Info

Masters of Disaster

Stories of Risk, Ethics & Compliance. Host Leona Lewis interviews people about leadership, managing risk, ethics and compliance strategies for businesses, government, academia or society.
RSS Feed Subscribe in iTunes
Masters of Disaster
2017
September
August
July
June
May
April
February
January


2016
December
November
October
September
August
July
June
May
April
March
February
January


2015
December
November
October
September


All Episodes
Archives
Now displaying: 2016
Jun 6, 2016

Masters of Disaster features Richard Bistrong, fresh from the Compliance Week 2016 in D.C. We discuss the most memorable underlying approaches to compliance talked about among thought leaders and practitioners in the field. The compliance community seems to be evolving.  Messages from both prosecutors and private industry now speak more holistically on how to view the effectiveness of a compliance program than they did a few years ago.  Compliance professionals and government prosecutors are both moving away from a myopic focus on compliance as a set of policies, to a compliance strategy focused on dis-incentivizing wrongdoing by the Chief Compliance Officer becoming a strategic partner to the business. 

Richard Bistrong is CEO of Front-Line Anti-Bribery LLC, a consultancy that engages organizations seeking to take their compliance efforts beyond the traditional "bolt-on" set of rules and procedures. Richard’s story highlights the importance of identifying both "spoken and unspoken" organizational messages, including forecasts and compensation, that might have unintentional consequences on the behavior of front-line employees who may be inadvertently rewarded for bad behavior contrary to the stated intentions of leadership. He also looks at ethical behaviors and messaging as potential red-flags of decision making. 

With respect to bribery in particular, Richard also provides a point of view on how training and tools might be created to provide those at the front-lines with a deeper understanding of why bribery is never a "win-win," which is an illusion too often embraced at the front-lines of international business. Having spent the better part of ten years living and traveling in high-risk areas through the "dark side" of international business, he shares his own perfect storm of "rationalizing bribery" as an insightful perspective to help organizations better understand how corruption is confronted at the field level of international business.

The risk of corruption in the field remains great, and corporate personnel are tasked with business growth in high-risk areas, often working among corrupt local officials, third parties, and other entities. Keeping company employees on the ethical "right side" does not happen without engagement, understanding and training. Front-Line Anti-Bribery LLC is centered on helping organizations with those "where to start" moments and the comfort that you can "fix what you know."

In other words, while you might have a robust compliance department & program, but is it understood at the front-line of business where policies & procedures meet the behaviors? Richard’s experience and journey is there to help you calibrate programs to factor in realities in the field.

 

LINKS

Richard Bistrong richardbistrong@gmail.com  

Front-Line Anti-Bribery LLC http://richardbistrong.com/

Compliance Week 2016 http://conference.complianceweek.com/

 

Masters of Disaster is produced and hosted by Leona Lewis, J.D. | Founder ComplyEthic.com leonalewis@complyethic.com  www.complyethic.com

May 30, 2016

Kristy Grant-Hart fills rin Masters of Disaster podcast listeners on how her book How to be a Wildly Effective Compliance Officer has been received since it launched.  Kristy’s perspective on the critical nature of human relations in compliance has resonated with her readers internationally. In our discussion, Kristy reflects on comments she received from readers and the future of the profession.

Kristy Grant-Hart is an expert at transforming compliance departments into in-demand business assets.  She's the author of How to be a Wildly Effective Compliance Officer and Managing Director of Spark Compliance Consulting, a boutique consultancy focusing on the creation, energizing and optimization of corporate compliance and data privacy programs.  She is also an adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics. 

Before launching Spark Compliance, Ms. Grant-Hart was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries.  Ms. Grant-Hart was shortlisted for the 2015 Chief Compliance Officer of the Year award at the Women in Compliance awards. 

Ms. Grant-Hart began her legal career at the international law firm of Gibson, Dunn & Crutcher, where she worked in the firm’s Los Angeles and London offices. While at Gibson Dunn, her team was nominated for Best Regulatory Law Firm of the Year at Thomson Reuter’s Compliance Awards. She is an experienced international conference speaker, and has published articles in magazines and trade publications in the United States and Europe on anti-bribery topics and on data privacy and data transfer between the United States, the United Kingdom and the European Union. She has advised Fortune 500 companies on international compliance, and created and revamped compliance programs for major companies in Europe and the United States. 

Ms. Grant-Hart graduated summa cum laude from Loyola Law School in California. She holds certification as a Corporate Compliance and Ethics Professional – International (CCEP-I) and is a member of the California Bar.

