities are exactly what we train our customer service people to do. For example:

We always call when we say we will.

We build trust and relationships with our customers to develop long term loyalty.

We actively listen to our customers so we completely understand their needs and pain.

We distinguish ourselves from our competitors by doing more than just the minimum.

This reinforces one of the concepts that I believe makes some companies great – the “art” of customer service. The “science” of customer service comes in accurate tracking of customer information, good phone systems, proper staffing, efficient use of tools, etc., etc. Any company can do the science.

The “art” of customer service means that we deliver what and when we say we will. It means that our customers are doing most of the talking. It means that our customers know that we take pleasure in working with them and doing our jobs. It means that we let our customers tell us the story of their child’s graduation if they want to. It means that we quit talking and get down to business if they want to. It means that we take the extra step to make our customers’ jobs a little easier. It means that we happily communicate good news but are also honest with bad news. It means that customer service is not a department, but is pervasive in everything we do across the organization. It is what will lead to a great customer experience.

In this economic environment, our customers are (and should be) scrutinizing every penny they spend. I believe that the companies who live and breathe the “art of customer service” in everything they do will be the ones left standing.

The FCPA Year in Review: How Recent Investigations and Prosecutions Will Impact Compliance Programs

Tue, 07 Apr 2009 20:08:06 GMT

Dan Newcomb, a dean of the FCPA bar, and Philip Urofsky, a former FCPA prosecutor, both now at Shearman & Sterling LLP, a leading global law firm, speak on the lessons that can be drawn from recent enforcement actions and how these lessons can be applied in practical, cost-effective ways to mitigate corruption compliance risk.

FCPA Compliance & Investigative Due Diligence

Tue, 07 Apr 2009 20:06:10 GMT

This presentation provides an overview of current FCPA trends and highlights elements to implement an effective FCPA compliance policy. Join Ellen Zimiles, Founder and CEO, Daylight Forensic and Advisory LLC as she discusses the importance of Investigative Due Diligence and how to maximize its effectiveness.

HR + Ethics & Compliance = A Critical Partnership

Mon, 06 Apr 2009 11:28:58 GMT

In this webinar, Vicki Sweeney, KPMG’s Principal in charge of day-to-day ethics and compliance activities, will share best practices on how to cultivate a relationship with your Human Resource department and practical tools that will ensure the partnership is mutually beneficial.

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Ethical Integrity Leadership: Setting the Tone from the Top

Thu, 02 Apr 2009 14:41:58 GMT

Studies show that organizations with ethical leadership at the top experience ethical behavior throughout. Is your senior management 100% engaged in demonstrating ethical leadership effectively? Join Howard Sklar, VP Compliance & Ethics at American Express Co. as he shares his extensive knowledge and gives examples of methods other large organizations have put into action using senior management to communicate ethics and values.

GRC Comes of Age

Mon, 30 Mar 2009 00:00:00 GMT

Our President & CEO, David Childers, is quoted. From the article:

"One of the most striking survey results consists of the difference between the top GRC obstacles and the most important elements of GRC program success that respondents identify. Given that lack of funding was the top impediment, it would also seem logical to assume that it was a top element of success.

It was not.

In fact, funding was the least important element of GRC success, according to respondents who identified "people, process, and technology" and "organizational culture/tone at the top" as far more important drivers of success (see "Data Insight: Elements of GRC Success")."

Say on Pay

Tue, 24 Mar 2009 00:00:00 GMT

My wife, who I consider a good lawyer and I totally disagree on the way the public outcry has been unleashed against some executives at AIG and other organizations. She holds to the belief that this “bonus money” is her tax dollars and these people don’t deserve to be paid with her money. I get the frustration, but my point is why does this “say on pay” deserve to be different than an individual shareholder’s opportunity to control the way corporations incentivize and pay their executives? In my view it doesn’t.

I have never been in favor of say on pay by shareholders or God forbid the Government. Shareholders have the right to make their feelings heard but most are not qualified to make decisions for the organization. Shareholder say on pay should remain a vote with their feet or their proxy statements. In my last installment I said that boards have to step up, dig in and bring some collective sensibility to this process. I think it is also time for shareholders to step up, dig in and remove some board members. Some of these directors also need to be thanked for their meritorious service and sent to permanent retirement not just shuffled to the next board.

I believe that the world has to hold Board of Directors to an increased level of accountability. Boards (not shareholders) have the obligation to understand what it takes to hire and incentivize key executives. Boards (not shareholders) are empowered to set reasonable and appropriate incentive targets – regardless of the number of trailing zeros. We have a governance system that has worked for more than 100 years, but greed and lack of accountability has diluted its value. And what is this silly tax idea??? Simply stated, boards must return to accountability for executive compensation so that is ensures that all the organization’s stakeholders get rewarded.

So what do you think government’s or a shareholder's role should be on “say on pay”?

Accountability

Sun, 22 Mar 2009 00:00:00 GMT

I have tried to stay on the sidelines because a number of people are blogging about the AIG bonus issue, but I can’t contain myself any longer. This is likely to be part one of a three or four part series, because this issue, in my opinion, is much larger than just the public’s reaction to these bonus payments.

First, no one that earned and received these bonuses at AIG is guilty of anything. They did their job and deserved to be rewarded for their efforts based on contractual agreements. So I am not only saddened but ashamed of the blame game behavior of both the liberal and conservative news media and a number of very ignorant protestors camping out on AIG executive’s lawns.

If you have never worked in a variable compensation model it is impossible to understand the pressure of carrying a quota or delivering the next great source of new revenue. Therefore, targeting these very blue collar individuals to interview on TV just makes the situation worse.

So, if these executives aren’t to blame then who is? It is a long list – the senior executives who built the compensation models, followed by the compensation committee and the board of directors for AIG that approved them. Next in line is the US Government for not being proactive in evaluating and better adjusting or confirming these bonuses when AIG first was asking for money. Congress comes next for not reading Dodd’s language – which expressly allows for the bonuses to be paid. Finally this is just another faux pax by the Obama administration. The President’s Chief of Staff needs to clean house of their PR and protocol staff because their actions and mistakes in the first 60 days of this administration are comical to the point of being criminal.

Do I think that all these multi-million dollar bonuses that a number of companies that took bailout money are fair or justified, no I don’t. But that isn’t the question on the table. If these payments were being decided in a court of law, not a court of public opinion, there isn’t a case to be made that these should not be paid. The Constitution, if it made it to the Supremes would also support payment.

The real conversation should be about Board accountability and “Say on Pay.” For the moment I am going to concentrate on accountability and will save comments on say on pay until my next installment.

President Obama’s reaction to AIG bonus payments isn’t the first time has echoed the public’s outrage. Most American’s felt pretty much the same way when executives on Wall Street and executives from bailed out banks received significant year-end bonuses and other compensations. The President followed up with a “close the barn doors after the cows are in the pasture” $500,000 salary freeze for executives of organizations that take new Federal funds. If I am to believe CNN the average American thinks a $500,000 salary package is unbelievable – almost immoral.

So how much is a CEO worth? In this silly quarter to quarter world we live in they seem to be worth a lot for what seems to be very little sustained performance. If there are “criminals” in this process it is the compensation committee chairs and boards that approve these crazy compensation plans. Incentive compensation is all about moving the needle. If as a CEO I can show growth, profitability, new market expansion, or ?? to improve my company’s share value and sustainability I am worth a lot, and no one should complain because by moving the needle every stakeholder of the company is getting rewarded. But let’s get serious, the transactions and deal sizes have gotten crazy and justification of paying a small “percentage” of the deal is ludicrous. Don’t misunderstand me, I get hard work, creativity and value and don’t balk at million dollar plus bonuses – but $20 million? Boards have to step up, dig in and bring some collective sensibility to this process.

What do you think?

EthicsPoint Announces Webcast Series: Managing Risk in the New Economy

Thu, 19 Mar 2009 00:00:00 GMT

Industry leaders deliver guidance and best practices on business ethics, compliance

Portland, Ore. (PRWEB) March 19, 2009 -- EthicsPoint, a leading provider of hotline and anti-fraud reporting and case management services, is offering a series of webinars on compliance, ethics and risk issues in the current business climate. Thought leaders from across the governance, risk and compliance (GRC) industry will provide insights and advice for finance, human resources, security and audit professionals confronting the new risks facing businesses today.

Webinar Details:

Ethical Integrity Leadership: Setting the Tone from the Top

Who: Howard Sklar, vice president and global anti-corruption leader, American Express Company What: An overview of the impact of tone-at-the-top on ethical behavior throughout the organization and an examination of different methods for turning tone-at-the-top into an operational reality using examples from government and the private sector When: Friday, March 27, 2009 at 10:00 AM PDT/1:00 PM EDT

 

Anti-Money Laundering and the Foreign Corrupt Practices Act - Are you ready?

Who: Ellen Zimiles, founder and CEO, Daylight Forensic and Advisory LLC What: Best practices for establishing effective FCPA compliance programs including risk assessment, policies and procedures, internal auditing controls and investigating due diligence When: Tuesday, March 31, 2009 at 10:00 AM PDT/1:00 PM EDT

Developing a Culture of Honesty and Integrity …is Not Easy!

Who: Bob Phillips, president, RW & Associates, Inc. What: Cultural change initiatives that help change behaviors and achieve peak organizational performance from the author of Absolute Honesty; Building a Corporate Culture that Values Straight Talk and Rewards Integrity When: April 8, 2009 at 10:00 AM PDT/1:00 PM EDT

Designing, Implementing and Maintaining an Effective Corporate Compliance Program in Healthcare Organizations

Who: John E. Steiner, Jr., Esq, CHC, CCEP, chief compliance officer, UK HealthCare of the University of Kentucky What: The fundamental building blocks for effective corporate compliance, including both offensive and defensive strategies for enterprise compliance programs across complex healthcare organizations. When: Wednesday, April 15, 2009 at 10:00 AM PDT/1:00 PM EDT

Archived Webinar: The Foreign Corrupt Practices Act (FCPA) Year in Review: How Recent Investigations and Prosecutions Will Impact Compliance Programs

Who: Danforth Newcomb, of Counsel and Philip Urofsky, partner, Shearman & Sterling LLP What: Lessons from recent FCPA enforcement cases and how they can be applied in practical, cost-effective ways to mitigate corruption compliance risk

Archived Webinar: HR + Ethics & Compliance = A Critical Partnership

Who: Vicki Sweeney, principal, ethics & compliance, KPMG What: The benefits of collaboration between Ethics and Compliance and Human Resources and how to cultivate a mutually beneficial partnership between Human Resource department, highlighting examples of applications KPMG uses to support common Ethics and Compliance and HR objectives

To register for an upcoming event or access archived recordings and presentation materials on-demand, visit EthicsPoint webinar resource center at http://www.ethicspoint.com/resources/webinars/default.aspx.

About EthicsPoint EthicsPoint enables organizations to foster a business culture of integrity and compliance. We help our clients protect their culture and reputation by automating business processes, from the reporting and identification of issues and events of behavior that may be inconsistent with their code of conduct, to the subsequent investigation and resolution of these cases. Over 2,000 organizations use our telephone hotline, web-based reporting and case management services as a critical component of their overall governance, risk and compliance efforts.

For more information, visit www.ethicspoint.com.

Contact: Toni Cole, Edelman (503)471-6841

Copyright 2009 EthicsPoint, Inc. EthicsPoint and the EthicsPoint logo are trademarks or registered trademarks of EthicsPoint, Inc. All other trademarks are the property of their respective owners.

Blowing the Whistle Just Got Easier

Wed, 18 Mar 2009 00:00:00 GMT

With the passage of the American Recovery and Reinvestment Act of 2009 (ARRA), commonly known as the Stimulus Act, $500,000,000,000 (sorry I just wanted to type all those zeros) is now being moved into employers across a wide spectrum of industries to stimulate our economy.

