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Principled Podcast

Principled Podcast – S9E9 – The Power of “Force Multipliers” in Lockheed Martin’s Compliance Program

What you’ll learn on this podcast episode

How does the largest global security and defense company, with 116,000 employees worldwide, ensure the highest standards for its ethics and compliance program? This is particularly challenging amid an environment of increased regulation, geopolitical conflict, and economic uncertainty. In this episode of the Principled Podcast, host Susan Divers explores this question with Jim Byrne, Lockheed Martin’s vice president for ethics and business conduct. Listen in as the two discuss how Lockheed Martin uses “force multipliers” to empower employees to create an inclusive culture, own their ethical workplace, and act when something is amiss. 

Guest: Jim Byrne

Jim Byrne – Grayscale

The Honorable James M. Byrne currently serves as Vice President, Ethics & Business Conduct, for Lockheed Martin Corporation. He is responsible for the strategic direction and operational excellence of Lockheed Martin’s award-winning domestic and international ethics program and execution of the Corporation’s compliance training across the enterprise. Jim is also on the Corporate Vice Presidents Contributions Committee of Lockheed Martin, established and authorized to review and approve large charitable contributions. Prior to rejoining Lockheed Martin, he served as the Deputy Secretary of the United States Department of Veterans Affairs (VA) where he led modernization initiatives and served as the chief operating officer of the federal government’s second-largest Cabinet department, with some 385,000 employees in VA medical centers, clinics, benefits offices, national cemeteries, and other facilities throughout the country. Previously, Mr. Byrne served as VA’s General Counsel, leading VA’s nationwide team of nearly 800 attorneys, paralegals, and staff who support VA’s mission and priorities by providing sound legal expertise, representation, and, as needed, critical problem-solving skills and risk-management advice to the Secretary and other senior VA leaders. 

Before arriving at VA, Mr. Byrne served as Associate General Counsel and Chief Privacy Officer at Lockheed Martin Corporation. He also served for several years on the board of directors for Pacific Architects and Engineers (PAE) when it was a wholly owned subsidiary of Lockheed Martin. Prior to joining Lockheed Martin, Mr. Byrne served in the career Federal Senior Executive Service as Deputy Special Counsel with the Office of the United States Special Counsel, and as both the General Counsel and Assistant Inspector General for Investigations with the Office of the Special Inspector General for Iraq Reconstruction. Soon after the invasion of Iraq in 2003, Mr. Byrne was recalled to active duty for 18 months with the U.S. Marine Corps in support of the Global War on Terrorism. Lieutenant Colonel James Byrne was assigned as the Officer-in- charge of the Marine Liaison Office at the then-National Naval Medical Center in Bethesda, Maryland. Colonel Byrne led teams of Marines, stationed in DC-metro-area military hospitals and Aberdeen Proving Grounds, Maryland, who were responsible for supporting injured and deceased Marines, Sailors, and their families. 

Mr. Byrne has over 25 years of experience in the public sector, including service as a forward deployed Marine Corps Infantry Officer and a U.S. Department of Justice international narcotics prosecutor. Mr. Byrne’s professional honors include several DOJ awards and The Drug Enforcement Administration (DEA) Administrator’s Award for Exceptional Service. He is also a recipient of the Secretary of Defense Medal for the Global War on Terrorism and several military decorations, including the Meritorious Service Medal. 

Mr. Byrne also currently serves as a Proxy Holder – Outside Board Director for Rancher Government Solutions, a company that delivers secure and certified open source and cloud-native software for the United States Government adopting DevSecOps across the IT landscape. His past professional engagements include director and advisory board positions on several startup companies, and service on the U.S. Department of Homeland Security Data Privacy & Integrity Advisory Committee and the International Association of Privacy Professionals Board of Directors (Chairman). Jim is very active in his church and community and prioritizes mentoring veterans. He currently volunteers on the American Association of Suicidology Board of Directors, the Navy – Marine Corps Relief Society Advisory Board, Veterans Moving Forward Board of Directors, Maternal Mental Health Leadership Alliance Board of Directors, Victor Bravo Board of Directors and the Give an Hour Executive Board.  

Mr. Byrne is a Secretary of the Navy Distinguished Midshipman Graduate of the U.S. Naval Academy, where he received an engineering degree and, ultimately, held the top leadership position of Brigade Commander. Mr. Byrne later earned his Juris Doctorate from Stetson University College of Law in St. Petersburg, Florida, where was awarded a public service fellowship. He started his legal career as a judicial law clerk to the Honorable Malcolm J. Howard, U.S. District Court, Eastern District of North Carolina. 

Host: Susan Divers

Headshot_Susan_Divers_S7E18_Principled_Podcast

Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years’ accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Mrs. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.

Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.

She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers’ most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

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31 Days to More Effective Compliance Programs

One Month to a More Effective Compliance Program for 3rd Parties – The How Question in Due Diligence

What is satisfactory due diligence under the FCPA? That question seems more important after the story on Unaoil S.A.M. and the subsequent release of the Panama and Paradise Papers. However, both events largely focused on the “who” part of due diligence and the need to know with whom you are doing business in the future. However, another important question that does not come up as often in due diligence is how?

How does a third party perform its services with or for your company? How can a third party help you make sales if it is on the sales side? If a third party comes through the supply chain, how do their products or services meet the needs of your company? Suppose the third party has a closer business relationship, such as a JV, teaming agreement, or similar arrangement. In that case, you may need a much deeper understanding of how this third party does business because the relationship may become so close you will be intertwined with the party. It may mean more than how their product works, but how does this third party conduct themselves and their business?