 

LINKS

kristy@compliancekristy.com

http://www.sparkcompliance.com/

http://www.compliancekristy.com/

http://www.amazon.com/Wildly-Effective-Compliance-Officer-Demand/dp/0993478808/ref=tmm_pap_swatch_0?_encoding=UTF8&qid=1454573363&sr=1-1

May 23, 2016

Lisa McClennon specializes in risk management in the international arena and is a trusted authority on investigations and government enforcement. She is a seasoned global executive with 25 years of experience in federal law enforcement, compliance, and ethics. Lisa loves leading teams to prevent and detect fraud, sophisticated financial crimes, and public corruption. 

On the podcast, Lisa and I discuss her work on the U.S. federal government’s investigation of Ranbaxy USA Inc. (“Ranbaxy”), a subsidiary of Indian generic pharmaceutical manufacturer, Ranbaxy Laboratories Limited. Ranbaxy pleaded guilty to felony charges related to the manufacturer and distribution of adulterated drugs made at facilities in India. The investigation and prosecution of Ranbaxy lead to the largest federal drug safety settlement (as of May 13, 2013) of a criminal fine and forfeiture totaling $150 million plus and additional $350 million to settle civil claims under the False Claims Act and related State laws.

 

LINKS

DOJ Press Release: Generic Drug Manufacturer Ranbaxy Pleads Guilty and Agrees to Pay $500 Million to Resolve False Claims Allegations, cGMP Violations, and False Statements to the FDA https://www.justice.gov/opa/pr/generic-drug-manufacturer-ranbaxy-pleads-guilty-and-agrees-pay-500-million-resolve-false

U.S. Office of Inspector General https://oig.usaid.gov/

Fighting a culture of fraud, Fraud Magazine  http://www.fraud-magazine.com/article.aspx?id=4294983341 (interview with the whistleblower in Ranbaxy)

May 16, 2016

Trade in counterfeit goods is an insidious and growing problem worldwide. The OECD recently released a report estimating that trade in counterfeit goods has grown to approximately 2.5 % of world trade (as of 2013) or almost half a trillion dollars. 

Jason Daniels is Senior Investigation Manager (Americas) Global Security & Brand Protection for Underwriters Laboratories. Jason explains what it takes to keep the public safe from goods with counterfeit safety testing UL trademarks.

Counterfeiting crimes pose safety concerns for consumers worldwide, requiring coordinated global law enforcement efforts.  Beyond safety and reliability, trade in counterfeit goods funds organized crime and terrorism globally, posing additional threats to the public.  Underwriters Laboratories has worked with INTERPOL to create training programs to educate law enforcement, regulatory authorities and private sector investigators on intellectual property (IP) crimes and transnational organized IP crime syndicates.

Jason Daniels is the Senior Investigation Manager with Underwriters Laboratories’ Global Security & Brand Protection Unit.  His primary responsibility is to facilitate intellectual property theft investigations in the Americas and lend support to the EMEA.  Mr. Daniels has focused his efforts on combatting counterfeiting for over 13 years. 

Jason has written curriculum that has been presented throughout the United States concerning fraud investigations and has been a certified law enforcement instructor for over 18 years.  Before entering the corporate arena, Mr. Daniels was a sworn law enforcement officer in the State of North Carolina serving his last post as the Special Agent in Charge with the Secretary of State’s Office.  He is a graduate of Shaw University and continued his graduate development at the University of Louisville.   

 

LINKS

Jason.Daniels@ul.com

Underwriters Laboratories Introduces Global Anti-Counterfeiting Training Program

UL about page 

Trade in fake goods has worsened to almost half a trillion dollars: OECD 

OECD study 

May 9, 2016

Jay Laramore works for SAS training business teams how to use data.  What surprises Jay is how many new contexts people want to apply data analytics today.  As data has become more available, people have more ideas where to use it.

In compliance, education of compliance teams on the possibilities of data analytics can spur new ways of gathering data and making it available to the compliance team for innovation. Jay explains that sometimes data that could be helpful simply has not been captured, resulting in a “chicken and the egg” problem where analytics cannot be applied because the data does not exist, but the data does not exist because the value of collecting the data for analytics is not known.  In these cases, education in data analytics in the organization encourages the collection of new types of data that can be used to create answers to new problems.

Often, compliance teams are faced with problems that seem unquantifiable, for example, the cost of effort spent on non-compliance problems by business teams.  Even in these cases, Jay explains that techniques exist that allow “subjective” issues of effort to be included in analytics models.

Jay Laramore is an Analytical Training Consultant at SAS where he trains clients how to build analytical solutions, and explores new technologies and methods that will revolutionize the constantly evolving analytics industry. He is a strategic, naturally curious, analytical problem solver with the ability to clearly communicate results to individuals with various backgrounds and technical acumen. Jay’s passion is not just building predictive models, but automating model building processes to deliver scalable solutions to complex business problems. 