If you work for or run an organization that is in defense, education, energy, environmental cleanup, government technology, healthcare, housing, hunger assistance, infrastructure projects, scientific research or transportation you are first in line for these funds.

That is the good news. The bad news is that within the Act is the McCaskill amendment which significantly broadens the scope of whistleblowing and puts EVERY EMPLOYER at serious risk.

The Amendment to the Act does not cover Federal Employees (they have the Whistleblower Protection Act), but is extended to all private employers and state and local governments, including their contractors and subcontractors, who receive Stimulus funds. This means if I get ARRA funds and I hire you as my contractor, and you hire a sub-contractor(s) to complete the project – every organization in this chain is accountable to the McCaskill amendment.

The Act significantly expands the whistleblowing provisions defined under SOX includes “internal disclosures, including disclosures made by employees in the ordinary course of performing their job duties.” Attorneys Allen Roberts and Frank Morris of EpsteinBeckerGreen did a great job of detailing this act and I encourage you to review their whitepaper.

I hope you are listening. This means that not only should every employer have a methodology to support anonymous reporting, but they need a methodology to document, classify, escalate and otherwise track issues brought forward which would be considered relevant information through an “open door policy.” Here are the “violation types” or talk tracks specifically identified:

Gross mismanagement of an agency contract or grant relating to Stimulus funds,

Gross waste of Stimulus funds,

Substantial and specific danger to public health or safety related to the implementation or use of Stimulus funds,

Abuse of authority related to the implementation or use of Stimulus funds, or

Violation of law, rule, or regulation related to an agency contract or grant awarded or issued to Stimulus funds.

This law puts the responsibility firmly on the employer as there does not need to be a preponderance of evidence of retaliation, in fact it can be circumstantial. Therefore, the employers should implement and consistently follow procedures that document their actions during and post receipt of any disclosure.

Should employers retaliate against the "whistleblower," the action is swift and significant. The Office of the Inspector General is bound by the Act to review and make a determination within 30 days of the validity of the claim. If the claim is deemed valid, the Act requires the IG’s office to make a determination within 180 days. The complainant is entitled to reinstatement, back pay, compensatory damages, attorneys’ fees, and if warranted exemplary damages. If it goes to trial the complainant is entitled to a jury trial and the Act specifically removes any employer right to arbitration.

Finally there is no preemption to this Act, so States have the option to add to this Act if they feel it “necessary.” So over time this could be become very messy.

The bad news isn’t over yet. Everyone is waiting for Health and Human Services to promulgate the Act’s requirements for changes in HIPAA privacy regulations. When they do I will let you know the risks and requirements.

Full Disclosure – EthicsPoint is a market leader in Hotline/Helpline &amp; Issue Management market. We will no doubt benefit from the passage of this legislation, but my intent is not to encourage or scare you into purchasing products and services from our company. My concern is one of big government, that in my opinion, just got a lot bigger and the downstream risks to smaller private employers in the Stimulus Act are significant.

March Madness

Mon, 16 Mar 2009 00:00:00 GMT

It's that time of year again - the NCAA Men's and Women's Basketball Championship. Get ready for a slew of articles about how much productivity is lost while people research their brackets, fill them out, debate the merits of each team, and follow along Thursday and Friday as the games are played (oh yeah, and blog about it!).

So who do you like? Me? I like Stanford. But, unfortunately, the Mighty Cardinal men failed to make the Big Dance this year (nor did they qualify for the NIT, but they are in something called the CBI. Whatever.). The Women's bracket isn't out yet, but as the No. 2 team in the nation, I'm predicting a Number One seed, and I'll be projecting them to upset UConn in the final.

So without my beloved Cardinal men to cheer on, what should I do? Rather than stick with the Pac-10, which is what I've done in the past, I've decided to broaden my horizons. So this year, I'm rooting for one of the following to win: Ohio State, Utah, West Virgina, Robert Morris, BYU, Texas A&amp;M, Northern Iowa, Marquette, Cornell, California, Oklahoma State, UCLA, VCU, Minnesota, North Carolina, Butler, Syracuse or Stephen F Austin.

If I didn't name your alma mater, there's an easy way to get on this list - simply join these fine institutions, and sign up as an EthicsPoint customer! In the meantime, I'll be cheering on these fine teams!

FCPA in the Spotlight

Thu, 12 Mar 2009 00:00:00 GMT

Some of you may have noticed I recently added a blog role to this page over on the right. (I also added a "My Faves" and the mint love letters at Babbo are to die for, but I digress). For those of you in compliance at large organizations, I strongly recommend the FCPA Blog - this is a great place to get timely commentary on corruption, FCPA violations, compliance and more.

I mention it because today they recognized the work of Dan Newcomb and Philip Urofsky, who publish the FCPA Digest - a great resource for people interested in recent trends and patterns in the enforcement of the FCPA.

On the shameless plug side of things, I'm very pleased to provide a venue for Dan and Philip to present on The FCPA Year in Review: How Recent Investigations and Prosecutions Will Impact Compliance Programs, as part of EthicsPoint's ongoing webinar series. Click here to register!

We've put a big focus this year on hosting relevant, interesting webinars - partnering with experts such as Dan and Philip to share their knowledge, advice and experiences. If there is a topic you'd like to see covered, please let me know.

Whistleblower Programs: Challenges for Multinational Companies

Tue, 10 Mar 2009 00:00:00 GMT

Whistleblower Programs: Challenges for Multinational Companies," provides an overview of the challenges faced by multinational companies when implementing Sarbanes-Oxley compliant whistleblower programs in the European Union and other countries. The note also briefly describes approaches to implementation that companies can use to address these challenges. The information is general in nature and subject to change, as this area of the law continues to evolve.

Direct link to download PDF.

 

via Skadden, Arps, Slate, Meagher & Flom LLP, March 10, 2009 Katherine D. Ashley, Gary DiBianco, Dana H. Freyer, Matthias Horbach, Pierre Servan-Schreiber

 

A New Look at the Internal Auditing Standards…Applying Them Every Day and What’s Changing

Mon, 09 Mar 2009 19:02:29 GMT

Our presenter, J. Michael Peppers, Associate Vice President & Chief Audit Officer, University of Texas M. D. Anderson Cancer Center, past ACUA President, and current member of the IIA Standards Board, will help us discover how the new International Standards for the Professional Practice of Internal Auditing (issued January 1, 2009) will impact the profession.

Contracts and Covenants

Mon, 09 Mar 2009 00:00:00 GMT

Yesterday morning I honored my daughter’s wishes and attended the performance of the church bell choir she to which she belongs and loves. At the end of the week I didn’t have any intention of attending services but took one for the team, letting my wife and other daughter stay home to work and study, to hear our oldest daughter play the bells.

When I looked at the bulletin I saw that the homily was to be delivered by a Franciscan Monk. I can’t say that I was excited about the prospect. A number of years ago I spent some time in study of the Franciscan Order hoping to improve the work / family balance in my life. I sincerely admire their Order and mission of personal peace and harmony with the world around us. But after taking a vow of silence and spending two days in a monastery setting without speaking a word I knew that I am not cut out for the Franciscan lifestyle.

Much to my surprise and delight the homily was not only topical and insightful but also uplifting. The jist of his message was examining the difference between the “Contract God” we imagine and the “Covenant God” that spoke to Abraham.

This caused me to think about my own management style and the way in which I deal with people and provide stewardship for my family. Without a doubt I live a contract driven life. I will give or reward you with this, if you are successful in providing that. Get good grades, get a car. Drive revenue and get a promotion, more pay and more recognition. Work hard, save money to your 401K, be prudent with your investments and you will be rewarded with monetary security and someday retirement – oops.

What happened to my contract? Given the recent sub-prime and other implosions the global economy my 401K, as I was reminded during the homily, has been reduced to a 200 1/2K.

The homily went on to describe God’s covenant relationship with Abraham. This is a great story regardless of your religious persuasion. Imagine being a 99 year old guy that God taps on the shoulder and says “time to get started.” But this “mission” wasn’t (according to the Friar’s homily interpretation) a contract to go and build a nation, but rather a covenant of unconditional trust, expectation and hope.

While I it is unlikely I will shift completely away from my contract roots, I hope that I can translate some of this teaching into the way I interact and support my team and family. I have always strived to deliver integrity in my “contracts.” During these uncertain times, I want to find a fitting level of integrity as I set clear expectations, trust in the commitment and abilities of the people we have chosen and trained, and inspire hope for the future.

Meric Bloch Series Part 3: Reporting the Investigation Findings and Post-Investigation Issues

Wed, 04 Mar 2009 16:23:06 GMT

You won’t want to miss the opportunity to hear renowned author Meric Craig Bloch present this extraordinary three-part series based on his newly released book, “An Insider’s Guide to Workplace Investigations.”

Meric Bloch Series Part 1: Making the Business Case for Workplace Investigations

Wed, 04 Mar 2009 11:20:21 GMT

Meric Bloch Series Part 2: Fundamentals of a Workplace Investigation

Wed, 04 Mar 2009 11:19:18 GMT

What role technology?

Wed, 04 Mar 2009 00:00:00 GMT

BusinessWeek ran an interesting article yesterday, Tech That Combats Employee Fraud. While I thought the article was well written, what I found most interesting was the series of comments posted by readers on the web page. One poster was incensed that companies might deploy keystroke loggers or monitor website usage of employees. Another thought it was perfectly acceptable, as we wouldn't condone watching movies all day on a DVD player or spending hours on the telephone ordering items from a Sears catalog.

I think these people are missing the point.

Culture is Key

Technology should be an enabler, supporting the strategies and tactics employed to meet corporate objectives. When combating fraud, fostering and maintaining an environment of integrity, honesty and ethical decision-making is far more important than deploying technology to inhibit or root out misconduct. The Ethics Resource Center's National Workplace Ethics Survey clearly shows that having a positive work environment strongly correlates to minimizing misconduct.

So How Much Big Brother?

The other comment I'd make relates to management philosophy on how much monitoring is necessary. I'll leave it to the lawyers to argue where and when the line is crossed when infringing on the right to privacy for employees. But my own personal management style is to set expectations, and then let my reports live into them. At the end of the day, I care whether the work is done - with high quality - and that my employees act with integrity and respect for others and follow our code of conduct. Since I have no issue if they work long hours - including weekends - I don't really feel that I should have an issue with them taking time to view Youtube, update their Facebook accounts, shop online, IM, or other activities that others believe shouldn't be done on "company" time. In my mind, the lines between "company" and "personal" time have blurred.

If I have an employee who chooses to not to live up to our agreed upon objectives and expectations, then I have a management problem that I need to correct. Similarly, if they break the law, or violate our code of conduct, then I will take appropriate actions. Technology may help me identify these adverse situations, augmenting the culture I help set for our employees, but in the end, I hold myself accountable for hiring great people, treating them with respect and allowing them to be professionals.

What do you think? What is the "right" amount of employee monitoring?

Proud Papa

Tue, 03 Mar 2009 00:00:00 GMT

If you read my first blog post, you’ll probably remember that I promised to try really hard not to let this become just another vehicle for pushing corporate marketing messages. I may be on the fine edge of breaking that promise today, but I just have to do it.

Over the weekend we launched a brand new web site, and I am really proud of it. I think it really accomplishes what we set as our objectives for the project:

Make it simple to understand what we do

Provide content that can help our existing customers do their jobs better

Represent who we are as a company and individuals – open, approachable, friendly

There’s still a LOT to do; more content to be added, a new section with photos and bios (not of our executives, but of all the people who make us successful; our client service representatives; our sales people; our call center specialists, etc.), more case studies – the list goes on and on. In the meantime, I encourage you to check it out and send me and my team your feedback.