 

LINKS

Moneyball is Dead. Long Live Moneyball! http://techcrunch.com/2016/04/02/moneyball-is-dead-long-live-moneyball/

Spring Training, Fresh Grass and Analytics on the Field http://www.sporttechie.com/2016/02/19/spring-training-fresh-grass-and-analytics-on-the-field/

SAS Training and Books http://support.sas.com/learn/

 

The Masters of Disaster® podcast is produced and hosted by Leona Lewis, Founder of ComplyEthic Consulting www.complyethic.com leonalewis@complyethic.com

May 2, 2016

Ricardo Pellafone is Founder and Creative Director at Broadcat, a legal services firm making legal and compliance accessible to non-lawyers. Broadcat makes simple, graphic content that helps employees learn their legal and compliance obligations in seconds through visual content and infographics without having to sit in front of a computer or a training room. In graphics, Ricardo matches the risks with real tasks people need to perform, simplifying the message that needs to be delivered and allowing information to be quickly absorbed.

Simplifying compliance content is not easy. It takes mastery of the legal content to tell people what they need to do to support compliance. In this interview, Ricardo explains what needs to be considered in to create effective training, in addition to enjoyable training. We also discuss governance of compliance programs and the difference between “communication” and “training.” Ricardo also gives listeners the very good advice to get out from behind their desks as much as possible to get to know the business people directly.

Broadcat can make learning about suspicious invoices simple and enjoyable.  See Broadcat’s work here http://www.thebroadcat.com/library/  Also, do not overlook Ricardo’s interview with Compliance and Ethics Professional, a copy of the interview is available here http://www.thebroadcat.com/s/March-CE-MagazineBroadcat-Cover.pdf

Ricardo Pellafone is a former Associate General Counsel WD, a Western Digital Compan,y where he built out WD's compliance investigations program and drove the content for communications and media efforts. He was also the first global compliance lawyer for the Mubadala Group, a job that was more fun than the phrase "compliance lawyer" suggests, leading investigations for a sovereign wealth company in Abu Dhabi.

 

LINKS

Broadcat http://www.thebroadcat.com/

Ricardo Pellafone ricardo@thebroadcat.com

Apr 25, 2016

How your executives will work together in a crisis is the most important question that a company’s crisis management program needs to answers. Without a clear communication and decision-making framework, detailed plans for particular scenarios do not mean much. The major benefit of a plan is that many decisions will be settled before crisis strikes, saving precious time.

We also discuss how important it is to tell the company’s story before the public makes up their minds on what the story is, and opinions about working with company legal departments.

Bryan Strawser is Founder & CEO of Bryghtpath LLC, a global strategic advisory firm specializing in global risk, business continuity, emergency management, crisis communications, and public affairs.  Bryan is a globally recognized strategist having had a 21-year career at Target Corporation where he built the retailer’s Global Crisis Management & Business Continuity Function. Under Bryan’s leadership, Target received numerous awards from FEMA, the International Association of Emergency Managers, and the Business Continuity Institute.  At Bryghtpath, Bryan leads a team of experts that offer strategic counsel on identifying, preparing for, and managing risk to the world’s leading brands, nonprofits, and public sector agencies.

 

LINKS

bryan.strawser@bryghtpath.com

Bryghtpath http://bryghtpath.com/

 

The Masters of Disaster® podcast is hosted and produced by Leona Lewis, Founder of ComplyEthic Consulting www.complyethic.com leonalewis@complyethic.com

Apr 18, 2016

This Masters of Disaster episodes features an interview with Eric Siegel, one of the most popular and well-known experts in predictive analytics and bestselling author and founder of Predictive Analytics World. 

Predictive analytics is the core of “Big Data” and machine learning. The exponential increase in data in today’s world makes predictive analytics an even more exciting tool.  Eric is also the only data scientist with a rap video on YouTube that I know. In the podcast, we discuss what predictive analytics is and the ethical nuances of reliance on predictive analytics.

Eric’s book, Predictive Analytics: The Power to Predict Who Will Click, Buy, Lie or Die, is one of my favorite books on the topic, written in plain language with a healthy dose of humor and interesting stories.  If you have not read a book on this topic before, this is the book to read.

 

LINKS

Predictive Analytics World http://www.predictiveanalyticsworld.com/

Predictive Analytics: The Power to Predict Who Will Click, Buy, Lie or Die http://www.predictiveanalyticsworld.com/book/

Rap Video, Predict This, on YouTube https://www.youtube.com/watch?v=bSP3z0LmWEg

Apr 11, 2016

The Masters of Disaster® podcast features Jason Meyer on how knowing one thing, your audience, improves compliance training.  From how the training is delivered to what the training covers, Jason explains that compliance training can be designed to impact the behavior of the audience. It is critical that compliance training does not just happen, rather it needs to impact results in lowering the risk of the behavior of employees.

Jason Meyer is Founder and President of LeadGood LLC. Jason has shown a career-long commitment to innovative education and the engaging communication of knowledge, as a means of improving communities, personal behavior, and business performance. He is an attorney and a Certified Ethics and Compliance Professional (CCEP) with experience as a leader on the senior management teams of several enterprises. His executive experience encompasses the fields of education, compliance, integrated services, the life sciences, government contracting, and the media.

 

LINKS

LeadGood http://leadgood.org/

meyer.jasonb@gmail.com

Twitter @MeyerJasonB

 

The Masters of Disaster® podcast is produced and hosted by Leona Lewis, Founder of ComplyEthic Consulting LLC leonalewis@complyethic.com

Apr 4, 2016
When business services depend on millions of products and sensors connected to the internet, the importance of a system that works 24/7 increases dramatically. Outages will still happen, and natural disasters cannot be stopped, but anticipating these disasters can change how systems accommodate these risks to remain operational, seamlessly.For example, in the shipping industry when a storm or a strike closes the port of Los Angeles, shippers might all re-route to Seattle, but this could cause delays as Seattle can overload with new shipping traffic. Shippers use predictive data analytics to find the best alternative route with the fewest delays. Shippers become more resilient with the use of data to anticipate the actions of
other shippers.
 
IBM’s Resiliency services take a similar approach to risks in business in the continuously, rapidly dynamic nature of the internet of things.  Laurence Guihard-Joly is the General Manager of the IBM Resiliency service line, leading resiliency teams across the world who provide services and solutions to help IBM clients manage their risks in an increasingly “always on”world. Within the IBM Enterprise Risk Management, Laurence alsoleads the IBM Business Continuity Management program, with a dedicated team and a leadership BCM community across all IBM business units and corporate functions & processes.
 
Laurence earned the Scientific Graduation, and her Master from Lille Business University, France.  She joined a Consulting organization in 1983, before joining IBM in Paris in 1984. Laurence and her husband reside in NY, USA since 2003 with their two boys – and also lived 2 + years in Singapore.
 
LINKS
IBM Resiliency Services
Are you ready for an always-on world? (Infographic)
 
Forbes Insight Report download available here
 
 
 
Masters of Disaster is produced and hosted by Leona Lewis, JD
 
leonalewis@complyethic.com
www.complyethic.com
Mar 28, 2016
What is “Design Thinking” and how does it apply to compliance? Design Thinking is an approach to product development, but more broadly, it is an approach to problem solving.  Popularizing “Design Thinking” is sometimes credited to the d.School at Stanford.  A good summary of the Design Thinking approach is the explanation of how students of the d.School approach product development. 

Students start in the field, where they develop empathy for people they design for, uncovering real human needs they want to address. They then iterate to develop an unexpected range of possible solutions, and create rough prototypes to take back out into the field and test with real people.  Our bias is toward action, followed by reflection on personal discoveries about process. Experience is measured by iteration: students run through as many cycles as they possibly can on any project.  Each cycle brings stronger insights and more unexpected solutions.  

Eric Lambert explains how Design Thinking can improve adoption and engagement of compliance programs.  By focusing on the needs of the “users” of the compliance program, it can be improved for both front-line employees and executive leadership, working to give them solutions that meet their needs. 

Eric is Associate General Counsel at Jostens with experience in contracts, e-commerce, marketing, supply chain, compliance, privacy, export, intellectual property, litigation management, and general in-house practice.  He seeks practical, creative, risk-appropriate solutions to facilitate business objectives.   

Eric holds a B.A. in Economics from the University of Rochester, and a J.D. from Cornell Law School.  He is a Certified Information Privacy Professional (CIPP/US).  Before joining Jostens in April 2014, Eric served as Associate General Counsel of Digital River, a leading e-commerce and e-marketing company.  Before Digital River, Eric served as a senior associate at Larkin Hoffman Daly & Lindgren, a Minneapolis-based law firm, as a member of their Intellectual Property and e-commerce group.  Eric began his career in New York, working for Emanuel Publishing Corporation (a legal publisher), Prodigy Communications LP (an internet service provider), and IntraLinks, Inc. (a Software-as-a-Service provider). Eric resides in Lakeville, MN with his wife and two sons. 