Finally, I would be remiss if I didn’t do a couple of very well deserved shout outs:

To the team at Pollinate Media, for exceeding our expectations and being such a great partner in this project.

To Grady Locklear, for spearheading our effort to highlight all the cool things our customers are doing.

And finally, to Rodica Buzescu, for everything. There is no way we could have made it to this day without your energy, enthusiasm, skill and dedication. You truly exemplify the values that make EthicsPoint great!

The Great Debate

Tue, 03 Mar 2009 00:00:00 GMT

How do you teach Ethics? There have been a lot of op ed and blog posts lately about how US and European business schools need to increase the focus on business ethics within their curriculum. On one level my reaction is, "well, duh!" Academic research has overwhelmingly confirmed that companies with strong cultures of integrity suffer fewer incidents of fraud, have lower turnover, decreased costs and outperform their less "ethical" competitors.

But on another level, I wonder to what degree a university or graduate school can truly change the nature of an individual with 18-25 years of life experience. Furthermore, how effective will that learning be if higher principles are not adhered to in their work environments once the students leave academia?

I bring all this up because our CEO, David Childers, is participating in the OICF Ethics Bowl and Great Debate this weekend. A lot of schools have ethics bowl challenges for their students (which I think is a great experience for all involved), but I really like the twist the OICF has introduced this year with the Great Debate. On Friday night the tables will be turned, as the judges - including David and other local CEOs - will be asked to debate an ethical challenge and subsequently judged by the student debators. David has written about this year's subject in his blog.

I see this as a great way to reinforce with the students that business leaders truly do care about making decisions of integrity, and that the lessons of the classroom really do have applicability in the outside "real" world. What do you think - can ethics be taught?

The SEC Sucks

Mon, 02 Mar 2009 00:00:00 GMT

When retiree Phyllis Molchatsky filed suit in NY against the SEC in December 2008 for failing to protect investors I just looked at it as going after the deepest pockets. But after watching the 60 Minute segment on Sunday night I think she may be justified in pointing the blame their direction.

In the CBS interview, Harry Markopolos was asked how many times he sent materials to the SEC. Markopolos calmly responded, "May 2000. October 2001. October, November, and December of 2005. Then again June 2007. And finally April 2008. So five separate SEC submissions."

Markopolos is not superman, he is a 52 year-old accountant who said he was able to see that something was wrong in minutes and it only took him 2 hours of study to prove it. He went on to say that the SEC was full of lawyers who were great at scrutinizing documents, but were not trained or capable of identifying fraud.

A few weeks ago I was watching the news where a congressman asked if they could bring the regulators associated with the issue into the hearing room. When asked why, he responded because “I want to tell them they suck at their job!”

It seems that the SEC does suck at its job. There is no shortage of litigation around the Madoff matter. My question is can and should the SEC and its regulators be held directly liable for failing to protect shareholders?

Santa Clara Signs onto EthicsPoint Reporting Service

Mon, 02 Mar 2009 00:00:00 GMT

Santa Clara University has gone public with its deployment of an ethics hotline and reporting system from EthicsPoint that enables members of the campus community to confidentially report issues or concerns related to criminal or unethical or otherwise inappropriate behavior, including discrimination, harassment, campus safety, cheating, and substance abuse.

You can’t make this stuff up…

Thu, 26 Feb 2009 00:00:00 GMT

A friend of mine sent me this link tonight (http://www.truthout.org/022409J) and it is so sad it is almost comical. What a pathetic politically correct world in which we live. If the implications of this are factual then God help us all.

EthicsPoint's David Childers to judge student debate at OICF Ethics Bowl

Wed, 25 Feb 2009 00:00:00 GMT

EthicsPoint’s David Childers to judge student debate at OICF Ethics Bowl Childers and other local business leaders to debate business ethics in Great CEO Debate WHO:    David Childers, CEO of EthicsPoint and frequent lecturer on the subject of business ethics, will serve as a judge and debater at the 2009 Ethics Bowl in Portland, Ore. Portland-based EthicsPoint helps over 2,000 organizations around the world build a sustainable culture of integrity through anonymous whistleblower hotlines and integrated case management solutions. WHAT:    The Ethics Bowl is an annual student debate competition judged by business leaders in which student teams debate the ethical implications of real-world scenarios. The event is hosted by the OICF and includes teams from 10 local colleges. This year, the event also includes a Great CEO Debate, in which the roles are reversed as two teams of business leaders debate an ethics dilemma related to the economic crisis. Participants include senior executives from EthicsPoint, The Regence Group, 24-Hour Fitness, Legacy Health System and Qwest Communications, among others. WHY:    The collapse of the financial sector and revelation of large-scale corporate frauds reinforced the importance of ethics in business. The Ethics Bowl is designed to raise students’ awareness of ethics and the role it plays in their lives and future careers. The Great CEO Debate offers local business leaders the opportunity to share their views on ethics within the context of the current business environment. WHERE:    Great CEO Debate: Portland Center for Performing Arts Dolores Winningstad Theatre 1111 SW Broadway Portland, OR 97205    Ethics Bowl Student Debate: B.P. John & Clark Commons Marylhurst University 17600 Pacific Highway (Hwy 43) Marylhurst, OR 97036-0261 WHEN:    Friday, February 27 7:30 PM    Opening Event & Great CEO Debate     Saturday, February 28 8:30 AM – 3:20 PM    Opening Plenary Session & Rounds 1-4 of Competition

3:30 PM – 4:40 PM    Final Round of Competition (Top Two Teams) 4:45 PM – 5:00 PM    Awards Ceremony & Closing Remarks 5:00 PM – 6:00 PM    Reception & Team Recognition TO LEARN MORE:    Contact:    Toni Cole, 503-471-6841, toni.cole@edelman.com Visit www.oicf.org/ethicsbowl.htm for more information on the 2009 OICF Ethics Bowl.

Cleveland Diocese offers fraud hot line

Tue, 24 Feb 2009 00:00:00 GMT

The Catholic Diocese of Cleveland announced Tuesday that a financial-misconduct hot line has been established to report any concerns about suspected financial wrongdoing.

Blowing the Whistle

Tue, 24 Feb 2009 00:00:00 GMT

Sorry that I have been away for so long, it isn’t for the lack of desire – too many responsibilities with the year-end, shareholder meeting and 2009 growth demands.This weekend I began to prepare for my participation in the “Great Debate” sponsored by the Oregon Independent College Foundation (OICF). It seemed to be the appropriate Blog subject and I was incredibly lucid in my thinking, but following a system crash I had to redo this blog post; and it now comes with an epiphany – if Microsoft made cars we would walk to work three or four times a week.

As I now sit here on Monday night, after a very long day of work and a session with my personal trainer who seems to just live to kick my ass I am far less lyrical.

In an earlier post I mentioned my involvement with the University of Arizona and the Eller Ethics Bowl. I find my time with these very bright and inspired students to invigorate my thinking and challenge me to be a better mentor.The OICF Ethics Bowl is an academic competition that stresses the importance of ethics in the workplace, combined with leadership, decision making, and interpersonal relations. So aside from being a judge on Saturday, this Friday I will be on stage with 7 other CEO's in Oregon, judged by a student panel from the OICF's member schools debating a current ethical dilemma.

The topic is all too real. A senior bank executive, who is not part of the lending operations, discusses the impending risk they see based on the bank’s sub-prime policy with the bank’s CEO. The CEO tells the executive they have always been a team player, but have also always been too risk adverse. The CEO explains that the bank had hedged against the sub-prime risk and that while they appreciate this concern; a more immediate concern is the less than stellar growth numbers the executive’s division is reporting. The executive goes home and tells their spouse that they are conflicted at work. The spouse’s response is “how do we pay our bills and keep our kids in private school if you lose your job?”

The question for the panel is basically “what’s a girl to do…” This scenario can be played a dozen different ways. A single mom sees her boss doing something wrong, but how do you pay the rent if you are retaliated against. This is a real problem and while I can discuss the how and why surrounding the importance of having the right culture to report misconduct it doesn’t answer the question.In this case, a person raised their hand, expressed an opinion and was told there is no risk and you better get your personal house in order if you keep pushing this agenda.However, I can also turn the tables. People at Peanut Corporation of America must have seen and felt the same way. They didn’t want to lose their jobs, but by the last week in January, the number of tainted peanut butter salmonella cases had reached 600, at least nine people are dead and PCA is bankrupt.

So I ask you – how could this executive be more effective in exposing this risk? Or, should they remain silent?

Meric Bloch - II - Is Your Organization Adequately Prepared to Fight Today's Workplace Fraud?

Wed, 18 Feb 2009 11:40:24 GMT

You won't want to miss nationally acclaimed speaker Meric Craig Bloch, Vice President - Compliance and Corporate Investigations, Adecco Group North America. He is an expert on workplace investigations and author of An Insider’s Guide to Workplace Investigations, Building the Process in Your Company. Meric will focus on preparing investigators, auditors, mid-management, and other investigation process owners to increase their readiness to detect and prevent workplace fraud.

Meric Bloch - I - Is Your Organization Adequately Prepared to Fight Today's Workplace Fraud?

Wed, 18 Feb 2009 11:40:01 GMT

You won't want to miss nationally acclaimed speaker Meric Craig Bloch, Vice President - Compliance and Corporate Investigations, Adecco Group North America. He is an expert on workplace investigations and author of An Insider’s Guide to Workplace Investigations, Building the Process in Your Company. Meric will focus on preparing senior executives, mid managers and practitioners to meet today’s challenges. Be one of the first 30 to register and receive a free copy of Meric's book.

Proactive Case Management: Returns on Investment

Wed, 18 Feb 2009 11:39:39 GMT

This webinar will demonstrate how companies can realize an immediate ROI through proactive case management of reported issues and events.

Risks Facing Private Equity in the New Economy

Wed, 18 Feb 2009 11:39:20 GMT

The effect of the ongoing economic turbulence has drastically altered investment strategies. Are you prepared to adapt?

Conducting Investigations in a University Environment

Wed, 18 Feb 2009 11:39:01 GMT

In the university environment, allegations of fraud and misconduct can present significant economic and reputational risks. Learn from a panel of experts in this area, how to maximize the value of internal investigations on campus.

Got Breached? Protect Your Company’s Reputation and Business with Effective Crisis Management Planning

Wed, 18 Feb 2009 11:38:32 GMT

When a data breach occurs in your company, how will you respond? Do you have a crisis management plan in place?

Detecting and Responding to “Red Flags” of Identity Theft in the Energy & Utilities Markets

Wed, 18 Feb 2009 11:38:16 GMT

This webinar is key to helping leaders of energy and utility suppliers that issue credit to customers determine how they will be affected by the new Identity Theft “Red Flag” regulations recently enacted by the FTC. This webinar will explain to attendees how to efficiently and effectively prepare for compliance with the regulation deadline of November 1, 2008.

Feds Put Companies on Notice: Detecting and Responding to “Red Flags” of Identity Theft

Wed, 18 Feb 2009 11:37:58 GMT

Do you know how your business will be affected by the new Identity Theft “Red Flag” regulations recently enacted by the FTC? Are you ready to respond?

IP Fraud/Protection - A Proactive Approach to Brand Protection

Wed, 18 Feb 2009 11:37:37 GMT

Is your company's brand adequately protected against the rapidly growing threat by counterfeit and grey market activity? Learn from Kroll's Business Intelligence and Investigation Division about proactive practices that can be implemented to guard against this threat.

Data Breach “Cyber” Insurance and Response

Wed, 18 Feb 2009 11:37:11 GMT

Are you prepared to manage the risks associated with a data breach? Do you know what your response should entail?

Attendees can expect to better understand the risks associated with information security and privacy, how to respond to an event and the insurance options available to them.

Post-Breach Forensics

Wed, 18 Feb 2009 11:31:38 GMT

Once a data breach has occurred, there are critical steps that should be taken that can minimize the loss. This webinar focuses on a high level discussion regarding post-breach forensics and response to minimize losses.

Is Information and Knowledge Becoming a Commodity that Higher Education Cannot Afford?

Wed, 18 Feb 2009 11:31:20 GMT

Learn from the Director of IT Policy and Law at Cornell University about prominent government regulations affecting higher education information technology.

Designing and Operationalizing an Incident Response Plan

Wed, 18 Feb 2009 11:30:32 GMT

Maintaining the privacy and protection of your customers’ and employees’ personal information is a risk management issue for all organizations. Is your organization prepared to effectively handle a data breach?

SAS 112 – Does it Make a Difference to Your Campus' Audit?

Wed, 18 Feb 2009 11:30:10 GMT

The AICPA has issued Statement of Auditing Standards (SAS) 112, "Communicating Internal Control Matters Identified in an Audit." External audits of colleges and universities will be conducted under this new standard which significantly impacts the communication requirements and definitions surrounding internal control matters. This webinar focuses on highlights of this new standard.

Whistleblower Hotlines in the EU

Wed, 18 Feb 2009 11:29:44 GMT

This webinar will give you an update on the current trends and best practices in implementing and operating whistleblower hotlines in the EU. Our knowledgeable presenters, considered experts in this field, focus primarily on those EU countries with specific whistleblower guidelines including: France, Germany, Holland, Belgium, and the United Kingdom.

Best Practices for Managing Your Privacy Program

Wed, 18 Feb 2009 11:29:14 GMT

Does your organization have a plan in place to reduce the risk of sensitive data loss? Attend this webinar to learn how to assess your company's privacy program and develop a privacy strategy.

Program allows anonymous reports of wrongdoing

Wed, 11 Feb 2009 00:00:00 GMT

Iowa State is not perfect, and violations of school policy occur. Those who want to report these occurrences while wishing to remain anonymous can use Iowa State’s EthicsPoint hotline system.

IAPP Summit

Tue, 10 Feb 2009 20:38:24 GMT

The annual IAPP Privacy Summit focuses on international topics, policy and strategy. Recognized as a leading forum for the discussion and debate of privacy policy, the Summit features expert speakers, representing Fortune 50 corporations, government agencies, privacy advocacy groups and researchers.

Don't Waste My Time!

Wed, 04 Feb 2009 00:00:00 GMT

I’ve wanted to write this post for the past two months, but have held off so as to protect the innocent. You see, I’ve spent a significant amount of time lately reviewing and interviewing candidates for a Product Manager (Welcome, Scott!!!!) role on my team. This is a time-consuming job in the best of times, but much more so now - there are a LOT of people looking for jobs.

What’s been especially frustrating in this process are the people who make it to the initial phone interview and are unprepared. My first question is always, “Based on your research, what do you think are our biggest challenges?” I can’t tell you how many educated, experienced people told me they really didn’t know much about our company so they couldn’t answer the question.

Look, I’m not expecting them to have insider’s information – I just want to get a sense for their business savvy (especially since my follow up question is always, “how would you solve that challenge?”). I’ll be honest - I find it insulting and disrespectful of my time to come to an interview that unprepared, and if you can’t answer that question, you probably aren’t getting into the second round. With the Internet, there really is no excuse for not knowing what we do, with whom we compete, who we list as customers, etc. (this is far easier than calling up companies and asking for their annual reports, which is what I was taught to do in college!)I thought about these encounters the other day at our 2009 sales and marketing kick off meeting.

Our sales team has been organized by industry segment for the past 3-4 years, and it makes so much sense (I really don’t know why so many software companies organize by geography). When our sales reps get on a call with a prospect, they are prepared to discuss the relevant regulations, laws, challenges, etc. that a company in that segment would face. They are able to offer concrete evidence of how we can help mitigate those challenges, including a litany of customers just like them who have successfully used our technology in their daily lives. In short, they can have a valuable conversation right off the bat, rather than wasting the time of the person on the other end of the phone!Watch for the changes in the way we market coming soon – and let me know if you ever feel I’m wasting your time!

SaaS vs. On-Premise Solutions: The ROI of Proactive Case Management

Mon, 02 Feb 2009 00:00:00 GMT

Many organizations have implemented an anonymous hotline service to capture reports of issues and events that violate a written code of conduct. Yet valuable information remains hidden within these organizations, and operational risk remains higher than it should. Companies can realize an immediate ROI through proactive case management of these reported issues and events. Proactive case management goes well beyond utilizing a hotline or web-based reporting and analyzing issue and event reports in a spreadsheet. Coordinating risk management across legal, HR, finance, IT, and business operations requires a centralized and systematic approach to capturing and processing reports of theft, safety violations, employee misconduct, etc. And building an ethical culture requiresmore than just formalization of policy management and increased employee awareness.

However, a comprehensive and proactive case management approach not only helps the organization reduce overall risk – and reduce the costs of ethical and legal transgressions – but can also significantly reduce the overall costs of risk management itself. This research paper will identify the benefits and returns on investment from a proactive case management approach driven by a state-of-the-art SaaS solution – including time savings, cost avoidance, cost containment and SaaS-related efficiencies.

2008-2009 Integrity Survey

Mon, 02 Feb 2009 00:00:00 GMT

Image by ~jjjohn~ via FlickrI just started reviewing KPMG’s Integrity Survey 2008-2009, and a bit like the Edelman Trust Barometer I mentioned in an earlier post, this is a pretty staggering report for anyone concerned with the state of ethics and integrity in business today. I’m pretty consumed right now getting our new web site ready for its imminent launch, so don’t really have time to highlight all the great statistics – I’ll do that in a later post. In the meantime, I’d encourage anyone with an interest to download the report.

Turning Point in History?

Mon, 02 Feb 2009 00:00:00 GMT

Ronald Regan and Abraham Lincoln are my two favorite presidents. Both faced very difficult times in our country’s history, and both responded with personal strength and conviction to shape and dramatically change in our world. Both were masters of compromise and communication.

What is remarkable about these great leaders is that neither of them is recognized for bringing a “big IQ” to the Office.One of the quotes I like and feature on this blog is from Ronald Reagan. Regan said, “There are no easy answers, but there are simple answers. We must have the courage to do what we know is morally right.”Tomorrow is a big day for our nation and a turning point in our history. Not because of the color of Mr. Obama’s skin, but because of the way our nation is responding to its new leader, the promise of a new direction and a new hope for our future.

As I think about the problems our country faces today and the important role our new president will play, I am prayerful that Mr. Obama will have the moral courage to do what is right for the country. Some of the early decisions he has made give me great hope, others frankly give me pause. He has selected a number of individuals for his cabinet who are not only bright, but are free thinkers. Can he control the conversation and will he have the conviction to lead despite what is politically expedient? How important do you think Mr. Obama’s first 100 days in office will be?

FPL may be fined millions for '08 outage

Wed, 28 Jan 2009 00:00:00 GMT

FPL may face millions in fines from federal regulators because of an outage last year caused by an engineer's blunder.

Florida Power & Light expects to get hit with 25 or more violations of reliability standards and perhaps millions of dollars in fines for an outage last year in which a field engineer's blunder caused about one million customers statewide to lose power.

Trust Me!

Tue, 27 Jan 2009 00:00:00 GMT

The 2009 Edelman Trust Barometer report was just released, and frankly, the news is depressing. Trust in U.S. business is at all time low among “informed publics” ages 35 to 64 – lower today than after the Enron scandal and dot-com bust. The data from Europe isn’t much better, though emerging economies such as China seem to be faring better on this scale. The data that should encourage those of us in business, however, is in the section on why trust matters: 91% of 25-to-64-year-olds around the world indicated they bought a product or service from a company they trusted, and 77% refused to buy a product or service from a distrusted company (my emphasis). Here at EthicsPoint we’re extremely proud of our nearly 100% customer retention record, but this report is a good reminder that we can’t rest on our laurels, and simply listing customer orientation as a core value is not enough. We have to earn your trust every single day. If we fall short of that, please let us know, and hold us accountable to the commitments we make.

Risky Business

Mon, 26 Jan 2009 00:00:00 GMT

Despite what I tell my 13 year old son, I really am not a trendsetter, nor a very good prognosticator of things to come (my latest investment summary statement will more than confirm that statement!). But I like to believe I’m at least smart enough to recognize a trend – especially when lots of really smart people are already talking about it. And what I’m hearing and reading a lot lately is that companies are really shifting their focus from compliance to managing risk.

Interesting report I just finished reading Forrester Research Analyst Chris McClean’s latest research, Trends 2009: Governance, Risk, And Compliance Hit The Big Time. (You’ll need to either have a subscription or purchase this report to view it). In the summary, Chris writes:

“Another bubble burst. The chain reaction stemming from the credit crisis caused an implosion of the global economy. Political, corporate, and economic leaders have argued ferociously about how we can reverse the damage, questioning business ethics, the role of government, and even fundamental economic assumptions. While the dust settles, professionals responsible for governance, risk, and compliance (GRC) will play major roles in transforming the corporate landscape to reduce the possibility for another such collapse. Process and technology strategies in 2009 will focus on risk standardization, increasing oversight, performance and risk management coordination, evolving expectations of corporate responsibility, and big shifts in GRC technologies.”

In the subsequent report four out his five big trends in GRC for 2009 have managing risk more efficiently as a central theme. If this isn’t at the top of your priorities for this year, why not?

Reasons for a Strong Compliance & Ethics Program: Avoiding the Big Legal Stick

Mon, 26 Jan 2009 00:00:00 GMT

An effective and diligent ethics &  compliance program can help prevent liability disasters.“Any rational person attempting in good faith to meet an organizational governance responsibility would be bound to take into account this development and the enhanced penalties and the opportunities for reduced sanctions that it offers.”

Click to view the presentation.

How can the CEO make the difference?

Sun, 25 Jan 2009 00:00:00 GMT

Too many companies have made the headlines because of illegal and unethical conduct. The cost to a company in terms of fines, penalties, reputation and lost business can be staggering. The individual costs to those involved can be shattering. We hear much about the need for the right tone at the top, but what does this mean in practical terms?

Click to download the entire article.

SEC stresses importance of compliance

Sun, 25 Jan 2009 00:00:00 GMT

In an open letter released Tuesday, the SEC warned chief executives of registered financial services firms to be vigilant when it comes to keeping their compliance programs in order.

In the letter, Lori Richards, director of the U.S. Securities and Exchange Commission compliance inspections and examinations office, stressed the importance of protecting the interests of customers, clients and shareholders.

Compliance is necessary to protect everyone, including the integrity of firms, she wrote.

Click here to read the full article.

The Role of Board in Governance

Sun, 25 Jan 2009 00:00:00 GMT

From the article:

Director activities vary by company. A good list of director duties can be found in state corporation statutes. Delaware Corporation Law, for example, says the "business and affairs" of Delaware corporations "shall be managed by or under the direction of a board of directors," and lists certain corporate decisions that can be made only by the board. This broad mandate for the board is consistent with laws of other states. It is also consistent with the Model Business Corporation Act of the American Bar Association, which many states use to guide their statutes.

Click here to read the full article.

Defining the Role of the Chief Ethics & Compliance Officer (CECO)

Sun, 25 Jan 2009 00:00:00 GMT

When appropriately designed and situated in an organization, ethics programs—and the officers who lead them—can and do make a difference. The key is to have a program that is adequately structured, with sufficient authority and responsibility given to its designated leader to carry out his or her responsibilities. When this happens, a proper tone is set from the top, an ethical culture grows, and misconduct is reduced. By contrast, a Chief Ethics and Compliance Officer (CECO) who serves as window dressing likely does more harm than good, especially in times of difficulty.