 

LINKS: 

Eric Lambert  Eric.Lambert@jostens.com  

 

MORE READING ON DESIGN THINKING: 

Harvard Business Review https://hbr.org/2015/09/design-for-action 

 
Mar 21, 2016

The “Internet of Things” (also commonly known as IoT), is here. IoT is also continuously growing. The IoT is not a single event; it grows exponentially with the addition of sensors gathering data and the addition of products connected to the Internet. The increasing computer processing power predicted by Moore’s law continues. Faster and more complicated data analysis becomes possible that promises unprecedented benefits to humanity and commerce.

However, the increasing complexity of IoT also multiplies the vulnerabilities open to hackers. For all of the promise of Internet of Things, IoT also presents an unprecedented and continuously shifting security and privacy challenges. What does the law have to say about these challenges?

Eran Kahana is a cybersecurity, intellectual property lawyer at the law firm of Maslon LLP in Minneapolis and a Fellow at Stanford Law School. He counsels clients on a wide variety of matters related to cybersecurity, technology law, trademarks, patents, copyright and serves in a variety of cybersecurity thought leadership roles.

Eran explains in his interview on Masters of Disaster that no single law prescribes what a reasonable data security and privacy program should be that addresses all the challenges of IoT. Rather, building such a program requires both a thorough understanding and holistic view of a multitude laws, regulations, and standards that speak to the collection, storage, processing and security of personally identifiable data. This program can be built using a hybrid law/regulations/standards approach, but only with a thorough understanding of the nuances between the laws/regulations/standards.

In addition to his work at Maslon and with Stanford Law School, Eran works closely with the FBI, DOJ, Secret Service and colleagues from the private and academic sectors to promote and sustain cybersecurity best practices. He also serves as a director on the Executive Board of Directors and as general counsel of InfraGard (MN Chapter). At Stanford, Eran writes and lectures on the intersect between law and artificial intelligence. He has been interviewed on cybersecurity, privacy and technology law at Bloomberg Law, BBC, KABC Radio, Minnesota Public Radio, TheStreet.com and Stanford University Radio, KZSU FM.

 

LINKS

Eran Kahana

eran.kahana@maslon.com

http://www.maslon.com/

Mar 14, 2016

In an episode of Parks and Recreation, a plan to put fluoride in the water of the city of Pawnee hits opposition from those who fear “chemicals” in the water supply. Tom (Aziz Ansari) helps Leslie Knope (Amy Poehler) turn the situation around and get popular support for her plan to put fluoride in the water by re-branding fluoride as “T-Dazzle,” making the public image of fluoride sexy rather than scary. The episode is one of my favorite illustrations of how public perception, rather than science, very often dominates public policy regarding chemicals.

Toxicology is about exposure, the dose of a substance that a person needs to get before harm results. Some consumer advocates of safer consumer products frequently focus on chemical hazards without regard to risks. For example, if a chemical is perceived to be dangerous, such as lead, some consumer groups advocate that all presence of lead should be eliminated from consumer products. Toxicology focuses on risk, not just the presence of a chemical, but how it is used in the product and the potential for human exposure impacting health. For example, electronics may contain some lead, but the risk of to human health from lead in internal components in a TV may be very low due to low exposure.

Tom Lewandowski is a toxicologist and chemist intimately aware of the public’s perceptions of chemicals and the emphasis the public sometimes places on the presence of chemical hazards in consumer products rather than the risk of chemical exposure to human health. He is currently leading Gradient’s efforts in the emerging area of green chemistry. He is also an Adjunct Associate Professor at Brooklyn College/The City University of New York, where he teaches environmental science and environmental health. Also, he is an affiliate faculty member at the University of Washington School of Public Health where he lectures on toxicology and risk assessment. In 2012-2013, he served as chair of the Society of Toxicology’s Education Committee, which works to increase science literacy and public knowledge of toxicology.

Tom works as a toxicologist and principal scientist in the Seattle, Washington office of the consulting firm, Gradient. He has over 20 years of experience in the areas of product safety evaluation, pharmacokinetics, metals toxicology, and developmental toxicology. He is an author of numerous book chapters and manuscripts relating to the practice of risk assessment and developmental toxicology. He is board certified in toxicology in the US as well as Europe.

 

LINKS

Tom Lewandowski, Ph.D.

TLEWANDOWSKI@gradientcorp.com

(206) 267-2924

Gradient https://gradientcorp.com/

 

“T-Dazzle” segment from Parks and Recreation https://www.youtube.com/watch?v=zNCaZT94mg8

Mar 7, 2016

This week, Barb Guthrie, Vice President and Chief Public Safety Officer for Underwriters Labratories, Inc., speaks with Masters of Disaster about the new UL standard for hoverboards, UL 2272, now also required by the CPSC.  Barb’s interview follows last week’s interview with Tim Cassidy on the risks found in lithium ion batteries.