Click here to download the article.

Top Nine Health Industry Issues in 2009

Sun, 25 Jan 2009 00:00:00 GMT

Top nine issues addressed in the report include:

Impact of economic downturn

Underinsured and uninsured

M&A in the pharmaceutical industry

Prevention

Genetic testing

Technology

Hospitals - pay for performance

Payers and employers using incentives for healthier lifestyle

ICD-10

 

An Opportunity for Transformation

Sun, 25 Jan 2009 00:00:00 GMT

Rapidly accelerating pressures fuel the need for internal audit to transform its thinking from financial controls-centric to shareholder value-centric—and to drive efficiency into traditional internal audit processes.This PwC whitepaper examines key topics for internal audit transformation: •    It’s time to question the internal audit status quo•    The shareholder value challenge•    How to unleash the power of internal audit

Click to download the entire report from PWC.

Top 10 Business Risks in 2009

Sun, 25 Jan 2009 00:00:00 GMT

The new Ernst & Young report identifies the top 10 global business risks by analyzing the top risks identified for some of the world's most important industry sectors. It also highlights the risks “below the radar” that could also have a significant impact over the next three to five years. The top 10 risks identified (2008 rankings in parentheses) are:1.    The credit crunch (2)2.    Regulation and compliance (1)3.    Deepening recession (New)4.    Radical greening (9)5.    Non-traditional entrants (16) 6.    Cost cutting (8)7.    Managing talent (11)8.    Executing alliance and transactions (7)9.    Business model redundancy (New)10.    Reputation risks (22)

Click here to read the full report.

Cost of corporate fraud far outweighs cost of legal compliance

Sun, 25 Jan 2009 00:00:00 GMT

Several years ago, an epidemic of corporate accounting scandals at Enron, WorldCom and a host of other companies rocked the financial markets, wiped out investment accounts and pension plans, and threw workers into unemployment lines. Congress responded to the public outrage by passing the most comprehensive package of corporate reform legislation in decades -- the Sarbanes-Oxley Act of 2002.

Click here to download the article.

Internal Hotlines vs. Third-Party Systems

Sun, 25 Jan 2009 00:00:00 GMT

This white paper describes the major factors for consideration when determining whether to develop and manage an ethics and compliance “hotline” reporting system or to select and implement a third-party solution.

Financial fraud: Does an economic downturn mean an uptick?

Sun, 25 Jan 2009 00:00:00 GMT

As economic conditions soften around the globe, fraud risks for businesses appear to be on the rise. A slowing economy may increase pressure on companies to meet — and often exceed — short-term performance goals (sometimes at the detriment to the organization in the long-term) or to demonstrate that shareholder value has improved due to management’s leadership. In some instances, organizations may expect results that can be achieved only in a thriving economy. It is this mindset in slower economic times that can contribute to increased fraudulent activity.

ACFE – Report to the Nation

Sun, 25 Jan 2009 00:00:00 GMT

According to research conducted by the Association of Certified Fraud Examiners (ACFE), U.S. organizations lose an estimated 7 percent of annual revenues to fraud. Based on the projected U.S. Gross Domestic Product for 2008, this percentage indicates a staggering estimate of losses around $994 billion among organizations, despite increased emphasis on anti-fraud controls and recent legislation to combat fraud.

Click here to download the entire report.

Compliance and Technology: A Special Report on Process Improvement and Automation

Sun, 25 Jan 2009 00:00:00 GMT

This white paper on compliance and technology is the product of a joint effort by PricewaterhouseCoopers, Virsa Systems, Inc., and CFO Research Services (CFO-RS). The paper gauges the progress of companies as they work toward ongoing compliance with the internal control provisions of the U.S. Public Company Accounting Reform and Investor Protection Act of 2002, commonly referred to as Sarbanes-Oxley (S-O). With research conducted by CFO-RS, the paper assesses the current state of S-O compliance, with a focus on how companies are using technology to automate internal controls in their compliance systems. The study is based on the results of an electronic survey of senior finance executives at 180 major public companies as well as in-depth interviews of senior executives at 10 companies.

Click here to read the full report.

The Corporate Governance Movement

Sun, 25 Jan 2009 00:00:00 GMT

Citing from the resource:

The corporate governance movement began during the last century and continues to this day. Roots of the movement can be traced to the publication of The Modern Corporation and Private Property, by Adolf A. Berle and Gardiner C. Means in 1932, which argued that dispersion of equity ownership in the modern corporation had separated ownership from control. Later that same decade, shareholder “gadflies” arose to try to exercise more control through shareholder resolutions.

Click here to read the full article.

Privacy Protection and Compliance in Higher Education: The Role of the CPO

Sun, 25 Jan 2009 00:00:00 GMT

Privacy—and the loss of it—attracts attention. Few issues enjoy a higher national profile. And in the growing list of data breaches reported over the last year, the leading industry sector has been higher education. Colleges and universities now find themselves in the spotlight as they grapple with an increasingly complex legal and regulatory environment relating to information privacy and security. It is not surprising, then, that a recent survey of college and university attorneys identified the proliferation of privacy regulations and technology to be among the most important issues and trends emerging for higher education in the next five to ten years.

Predicting the unpredictable: Protecting aerospace & defense companies against fraud, reputation and misconduct risk

Sun, 25 Jan 2009 00:00:00 GMT

This white paper provides step-by-step guidance to aerospace and defense companies on how to develop an effective antifraud program, which goes beyond financial statement risk to cover such areas as reputation, operational, legal and strategic risks. While it may not be possible to eliminate the risk of fraud altogether, with proper planning, policies and procedures, a company can at least identify it early and minimize its damage. Furthermore, the aerospace and defense industry is unique in that the programs are large, competition is high, and the compliance area is complex with significant penalties for non-compliance, creating additional incentives and pressures that can lead to fraud.

Beyond Compliance: Implementing Effective Whistleblower Hotline Reporting Systems

Sun, 25 Jan 2009 00:00:00 GMT

“Hotline” reporting systems have been in use for more than two decades, and have proven an effective method for detecting workplace fraud and abuse. In response to the corporate disasters that were brought to light by whistleblowers, Congress included in the Sarbanes-Oxley of 2002 the requirement for a “hotline” reporting system to accept employee allegations of financial and accounting fraud. But the use of these reporting systems has spread rapidly into non-profits, colleges, universities, and K-12 school districts. The categories of reports taken through these hotlines includes not only accounting issues, but human resources, IT, bribery and acceptance of gifts, misuse of assets, environmental concerns and other compliance areas. Once viewed as a simple “tip line”, the modern hotline reporting system has been elevated to a comprehensive tool for managing an organization and reinforcing cultural ideals and the code of conduct.

Inspirational vs Scare Marketing

Wed, 21 Jan 2009 00:00:00 GMT

On powerful people and enterprise software. What gets your attention? What drives you to make a buying decision? As a marketer, I think about this all the time – how can I explain the benefits of my solution and motivate you to want to learn more or even buy it? I remember a professor in business school telling me that people ultimately want to be richer, more attractive, more powerful and perhaps healthier – if you can promise those things, you’ll be successful.

Unfortunately, enterprise software rarely makes the list of things people look for in a mate, so I need to appeal to prospects on a different level.Scare marketing isn’t the way to build a relationshipI think the easy way out is to use “scare” tactics; identify the bad things that can happen if you don’t have my solution (“Employee Fraud rises During Economic Downturns,” “Executive Caught Embezzling – Is it Happening to You?” “Avoid Huge FCPA Fines”!”). Sure, you’ll get attention – people slow down to gawk at car accidents, watch “reality” crime shows and listen to bombastic radio hosts, right?– But I don’t think you’re helping your brand or starting the relationship with your future customers off well when this makes up the bulk of your messaging.

Focus on value Instead, I’d prefer to be more inspirational - which I think actually ties back to the root motivators identified by my professor. If I can help you save time, save money, reduce risk, eliminate daily frustrations, etc. ultimately you will become richer and more powerful (pay raises and promotions come to those who help their organizations achieve these things). I won’t promise to never use negative stories in my marketing, but I do hope to keep them to a minimum.

What are your thoughts? What gets your attention?

Shameless plug Oh, and if you are worried about the rates of fraud rising in these tough times, you may want to check out our upcoming webinar. Meric Bloch, VP of Compliance and Corporate Investigations, Adecco Group North America, is an expert on workplace investigations, and promises to share his insights on how to fight fraud.

Analyst predicts utilities to gain from stimulus

Wed, 21 Jan 2009 00:00:00 GMT

The emphasis of the proposed stimulus package on energy infrastructure could provide a significant boost to the utility sector in 2009, an analyst said on Wednesday.

Baird analyst David Parker maintained a "Positive" outlook for the sector, based on President Barack Obama's prioritization of energy infrastructure. Parker expects the plan to push profit growth above average. The proposed $825 billion recovery package would be comprised of infrastructure investments and tax cuts, with planned allocations for renewable energy, highway construction, energy efficiency, transmission and clean water.

My Latest Ethical Dilemma

Tue, 13 Jan 2009 00:00:00 GMT

Late in 2008, I bought a new car and, because I’m such a wonderful father, I traded my old car with my youngest daughter. This meant she got to replace her 2001 Hyundai (worth only a few thousand dollars) with my old 2004 Mercedes, which she agreed was an excellent deal. Not wanting to list and sell her old car myself, I found a broker through my network of friends. He agreed to sell the car for a modest fee. We listed the car and within a couple of months the car was sold.

To date, I have yet to receive any money and we soon came to realize that we, along with several other people in Portland, had been taken by a broker who had skipped town.Right now, I own – e.g. have the title in my possession - the Hyundai. A very nice person, to whom I have only spoken briefly on the phone, paid cash to the broker for this car and now has possession of it, but no title. The police tell me that if I so desire, I can claim the car a stolen and they will arrest this person and hopefully get my car back. My insurance company tells me that they consider the car stolen as well. But they can’t process any claim I might have until the police are involved.

About a month ago, the court appointed attorneys for the broker told us that there was a surety bond in place and that when all the claims were processed we would see some proceeds from the bond. Yesterday I got a registered letter saying that the claims amounted to just over $620,000 and there was a surety bond in place in the amount of $40,000. So my math says I will get about $6.00 for every $1,000 my car was worth. Of course there are likely to be some attorney fees involved so my $30.00 windfall may go down.Here is my dilemma. The person who bought my car did so in good faith. He paid cash for the vehicle (and, in my opinion, paid a premium price). If I file a claim for this money, I will be forced to call him a thief and send the police or a private towing company to reclaim my car. I would then get the car back to clean up and re-sell and he gets nothing. I haven’t checked to see if there is any tax benefit from me taking this as a loss, but if I do, how do I deal with the title of this car – for which, by the way, I am still paying the insurance on?

Candidly, I won’t miss a meal if I just write this off, but there doesn’t seem to be any roadmap as to how to make this a win-win.What would you do in my place?

About This Blog

Thu, 08 Jan 2009 00:00:00 GMT

I’ve got a confession to make, and like many confessions, this is a bit embarrassing to me.This is my first blog post. Ever. I’ve had marketing leadership roles in technology for more than 20 years. I have Twitter, Facebook, Delicious, LinkedIn, Digg, Naymz and a bunch of other Web 2.0 accounts. I routinely read a number of blogs. I believe in the value of these technologies so much, I even immediately explained to my CEO that we were going to start blogging, and that included him when I first started here in mid September. Not only did he enthusiastically agree, but he beat me to the punch and already has started posting.