A graduate electrical engineer, Barb, began testing and certifying products over 30 years ago.  Obtaining her MBA, Barb facilitated reciprocity agreements contributing to the global trade of certified products.  She moved to Denmark serving as Executive Director European Operations establishing testing laboratories throughout Europe. Upon returning to the US, Barb combined her engineering, standards development and conformity assessment expertise with the mindset of a dedicated mom to create, design and execute UL’s global youth safety education program - Safety Smart® in partnership with The Walt Disney Company.

Barb serves on various Boards including ANSI, ESFI, Health World Museum, Home Fire Sprinkler Coalition, Liberty Mutual, Bradley University and chair’s UL’s Consumer Advisory Council.  Barb is Vice Chair and Corporate Fellow for the UL William Henry Merrill Society and was the 2015 recipient of the Kids in Danger Best Friend Award.

 

LINKS

Barb Guthrie’s Contact Information

Barbara.R.Guthrie@ul.com

+1.847.664.3308

 

ARTICLES

UL 2272 Press Release http://ul.com/newsroom/featured/uls-involvement-in-hoverboard-certification/

Facts about Hoverboards and UL Safety http://ul.com/hoverboards/

CPSC February 18, 2016, Letter on safety of self-balancing scooters file:///C:/Users/Leona/Pictures/SelfbalancingScooterLetter.pdf

Safety Smart® http://ul.com/inside-ul/qa-with-barbara-guthrie-getting-kids-wild-about-safety/

Masters of Disaster interview with Tim Cassidy

SNL sketch about hoverboards https://youtu.be/pgCi-a6PyBA

Feb 29, 2016

When hoverboards catching on fire becomes the joke of a Saturday Night Live sketch, you know a safety issue has hit a nerve in popular culture. 

This week Tim Cassidy, a lithium battery expert in consumer electronics, is featured on Masters of Disaster to give listeners more context about the complexity and history of managing safety risks with Lithium Ion Batteries.  This interview was conducted before the February 18 CPSC announcement that declares all hoverboards pose an unreasonable safety risk to consumers unless they meet specific Underwriters Laboratory (UL) requirements.

Tim Cassidy is Director of Product Safety and Compliance at Best Buy. A former colleague of mine at Best Buy, Tim is a leader with over 20 years of proven business process development skills, technology experience, market and new product development expertise. He bridges the gap between market and technical perspectives in new product development.

LINKS

Tim Cassidy timothy.cassidy@bestbuy.com

SNL sketch https://youtu.be/pgCi-a6PyBA

CPSC February 18 Letter http://www.cpsc.gov/Global/Business-and-Manufacturing/Business-Education/SelfbalancingScooterLetter.pdf?epslanguage=en

Feb 22, 2016

On Masters of Disaster this week, Tom Fox goes into more detail about his desire to be a compliance evangelist and why we may need more compliance evangelists now.

Thomas Fox assists companies with anti-corruption and anti-bribery compliance and international transaction issues. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing, and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award-winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. He is the author of the seminal text on the ‘Nuts and Bolts’ of anti-corruption compliance, Doing Compliance, published in October 2015 by Compliance Week.

In addition to his daily blog and bi-weekly podcast, he is a monthly columnist and blogger for Compliance Week; a bi-monthly columnist and frequent contributor to the SCCE Magazine and a Contributing Editor to the FCPA Blog. He is a well-known and frequent speaker on compliance and ethics, the use of social media in compliance and corporate leadership.

 

LINKS

Tom Fox email tfox@tfoxlaw.com

Compliance Evangelist: A New Chapter for FCPA Compliance and Ethics

Feb 15, 2016

Ellen Pekilis is a Canadian Attorney with interesting experience setting up employee hotline programs internationally. Her story working through barriers to getting her company’s employee hotline established in the EU is a great illustration of the legal and cultural differences that must be accommodated in international compliance. Basic assumptions that we in North America take for granted, such as the fairness of promoting an anonymous hotline for employees and the ability of employers to investigate employees for wrongdoing, do not necessarily hold true in other countries.  These cultural differences impact the way that compliance programs that are required under laws in Canada and the U.S. operate.

In our interview, Ellen describes the challenges of cultural differences in compliance and gives us a peek at how the new EU privacy regulation may impact the relationship between employees and employers in the international context.

Ellen Pekilis is an experienced General Counsel and Non-Profit Leader.  She is the former Executive Director of Energy Exchange a nonprofit based in Toronto, Canada, and the former General Counsel of the CSA Group, an internationally accredited standards development, and testing and certification organization also headquartered in Toronto, Canada.  Ellen is also a member of the Ontario Chapter of the Association of Corporate Counsel.