I don’t know why it’s taken so long, but now really is a good time to start my own blog. I’ve learned a number of things since joining EthicsPoint: My coworkers truly care about doing the right thing and exceeding the expectations of our customers. The people here are friendly, approachable and passionate about what they do. This passion is appreciated– I’ve heard over and over when talking to our customers that they really like the personal attention they’ve received from Employee A and B. But as a company, we haven’t taken advantage of the technologies that can improve our communication and strengthen our relationship with you.

Blogs are just one way we’re changing that. So, in order to walk the walk, I’m belatedly – but happily - entering the blogosphere. Because I’m blogging as the leader of the marketing team at EthicsPoint, many of my posts will touch on things relevant to our industry, business ethics in general, marketing and will include some company info as well. But I’m going to try really hard not to have this become just another vehicle to push our marketing messages. You can get those on our web site, through our case studies, press releases, whitepapers, sales presentations, etc. Instead, I’m essentially going to write about things that you and I might discuss if we were having a beer together after a day of work.Hopefully you’ll find it useful, interesting or thought-provoking. But whether or not I hit the mark, I sincerely hope you’ll join the conversation and let me know your thoughts.

With More Oversight on the Horizon, Drugmakers Work to Polish Image

Thu, 08 Jan 2009 00:00:00 GMT

The pharmaceutical industry, confronting sluggish growth, low prestige and the prospect of more-aggressive government oversight, is moving on several fronts to burnish its image and align itself rhetorically with the health reform goals of President-elect Barack Obama and the Democratic Congress.

 

 

Integrity vs. Ethics

Wed, 07 Jan 2009 00:00:00 GMT

The first thing you should know is that I actually hate the use of the word “ethics”.Over the next few months I plan to write about things that I believe are shaping our industry and influencing the way in which organizations address ethics and compliance. Despite being the CEO of a company called EthicsPoint, the first thing you should know is that I actually hate the use of the word “ethics” when applied to the business world. The problem is that, in its purest form, a person or organization is considered either ethical or unethical based on their actions. But as you and I know, life doesn’t work like that.

Illustrative Case: What to Do About Child Labor? Let me give you an example…Since 2003, I have had the pleasure to work with Paul Melendez at the University of Arizona, where they hold a world-class Ethics Bowl in the fall of each year. More than 20 universities from around the world send teams of two extremely bright and engaged students to share their solution to a “hypothetical” ethical dilemma. Every year that I have judged this event there are always one or two groups of students who take the ethical high-road. One year the case presented involved a company’s foreign country sub-contractor using child labor to harvest the raw materials that supplied 75% of the company’s revenue. Unfortunately, child labor is a common practice in this country and one that is difficult to control. One group of students recommended to immediately stop using the contractor and find another geographic source for the raw material. Their solution was clearly the “ethical bright-line”, but enacting their solution would in all likelihood bankrupt the organization in a matter of weeks.

The Better Way: Finding a Creative Business Solution of High Integrity. Instead of “ethics,” I prefer to use the term “integrity”. In the example above it is easy to see what the righteous solution might be, but we do not live in a perfect world and often are unable to instantly mitigate a terrible situation. In this case the best solution is to invest in education and governance around the supply chain’s labor policies; knowing that while you work to correct the problem your profits will be affected and some child labor will undoubtedly be used. Frankly a business decision of high integrity, like investing to change a paradigm and accepting the fact child labor is still in use, could be considered by an “outsider” to be unethical.Building a sustainable ethical culture takes time and requires difficult decisions to be made as well as learning from our mistakes.When business leaders are faced with tough decisions that affect people’s livelihood or the sustainability of a business’ franchise the best possible response is often likely to be “baby steps” of high integrity that begin to reshape the values of the organization.

Unfortunately, because we live in a two-quarter-at-most-world, a lot of great companies initially find themselves in the penalty box for making these kinds of long-term decisions.(If you would like to see how the issue of child labor in developing countries is being addressed, I encourage you to visit the International Cocoa Initiative’s website. )

That’s all for now – what are your thoughts? Do you agree that we need to make a distinction between “ethics” and “integrity” or do you feel I’m off base? Should I have judged the example above differently – was the ethical high road the right one to take? Let me know by posting or sending me an email directly.

Data Breaches Up Almost 50 Percent, Affecting Records of 35.7 Million People

Tue, 06 Jan 2009 00:00:00 GMT

Businesses, governments and educational institutions reported nearly 50 percent more data breaches last year than in 2007, exposing the personal records of at least 35.7 million Americans, according to a nonprofit group that works to prevent identity fraud.

Up in Smoke: Better oversight needed of charity dollars

Mon, 05 Jan 2009 00:00:00 GMT

With charitable organizations reporting declines in giving because of the poor state of the economy, it's imperative that groups ensure that every dollar is spent wisely.

OCEG Red Book

Mon, 05 Jan 2009 00:00:00 GMT

Citing from OCEG's description:

Leading publications including The Wall Street Journal, Business Finance magazine, InsideCounsel magazine, Treasury & Risk Magazine, Compliance Week, and academic journals have recognized the Red Book. It is widely lauded for articulating the value of integrated GRC and demonstrating that it is possible to achieve this value. After three years of use by organizations of various size and type, and receipt of feedback on that use, it is time to update the Red Book to reflect the evolution of GRC that the OCEG community has driven.

Click to download the Red Book.

 

We Need to Talk

Thu, 01 Jan 2009 00:00:00 GMT

Welcome to my blog. This is my first blog…ever! The purpose of my writing here is to offer some insight into what I believe is driving my business, our industry, and the regulatory environments in which we operate.

I begin this dialog with more than 20 years of experience as a CE0, Board member and technology change agent in hopes of starting a passionate dialog about the issues we face. My goal is to generate some creative ideas that support innovation and operational success. I invite you to consider the issues I will present and respond to this blog – I want to hear what you have to say!Those who know me will say that I always speak my mind and, although this tends to make my legal team a little nervous, I wouldn’t change this quality about myself.

Anyway, I generally have an opinion on things - okay, okay, I have a strong opinion on everything! - and I'd like to share it here. However, for this blog to be of value it must be honest and interactive. It must be bold. I assure you I will be honest regardless of how irreverent it may seem, but the interaction depends on you.

For now, I leave you with a thought of what’s to come: my vision for the next couple of years is that supply chain management, from a governance, risk and compliance (GRC) perspective, is one of the most important issues to be addressed. I am hopeful we will talk a great deal about it here and that we can share examples of ways to improve the process.

Fry's Official Faces Fraud Charges

Tue, 23 Dec 2008 00:00:00 GMT

A top executive at Fry's Electronics Inc. has been arrested on federal charges that he defrauded the retailer of $65 million in a kickback scheme, using much of the money to repay huge gambling debts at Las Vegas casinos.

In Madoff’s Wake, Scrutiny of Accounting Firms

Sun, 21 Dec 2008 00:00:00 GMT

As more details unfurl in the Bernard L. Madoff fraud case, so do the lawsuits. And the big accounting firms, which oversaw many of the feeder funds that funneled billions of dollars into what prosecutors describe as the largest Ponzi scheme ever perpetrated, are likely to be among the defendants.

Bribe Payers Index

Tue, 09 Dec 2008 00:00:00 GMT

As the effects of the financial crisis are being felt around the world, Transparency International’s 2008 Bribe Payers Index (BPI) exposes the degree to which companies of the leading exporting nations are likely to engage in bribery when doing business abroad.

Director of the SEC sends open letter to CEOs on critical importance of compliance

Tue, 02 Dec 2008 00:00:00 GMT

On December 2, 2008, Lori A Richards, Director of the SEC sent an open letter to CEOs of SEC-Registered companies stressing the critical importance of the compliance function within organizations, and strongly urging companies to avoid making cuts in this area during these economic tough times.

North Kingstown launches EthicsPoint whistleblower hotline

Tue, 02 Dec 2008 00:00:00 GMT

Got a beef with your boss? Think a councilman is crooked?

Town employees, vendors and even students can now complain online about government abuse -- without fear of retaliation.[...] But those who fear retaliation can rely on the anonymous reporting system, which is handled by EthicsPoint, an Oregon-based company.

 

EthicsPoint Revamps Ethics Reporting at University of Utah

Mon, 01 Dec 2008 00:00:00 GMT

With a new ethics hot line system, anonymous ethical questions from University of Utah staff and faculty have more than doubled, said Randy Van Dyke, assistant vice president for auditing and risk services at the University. EthicsPoint, based in Portland, Oregon, manages the University’s hot line, which is dedicated to reporting unethical practices on campus. Since the University started using EthicsPoint services two years ago, reports have doubled. “Prior to that time, we administered a hot line internally,” Van Dyke said. “But we changed to EthicsPoint because it was becoming standard practice to outsource this type of arrangement in the wider business community.”

EthicsPoint Selected as Hotline Provider for Liberty Public Schools

Thu, 27 Nov 2008 00:00:00 GMT

Within eight weeks, Liberty Public Schools will be installing and activating a fraud, waste and abuse hotline. The hotline will be accessible by staff, students and the community."The EthicsPoint system was the least expensive of the options but provides the highest quality service," he said.

From Bake Sales to Tenure, Ethics Issues are Featured in Week’s Education News

Mon, 17 Nov 2008 00:00:00 GMT

Bake sales have become the latest casualty in the battle over whether schools should manage the quality of food that students eat on campus. California’s tough new nutritional standard for public schools have made the staple of fundraising pretty much a thing of the past, reports the San Francisco Chronicle. State guidelines dictate that any food sold on campus during the school day meet certain guidelines as to fat and caloric content — rules that eliminate most bake-sale fare. Some parents told the Chronicle that the restrictions are draconian and put a significant dent in a proven fundraising strategy — a problem in times of financial crisis. Advocates counter that the goal of the recently enacted legislation is simply to protect students and stem obesity, and that schools had set themselves up for this situation by becoming dependent on a fundraising tactic that was inherently bad for children.

NIH to step up public access policy compliance efforts

Tue, 04 Nov 2008 00:00:00 GMT

The National Institutes of Health (NIH) announced that it will check applications, proposals, and progress reports to ensure compliance with the Public Access Policy that went into effect in April.

Inquiry Spotlight: GRC, Q4 2008

Mon, 03 Nov 2008 00:00:00 GMT

Governance, risk, and compliance (GRC) continues to be a hot topic of interest for security and risk professionals. Between July 2007 and July 2008, Forrester's security and risk management team received 1,798 inquiries on a variety of topics — 198 of which were from clients interested in GRC. Of the GRC-related inquiries recorded, 46% covered compliance best practices, 32% concerned GRC vendor selection, and 24% addressed risk management.

Click here to read the entire article from Forrester.

Security And Risk Professionals: Must-Read Research In An Economic Downturn

Thu, 30 Oct 2008 00:00:00 GMT

As the global economy stands on the brink of a complete meltdown, the role of the security and risk management professional is never going to be more important than it is right now. With so many unknown hurdles still ahead, it's up to you to help navigate your company through uncertain times. What five things do you need to do now?

1) Prioritize your projects and fight for your budget;

2) properly secure all your information and infrastructure assets;

3) put governance, risk, and compliance (GRC) projects on your CEO's priority list;

4) make sure your business is resilient and can respond to any disruption; and

5) share your security and risk perspective within and beyond your organization.

Click here to read the entire article at Forrester.com.

Internal Audit Guide

Thu, 16 Oct 2008 00:00:00 GMT

Citing from OCEG's description:

The OCEG Internal Audit Guide (OIAG) can be used by:

Internal auditors completing an internal audit of GRC Capabilities.

Audit committee members, to gain an understanding of the means to achieve GRC objectives.

Oversight and strategic personnel, including those charged with governance responsibilities, who need to understand the necessary and desirable components of a GRC Capability, and how to implement appropriate mechanisms within their organization.

GRC strategic and operational professionals, such as chief compliance and ethics officers, as the Guide helps them to understand what to expect of an effective assessment program.

Operational personnel who may be subject to GRC Capability audit, as the Guide provides useful preparatory information.

Fraud More Than Doubles For Travel, Leisure And Transportation Companies Losing An Average Us$2.5 Million Over Past Three Years

Mon, 15 Sep 2008 00:00:00 GMT

The average travel, leisure and transportation company loss to fraud has increased by 66% largely driven by the credit crunch and tough economic climate, according to the latest Kroll Global Fraud Report. Companies lost an average of US$2.5 million to fraud in the past three years, compared to last year's figure which stood at US $1.1 million. The figures are a result of a survey Kroll commissioned from the Economist Intelligence Unit of 890 senior executives worldwide.

EthicsPoint Ranked #701 on the Inc. 5,000 List of Fastest-Growing Companies

Fri, 22 Aug 2008 00:00:00 GMT

PORTLAND, Ore., August 20, 2008 — EthicsPoint, the market leader in business process optimization for Issue, Event, and Loss Management, announced today that it has been selected as one of the Inc. 5,000 fastest-growing companies in America by INC. magazine. To qualify for the award, companies must be U.S.-based, privately held, and independent, having been founded and generating revenue by 2003. Companies are ranked according to percentages of revenue growth from 2003 through 2006.

The list is the most comprehensive look at the most important segment of the economy – America’s independent-minded entrepreneurs. “Our second annual Inc. 5000 continues the most ambitious project in business journalism,” said Inc. 5000 Project Manager Jim Melloan. “The Inc. 5000 gives an unrivalled portrait of young, underreported companies across all industries doing fascinating things with cutting-edge business models, as well as older companies that are still showing impressive growth.” 

“The past twelve months have marked a period of unprecedented growth as EthicsPoint continues to deliver extraordinary products and services to the Governance, Risk, and Compliance marketplace. Our clients trust us to provide the tools they need to manage risks and deal with an ever-evolving regulatory environment,” said Tom O’Keefe, executive vice-president of EthicsPoint.

EthicsPoint’s list of accomplishments in 2008 has been significant. EthicsPoint was recognized twice by the Portland Business Journal as the 6th Fastest-Growing Technology Company in the Pacific Northwest and 20th Fastest-Growing Private Company overall in Oregon. Within the Inc. 5000 assessment, EthicsPoint ranked 8th fastest growing in its geographic region.   

"Inc. supports and embodies the entrepreneurial spirit of America, and we are very pleased to receive this honor" said David Childers, president and CEO of EthicsPoint. “This national recognition means a lot to our team. Their commitment to client satisfaction has provided us a consistently high customer retention rate, which I believe reflects the true measure of our success.”

###

About EthicsPoint EthicsPoint is the market leader in business process optimization for Issue, Event, and Loss Management. The company provides a robust, on-demand, single-platform workflow solution that leverages an industry-leading global hotline and report management system. EthicsPoint’s comprehensive solution can cost-efficiently integrate detached, localized activities or provide immediate point solution benefits. The EthicsPoint solution is used by over 1,700 clients in a variety of industries worldwide to incorporate compliance initiatives and business process management via an on-demand, Software-as-a-Service delivery model. For more information, visit www.ethicspoint.com.

About Inc.com Inc.com, the daily resource for entrepreneurs, delivers how-to guides, advice, tools, breaking news, and rich multi-media to help business owners and CEOs start, run, and grow their businesses. Inc.com offers dynamic marketing solutions to help advertisers effectively reach Inc.com's audience of business leaders. Visit http://www.inc.com.

Data security: What the law requires of IT

Mon, 18 Aug 2008 00:00:00 GMT

IT's legal duty to secure sensitive data is complex and continuously evolving. Here's how to avoid the legal ramifications of a data breach.

EthicsPoint, Inc. Named Oregon's 6th Fastest-Growing Technology and Software Company

Fri, 25 Jul 2008 00:00:00 GMT

PORTLAND, Ore., June 25, 2008 — EthicsPoint, Inc., the market leader in business process optimization for Issue, Event, and Loss Management, was ranked the 6th fastest-growing technology company in the region.       The list of Fastest-Growing Technology and Software Companies, compiled annually by the Portland Business Journal, is based upon percentage growth from 2005 – 2007. Earlier this year, EthicsPoint was ranked 20th among the 100 Fastest-Growing Private Companies in Oregon. This annual ranking is based upon percentage growth across all industries in this same time period.

“The past twelve months have marked a period of unprecedented growth as EthicsPoint continues to deliver extraordinary products and services to the Governance, Risk, and Compliance marketplace. Our clients trust us to provide the tools they need to manage risks and deal with an ever-evolving regulatory environment,” said Tom O’Keefe, executive vice-president of EthicsPoint.

“I am delighted with the array of recognition that EthicsPoint has received this year,” says David Childers, EthicsPoint’s president and chief executive officer. “These achievements are evidence of the dedication and expertise of our team, and I am proud to share this award with each and every one of them.”

PCC offers Web site for financial disclosures

Wed, 09 Jul 2008 00:00:00 GMT

From Portland Community College's websitewww.pcc.eduThe irony of having a really good system to empower whistleblowers is, you pray you never need it. That’s the situation Portland Community College finds itself in as it unveils EthicsPoint software this summer. EthicsPoint is a Web site and a toll-free telephone number for students, staff and faculty – and for the community at large – to report potentially inappropriate financial activity committed by someone at PCC...

EthicsPoint Receives Honorable Mention for the QSR Applied Technology Award

Wed, 02 Jul 2008 00:00:00 GMT

EthicsPoint's Issue and Event Manager receives an honorable mention for the QSR Applied Technology Award for its two-way communication between El Pollo Loco's employees and human resource staff members. In the past, El Pollo Loco—like many other chains—provided a hotline for employees to report violations of its Code of Business Ethics and Conduct. But as the brand grew, the chain’s human resources team realized it needed a better way to solicit and address employee concerns.

EthicsPoint, Inc. Named Oregon's 20th Fastest Growing Private Company

Mon, 23 Jun 2008 00:00:00 GMT

PORTLAND, Ore., June 23, 2008 — EthicsPoint, Inc., the market leader in business process optimization for Issue, Event, and Loss Management, was recently ranked 20th overall on the list of the Top 100 Fastest-Growing Private Companies in Oregon. This is the second consecutive year that the company has been ranked in the Top 100. Last year the company was ranked eighth.

"We are pleased to be recognized as one of Oregon's fastest-growing private companies for the second year in a row,” said Tom O’Keefe, executive vice president of EthicsPoint. “EthicsPoint has focused on what we do best – delivering innovative software and services to support Governance, Risk, and Compliance needs worldwide – and we are honored to be recognized again in the top 20."

The annual Top 100 Fastest-Growing Private Companies in Oregon list recognizes the privately owned companies in Oregon that have demonstrated the most revenue growth and includes companies in industries such as healthcare, real estate, and technology. The list was compiled by the Portland Business Journal newspaper.

"This award belongs to everyone at EthicsPoint,” said David Childers, EthicsPoint’s president and chief executive officer. “I sincerely and gratefully give credit to the dedication, skill, and creativity that our team delivers every day as they serve our clients and more than eight million stakeholders around the globe.”

Chicago Mayor Richard M. Daley to Address the 7th Annual Compliance and Ethics Institute

Tue, 17 Jun 2008 00:00:00 GMT

Because government entities are increasingly faced with the need to implement ethics and compliance programs, this year's program includes a one-day track devoted specifically to compliance and ethics issues faced by city and county governments. Mayor Daley will discuss the significant efforts underway in the City of Chicago to develop an effective ethics and compliance program.

EthicsPoint CEO, David Childers, Named Among 100 Most Influential People in Finance

Mon, 09 Jun 2008 00:00:00 GMT

Portland, Ore. – June 9, 2008 – EthicsPoint announced today that David Childers, its president and chief executive officer, was recently named one of the 100 Most Influential People in Finance by Treasury & Risk Magazine. Mr. Childers was listed among other top technology leaders from IBM, Oracle, Archer Technology, Business Objects, SAP, and SAS.

“This is a tremendous honor, and I am deeply humbled,” said David. “To be considered a leading industry contributor, and to be mentioned in the company of so many outstanding leaders, is an incredible feeling.”

Under Mr. Childers’ leadership, EthicsPoint has become the market leader in business process optimization for Issue, Event, and Loss Management. EthicsPoint has been named one of The Portland Business Journal’s 100 Fastest-Growing Private Companies for two years running and was chosen one of Oregon Business Magazine’s Top 100 Best Companies to Work For in 2006. 

“David is an invaluable asset to EthicsPoint,” said General Merrill A. McPeak, chairman of the board for EthicsPoint. “I have served on the board of many companies, and in my experience, his thought leadership, forward thinking, and grasp of technology are unparalleled.”

Mr. Childers is a pioneer in the field of Governance, Risk, and Compliance. He is a member of the Ethics Officers Association and the National Association of Corporate Directors and is a charter member of the Open Compliance and Ethics Group (OCEG), a coalition of the nation's business leaders assembled to develop compliance standards and guidelines. Mr. Childers also serves on the OCEG steering and technology committees, where he is responsible for the development of issue awareness and resolution guidelines and best practices. He is also a frequent lecturer on the subject of business ethics.

Treasury & Risk Magazine summarizes Mr. Childers’ achievements: 

“While heading up a company that provides sophisticated solutions for enhancing governance, Childers finds time to contribute to the broader ethics and compliance community by serving on nonprofit organizations dedicated to improving the principles of good governance.“

To read more about the nomination, please visit: http://www.treasuryandrisk.com/article.php?article=1337

Anatomy of a Financial Fraud

Fri, 02 May 2008 00:00:00 GMT

William "Jay" Zubick was issuing change orders almost as fast as his contractor in Idaho could write them down. Battling a serious heart infection, the 42-year-old investment counselor and Ironman triathlete decided in January 2007 that rather than return to his home in an exclusive gated estate community on California's Monterey Peninsula, he would take his wife and four children to the lakeside home he was having built in Coeur d'Alene to convalesce.

EthicsPoint Successfully Completes SAS 70 Type II Audit

Thu, 01 May 2008 00:00:00 GMT

Portland, Ore. – May 1, 2008 – EthicsPoint, Inc., a market leader in business process optimization for Issue, Event, and Loss Management, announced today that it has received SAS 70 Type II certification, an internationally recognized auditing standard developed by the American Institute of Certified Public Accountants (AICPA). Third-party auditor Plante & Moran, PLCC, performed the audit, which is an independent report on the design of EthicsPoint’s business processes and procedures. "We are thrilled to receive this important certification,” said David Childers, president and chief executive officer of EthicsPoint. "We pursued the more arduous Type II certification to demonstrate the rigorous processes, procedures, and internal controls we have in place surrounding our on-demand, Software-as-a-Service solutions." The Sarbanes-Oxley Act of 2002 requires that publicly held companies verify that certain of their service providers have adequate controls in place to protect the information housed with that third party. A SAS 70 Type II Service Auditor's Report provides this verification. SAS 70 is the authoritative guidance that allows service organizations to disclose their control activities and processes to their customers and their customers' auditors in a uniform reporting format. A SAS 70 examination demonstrates that an independent firm has reviewed and examined an organization’s control objectives and activities. At the conclusion of a SAS 70 examination, a formal report, including the auditor’s opinion, is issued to the organization.  Click here to learn more about SAS 70.