 

LINKS

Ellen Pekilis on LinkedIn

Feb 8, 2016

Jonathan Hemus is the founder and Managing Director of Insignia and an extremely experienced crisis management consultant with over 25 years’ experience providing crisis management advice and training to world leading organizations and brands. He is known for his specialist expertise in crisis management and is a highly regarded trainer and coach.  Before launching Insignia in 2008, he was the global leader of reputation management consultancy Porter Novelli’s crisis and issues management practice.

At Insignia he has developed plans and delivered training to prevent and prepare for crisis, and advised organizations in the midst of major incidents and issues. He has advised organizations including Ageas, Diageo, Disney, DP World, HSBC, the International Cricket Council, JP Morgan, Lafarge, Novartis, Procter and Gamble and PwC across Africa, Asia, Europe, the Middle East and North America. Working with these organizations at the most senior level he has been instrumental in determining their reputational vision and steering them through issues and crises that have posed real threats to their integrity.

Jonathan is a regular media commentator on crisis management matters having featured on Sky News, BBC TV and radio, Al Jazeera, CNN, The Times and a wide range of international, regional and sector-specific media.

He has also spoken on reputation management, crisis communication and reputational risk management at national and international conferences and events, most recently at the International Crisis and Risk Communication Conference in Florida.  As well as delivering the UAE Government Leaders’ crisis management module for Henley Business School, he is also a guest lecturer in crisis management at Manchester Metropolitan University.

When not at work, you will find him pounding the streets in a forlorn quest to beat his time in the 2013 Manchester Marathon, grumbling about the fortunes of his beloved Aston Villa or sipping a refreshing beer at a cricket ground in England or beyond.

 

LINKS

Insignia www.insigniacomms.com

T:     0121 382 5304
E:     info@insigniacomms.com

Insignia Resource Library

Feb 1, 2016

Kristy Grant-Hart is an expert at transforming compliance departments into in-demand business assets.  She's the author of How to be a Wildly Effective Compliance Officer and Managing Director of Spark Compliance Consulting, a boutique consultancy focusing on the creation, energizing and optimization of corporate compliance and data privacy programs.  She is also an adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics. 

Before launching Spark Compliance, Ms. Grant-Hart was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries.  Ms. Grant-Hart was shortlisted for the 2015 Chief Compliance Officer of the Year award at the Women in Compliance Awards. 

Ms. Grant-Hart began her legal career at the international law firm of Gibson, Dunn & Crutcher, where she worked in the firm’s Los Angeles and London offices. While at Gibson Dunn, her team was nominated for Best Regulatory Law Firm of the Year at Thomson Reuter’s Compliance Awards. She is an experienced international conference speaker and has published articles in magazines and trade publications in the United States and Europe on anti-bribery topics and data privacy and data transfer between the United States, the United Kingdom, and the European Union. She has advised Fortune 500 companies on international compliance and created and revamped compliance programs for major companies in Europe and the United States. 

Ms. Grant-Hart graduated summa cum laude from Loyola Law School in California. She holds certification as a Corporate Compliance and Ethics Professional – International (CCEP-I) and is a member of the California Bar.

 

LINKS

Kristy Grant-Hart

e-mail Kristy@ComplianceKristy.com

US Phone: +1-310-299-0955
UK Phone: +44 (0)203 514 1443
Twitter: @KristyGrantHart

www.sparkcompliance.com

 

Amazon:  How to be a Wildly Effective Compliance Officer

 

Jan 25, 2016

On Masters of Disaster this week, Tom Fox introduces listeners to his new podcast on leadership beginning February 2016 called Twelve O’Clock High. Below is a short excerpt from a recent article Tom wrote about the relationship of leadership to compliance and ethics:

Ethical leadership is absolutely mandatory to have a successful compliance program, whether it is based upon the Foreign Corrupt Practices Act (FCPA) or the UK Bribery Act. Senior management must not only be committed to doing business in compliance with these laws but they must communicate these commitments down to the organization. But leadership is not limited only to senior management within an organization. Tone at the Top begets Tone in the Middle; which begets Tone at the Bottom. At each rung there is the need for compliance leadership. In an article in the Harvard Business Review (HBR), entitled “Leadership is a Conversation”, authors Boris Groysberg and Michael Slind discuss how to improve employee engagement in today’s “flatter, more networked organizations.”

Thomas Fox assists companies with anti-corruption and anti-bribery compliance and international transaction issues. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award-winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. He is the author of the seminal text on the ‘Nuts and Bolts’ of anti-corruption compliance, Doing Compliance, published in October 2015 by Compliance Week.

In addition to his daily blog and bi-weekly podcast, he is a monthly columnist and blogger for Compliance Week; a bi-monthly columnist and frequent contributor to the SCCE Magazine and a Contributing Editor to the FCPA Blog. He is a well-known and frequent speaker on compliance and ethics, the use of social media in compliance and corporate leadership.