Helpline Hotline Handbook (OCEG)

Thu, 24 Apr 2008 00:00:00 GMT

Citing from OCEG's description:

This Helpline/Hotline Handbook (HHH) is designed primarily for chief compliance officers, chief ethics officers, chief information officers, chief legal officers, those responsible for operating the helpline/hotline system and the helpline/hotline program and those responsible for investigating and reviewing allegations of inappropriate behavior. However, the Handbook will also be helpful to directors, executives and senior managers charged with governance responsibilities to better understand the mechanisms and processes involved in handling inquiries and issues and the information conveyed through internal reporting and metrics about the nature of inquiries and issues and their outcomes. Lastly, the HHH will also assist internal auditors in their efforts to plan assessments and establish assessment criteria.

Click to download the Helpline Hotline Handbook from OCEG.

 

Data Breach Notification Laws, State By State

Mon, 18 Feb 2008 00:00:00 GMT

Five years after California's landmark SB 1386, this interactive map shows you which 38 states have passed laws requiring companies to notify consumers whose personal information has been compromised.

Accounting Firm Must Pay $521 Million in Fraud Case

Wed, 15 Aug 2007 00:00:00 GMT

A jury on Tuesday ordered accounting firm BDO Seidman to pay more than $351 million in punitive damages in a negligence case, bringing BDO's potential liability in the case to about $521 million.

Whistleblowing and Good Governance - Policies for Universities, Government Entities, and Nonprofit Organizations

Fri, 01 Jun 2007 00:00:00 GMT

The Sarbanes-Oxley Act of 2002 (SOX) has forever changed corporate governance for publicly held corporations. Recent data suggest that the costs of compliance with the provisions of SOX can be very significant. Because these mandated requirements apply almost exclusively to publicly held corporations, some companies have cited the high costs of SOX compliance as a rationale for going private. After all, SOX was developed in response to high-profile corporate scandals that included Enron, WorldCom, and Tyco, and was not designed to address problems in other sectors. Unfortunately, problems in corporate governance are not unique to public corporations.

Airline Fraud - Survey A report looking at fraud in the airline industry

Mon, 23 Apr 2007 00:00:00 GMT

Airlines around the world are operating in a volatile, complex and ever changing environment. The risk of fraud is at the forefront of airline leaders and internal auditors’ agendas. The impact of fraud, whether perpetrated internally or externally, is significant not only to the bottom line, but also to the operation and the reputation of the airline.

Telecommunications Provider Pays Over $1 Million In EPA Settlement

Tue, 18 Nov 2003 00:00:00 GMT

A Word of Caution! You should develop a plan to report and correct violations before you determine if you are in violation of environmental laws. The Audit Policy requires that you disclose violations within 21 days from the date the violation is "discovered." You must then correct violations within 60 days. Given these deadlines, it is best to develop a plan before you begin to evaluate your company's compliance. EPA is also willing to work with companies before an audit to develop inspection and correction schedules suitable for multi-site audits. Without a plan, you may not meet the Audit Policy deadlines and may be subject to much greater penalties for any violations you discover.

Eight Telecom Companies Issue Code of Conduct with Zero Tolerance Policies for Slamming & Cramming

Tue, 30 Nov 1999 00:00:00 GMT

Attorney General Ken Salazar announced today that his office and eight major telecommunications companies in Colorado have jointly issued a Code of Conduct to Address Slamming and Cramming. Slamming is the unauthorized change of a subscriber's carrier selection without those subscribers' knowledge or authorization. Cramming is the practice of causing unauthorized, misleading, or deceptive charges to be placed on consumer's telephone bills. Slamming and cramming are among the top areas of consumer complaints received by the Colorado Attorney General's office and other consumer protection agencies around the country. The Code is an effort to address to address the problems.

The Rezidor Hotel Group Checks in with EthicsPoint to Develop a Global Ethics and Compliance

Mon, 01 Jan 0001 00:00:00 GMT

Rising to the upper echelon of hotel companies in

Europe takes more than just attentive service and crisp

sheets. Operating brands such as Radisson Blu, Regent

and Park Inn, the Rezidor Hotel Group’s commitment to

Responsible Business has helped it become one of the

fastest-growing and most innovative hotel companies

worldwide.

Jefferson County Public Schools Gets a Best-in-Class Reporting System with EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

Back in the spring of 1829, the city of Louisville, Kentucky established its first public school system. Now known as Jefferson County Public Schools, the system currently has more than 99,000 students and 155 schools, many of which have received awards for excellence in education.

EthicsPoint Helps Cummins Keep a Consistent Company Culture

Mon, 01 Jan 0001 00:00:00 GMT

Cummins is driven by the idea that the power and

commitment of employees can make people’s lives

better. That vision extends on a global basis through 38,000 employees in 160 countries.

In turn, Cummins serves employees by acting responsibly to improve their lives and their communities.

EthicsPoint Unshackles the Full Potential of GEO’s Business Culture

Mon, 01 Jan 0001 00:00:00 GMT

The GEO Group, Inc (GEO), is a world leader in the delivery of correctional, detention, and residential treatment

services to federal, state, and local government agencies around the globe.

EthicsPoint Helps Santa Clara University Reinforce its Culture of Excellence

Mon, 01 Jan 0001 00:00:00 GMT

Founded in 1851, Santa Clara University has been

repeatedly honored and recognized for creating an

environment based on excellence.

EthicsPoint Helps Propel the Risk Management System at Embry-Riddle

Mon, 01 Jan 0001 00:00:00 GMT

Embry-Riddle educates more than 34,000 students each year, and is the world’s largest fully accredited university specializing in aviation and aerospace.

EthicsPoint Helps Make a Connection Between Disparate Systems at Avaya

Mon, 01 Jan 0001 00:00:00 GMT

Enhancing productivity through communication: Avaya is a leading provider of business communication applications, systems and services. Avaya helps companies of all sizes around the world achieve exceptional results.

EthicsPoint Helps Endesa S.A. Generate Increased Efficiency and Control

Mon, 01 Jan 0001 00:00:00 GMT

European companies adhere to principles of ethical business conduct and transparency, by means of self-regulation or in compliance with legislative reforms.

EthicsPoint helps El Pollo Loco’s work culture take flight

Mon, 01 Jan 0001 00:00:00 GMT

Founded in 1975, El Pollo Loco now has 400 locations, operations in 14 states and a reputation for freshness, flavor and tradition.

The company’s commitment to chicken marinated according

to an award-winning, wholesome family recipe of herbs and spices, before cooked slowly over an open grill... is matched only by El Pollo Loco’s commitment to a safe, ethical workplace.

EthicsPoint Helps Foster Transparency in the Town of North Kingstown

Mon, 01 Jan 0001 00:00:00 GMT

The coastal community of North Kingstown, Rhode Island, is using technology to create an open, transparent local government.

YMCA of Delaware Puts its Principles to Practice with EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

The mission to serve its community is central to the YMCA of Delaware - that means efficient, productive operations and a commitment to responsibility and safety.

EthicsPoint and Rock Bottom Restaurants, Inc, Partner to Brew a Positive Workplace

Mon, 01 Jan 0001 00:00:00 GMT

Fun is always on tap when you hit Rock Bottom, (RBR, Inc), the restaurant proudly admits. Built around the theory that friends enjoy gathering in a welcoming, upbeat environment with tasty food and handcrafted beer, RBR, Inc has enjoyed success as one of the country’s leading multi-concept, mid-scale restaurant brewery groups.

Con-way Drives its Ethics and Compliance Program with an Integrated Solution from EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

Con-way sets itself apart from competitors by focusing on a commitment to ethics and care for customers. The company’s 29,000 employees are united by the core values of integrity, commitment and excellence. Based in San Mateo, CA, Con-way’s freight transportation and logistics services are used by 400,000 customers.

Spirit AeroSystems Assembles a Technologically Advanced Ethics Program with Help from EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

A belief in the power of partnerships with customers, suppliers, neighbors and employees is a big part of the philosophy at Spirit AeroSystems. Spirit is the world’s largest independent supplier of commercial aircraft assemblies and components with nearly 14,000 employees on three continents.

Is Developing an Ethical Business Culture a Matter of Luck?

Mon, 01 Jan 0001 00:00:00 GMT

What is better than the hottest gaming experience in town? When the casino has a compliance system that makes sure everybody is playing by the rules.

Should a Mid-Size Bank Invest in a System that Can Keep Fraud Risks in Check?

Mon, 01 Jan 0001 00:00:00 GMT

As part of the highly-regulated banking industry, Fulton Financial has spent years developing strong financial

controls to identify and resolve potential risks early.

Cataloguing Every Concern Keeps Coldwater Creek Efficient, Consistent and in Control

Mon, 01 Jan 0001 00:00:00 GMT

Coldwater Creek, based in Sandpoint, Idaho, is an integrated triple-sales-channel retailer of women’s apparel, jewelry, gifts and accessories through a growing number of premium

retail stores located across the United States, an e-commerce site at www.coldwatercreek.com, and direct mail catalogs.

EthicsPoint Helps TELUS Signal a New Approach to Ethics Compliance

Mon, 01 Jan 0001 00:00:00 GMT

As TELUS grew from a merger of four companies into a national organization with a clear growth strategy, the company decided to adopt a structured, centralized approach to ethics compliance.

Texas Roadhouse and EthicsPoint Cook Up a Hearty Ethical Workplace

Mon, 01 Jan 0001 00:00:00 GMT

Passion, Partnership, Integrity and Fun... all with Purpose are the values that have built Texas Roadhouse’s success in providing guests Legendary Food, Legendary Service. Headquartered in Louisville, Kentucky, the company lays claim to the highest quality food in the industry such as hand-cut steaks, fall-off-the-bone ribs and made-from-scratch sides.

Scripps Gets the Inside Scoop on Potential Misconduct with a Reporting Solution from EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

While the E.W. Scripps Company employs many news reporters, the company is trying to encourage a different kind of reporting to help identify and resolve ethics issues in the workplace. If employees have concerns, Scripps makes sure they have every opportunity to report them and have their voices heard.

EthicsPoint Supplies Staples an Efficient Hotline and Case Management System

Mon, 01 Jan 0001 00:00:00 GMT

“Staples Soul” is a concept symbolized by a heart formed out of a paperclip. It stands for a commitment to diversity, the environment, the community, and ethics: the four cornerstones of Staples’ corporate responsibility.

Samaritan Health Services Finds the Cure for the Common Compliance System with EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

United by a set of core values and consideration for local health care needs, Samaritan Health Services is a regional network of Oregon hospitals, physicians and senior care facilities that serves the needs of people in the mid-Willamette Valley and the Central Oregon Coast.

EthicsPoint Helps Rubio’s Take a Fresh Approach to Ethics and Compliance

Mon, 01 Jan 0001 00:00:00 GMT

Not many companies are born as a direct result of a group of friends camping on the beach and basking in the sun at San Felipe.

Sutter Health Finds the Right Prescription for Hotline and Case Management with EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

The Sutter Health network consists of some of the most respected physicians, hospitals and other healthcare providers in Northern California, all working together to provide high-quality health care.

Texas A&M University System Integrates Scattered Lines of Communication with EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

The Texas A&M University System is one of the largest and most complex systems of higher education in the United States, consisting of eleven universities, eight state agencies and a health science center. The Texas A&M University System educates over 109,000 students and reaches more than 15 million people each year through service.

Auburn University Keeps Close Watch on Ethical and Financial Risks with Help from EthicsPoint

Mon, 01 Jan 0001 00:00:00 GMT

The Auburn University creed states, “I believe in honesty and truthfulness... I believe in obedience to law because it protects the rights of all.” In the spirit of that creed, the 10,000 employees of Auburn University and its campuses are part of a university environment that reflects dedication to those values.

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