 

LINKS

Tom Fox email tfox@tfoxlaw.com

FCPA Compliance Report

Twelve O’Clock High (1949)IMDb page

Jan 18, 2016

Compliance professionals are ingenious problem solvers who help their businesses thrive in today’s regulatory environment. Too often the contributions of compliance professionals go unappreciated due to poor communication of the value of what they bring to the bottom line.

My interview for this week’s episode of Masters of Disaster is with James Kehoe who shares with us his experience with the business case for compliance.  Although the field of James’ work is product regulation, his experience provides an understandable example of the basic problem of measuring the value of compliance in many other fields.

James Kehoe is a product manager at Compliance and Risks and currently has responsibility for the C2P product. Compliance & Risks provides innovative online tools that deliver the most timely and accurate global regulatory intelligence for consumer products.

James has over ten years’ experience, working in various strategic and consultative roles in engineering, project management, and business development in companies including General Electric and NECL. He also co-founded Policy Impact Assessment, a software start-up aimed at helping organizations understand how legislative changes affect commercial interests.

 

LINKS

James Kehoe

j.kehoe@complianceandrisks.com

Compliance and Risks

Jan 11, 2016

The Conflict Minerals disclosure requirements required companies to find information about the company’s products and supply chain that no one had captured before. What can be surprising are the things that a company may not know about its operations until they are brought together to solve a common problem.  Different departments of one company can naturally develop “tunnel vision” that concentrates efforts only to knowing what that department does.  How companies built conflict minerals disclosure compliance programs is a great example of the cross-functional nature of compliance within one business.  More information about the Conflict Minerals disclosure requirements under Dodd-Frank is found via article links, below.

 

Lawrence Heim, CPEA, has been helping companies navigate the process of building compliance programs to meet the Conflict Minerals disclosure requirements since the law was passed in 2010. Mr. Heim is a Director of Elm Sustainability Partners LLC and The Elm Consulting Group International, LLC, with more than 28 years of experience environmental and sustainability management, focusing on audit programs and risk assessments.  He began working on conflict minerals issues in 2010 as one of the original three audit firms approved to conduct Conflict Free Smelter audits, completing the first tantalum smelter audits under that program.

 

Mr. Heim was the only representative of the EHS consulting/auditing sector selected by the US Securities and Exchange Commission (SEC) as an expert panelist in their 2011 Conflict Minerals Roundtable convened in developing the final regulation.  He was selected by The Auditing Roundtable to lead the development of auditor guidance for use in applying GAO Performance Audit standards to audits of Conflict Minerals Reports.  He is the firm’s lead on conflict minerals services, is the developer of the CMCheckPoint℠ tool and is currently assisting a range of industrial companies and retailers in assessing/developing their conflict minerals programs.  Mr. Heim is a frequent contributor to the media on the subject of conflict minerals programs and auditing and has made numerous public presentations across the country.

 

LINKS

Elm Sustainability Partners LLC

Lawrence Heim mailto:lheim@elmgroup.com

U.S. Firms Struggle to Trace ‘Conflict Minerals’ Wall Street Journal, Aug. 3, 2015

Conflict Minerals: Is Your Supply Chain Compliant? Association of Corporate Counsel, November 2015

Jan 4, 2016

Peter Anderson returns to Masters of Disaster to update us on changes to federal investigations and credit given to organizations for cooperation as explained by the DOJ in the Yates Memo.

In the Yates Memo, Deputy Attorney General Sally Quillian Yates delivers the following controversial statement,

 

Effective immediately, we have revised our policy guidance to require that if a company wants any credit for cooperation, any credit at all, it must identify all individuals involved in the wrongdoing, regardless of their position, status or seniority in the company and provide all relevant facts about their misconduct.  It’s all or nothing.  No more picking and choosing what gets disclosed.  No more partial credit for cooperation that doesn’t include information about individuals.  

What does this mean for organizations being investigated by the DOJ?  Is “identifying individuals” possible?  Will investigations be shorter or longer?  What are the unindented consequences?

Peter Anderson specializes in white collar crime and environmental litigation and is an expert in DOJ investigations.  Peter is a principal at the law firm of Beveridge & Diamond, P.C. in Washington D.C.

Peter originally appeared on Masters of Disaster on October 12, 2015, to explain how pro-active investments in compliance can keep the government treating you like one of the good guys.

Beveridge & Diamond, P.C. http://www.bdlaw.com/

Peter Anderson’s Contact Information:

(T) 202-789-6014
(C) 704-756-8800
panderson@bdlaw.com

« Previous 1 2