 Three key takeaways:

1. The how question can be as critical as the who question.

2. The more integrated a third party is into your operations, the more important this question becomes.

3. Incorporate a how-to question into your due diligence and ongoing monitoring and auditing after the contract is signed.

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Pawtastic Friends - The Paw Talk

Pawtastic Friends-The Paw Talk- Huck, McEnroe & Darling

Welcome to one of the newest addition to the network, Pawtastic Friends The Paw Talk. In this podcast, host Tom Fox will visit with Michael and Melissa Novelli, co-founders of Pawtastic Friends as well as those who work with them at Pawtastic Friends. Michael and Melissa are dedicated to helping shelter and rescue dogs in the Las Vegas area become more adaptable, through enrichment training and activities such as yoga and aquatics training, as well as obedience and agility. This podcast is sure to tug on your heart strings, just listen to how sweet this one dog is! Tune in now to hear more from Michael and Melissa Novelli as they discuss their passion for helping pups in need.

In this episode of Pawtastic Friends The Paw Talk, they discuss their experiences working with dogs, including Huck, McEnroe and Darling. Enrichment training is a crucial tool for older dogs, but even those who have faced trauma, like Darling can benefit. Michael and Melissa detail how there the Pawtastic Friends Enrichment Center provides agility training and other services to improve the lives of boarding dogs. They also announce an upcoming fundraising event to support their center. Don’t miss this heartwarming episode that showcases the kindness and love that humans can provide to our furry friends. Listen now to Pawtastic Friends Paw Talk.

Dogs Featured 

·      Huck

·      McEnroe

·      Darling

Quotes

1. Enrichment training helped him with balance. It helped him with his steadiness, his mobility. He did some women in the aquatics program. So it really helped him in a sense with the things that he needed.”

2. “But slow and steady, but he loves coming here. It changes quality of life.”

Resources

Pawtastic Friends

Pawtastic Friends Events and Annual Block Party

Darling

Categories
The Circle of Gumption

The Circle of Gumption – From Dastardly D’s to Gumption: How Kenneth O’Neal Turned Adversity into Opportunity

Zig Ziglar Said  “I Believe Man was designed for accomplishment, engineered for success, and endowed with the seeds of greatness.” Kenneth O’Neal carries this tradition forward in his work and in this podcast, The Circle of Gumption, as he shows how maximizing your God-given talents and abilities leads to a successful, well-balanced existence in all areas of life. Join co-hosts Tom Fox and Kenneth O’Neal as they explore The Circle of Gumption to help change your life mentally, spiritually, physically, financially, and professionally by improving the health of your relationships with others and yourself.

In the inaugural episode of the Circle of Gumption, Tom Fox sat down with guest Kenneth O’Neal to discuss his unique approach to personal development. O’Neal, a former certified public accountant, shares his experience of going through a black swan event – his wife of over 25 years told him she wished to part ways. In response to this upheaval, O’Neal went on a journey of reflection, studying, and praying, which led him to Zig Ziglar.

He eventually went on to create a program called “Gumption,” inspired by Ziglar’s teachings, which emphasizes the importance of taking action and overcoming fears to achieve success. Here are three tips we took away from O’Neal’s inspiring story:

1. Don’t let adversity hold you back. O’Neal’s story is a testament to the power of resilience and perseverance. When life throws you a curveball, it’s important to reflect on where you’ve been, where you are, and where you want to go.

2. Embrace fear and take action anyways. One of the core principles of O’Neal’s Gumption program is the importance of taking bold action, even in the face of fear. Don’t let fear paralyze you – use it as a motivator to push yourself forward.

3. Seek out mentors and inspiration. O’Neal’s journey was greatly influenced by the teachings of Zig Ziglar and the community at his corporation. Finding like-minded individuals who can offer guidance and inspiration can be instrumental in achieving personal growth and success.

We highly recommend tuning in to this episode to hear Kenneth O’Neal’s inspiring story of turning adversity into a life of purpose and action.

Resources

Kenneth O’Neal

Kenneth O’Neal

The Circle of Gumption

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
Compliance Man Chooses the Target

Compliance Man Takes a EuroTrip – Geert Vermeulen on EU Whistleblower Directive

Compliance Man is back for a new season! Get ready for a EuroTrip with Tom Fox and Tim Khasanov-Batirov on their hit podcast, Compliance Man! In this episode, Compliance Man podcast hosts, Tom Fox, and Tim Khasanov-Batirov, speak with a compliance professional and founder of the Integrity Coordinator, Geert Vermeulen, about the challenges of implementing effective whistleblower policies in Europe. They discuss cultural differences, strict requirements on external whistleblowing, and the burden of proof on companies to show that retaliation did not occur. The speakers emphasize the importance of understanding cultural differences and developing precise policies to promote a speak-up culture. The conversation ends with a reflection on the evolution of whistleblower procedures in Europe and thoughts on where things might be headed in the future. This is a must-listen podcast for anyone interested in compliance and corporate culture.

Vermeulen highlights the challenge of implementing the directives into the national laws of member states, which has resulted in differences between states. Each state has its own specifications about what can be reported and what must not be reported. For instance, every state has different rules regarding protection against retaliation.

Here are some tips to help cope with this challenge:

1. Get familiarized with the national laws of the member states where your organization operates.

2. Set up a streamlined procedure and ensure that all employees are aware of the internal complaints and whistleblowing process.

3. Ensure that your whistleblowing process is confidential and that whistleblowers are protected against retaliation. 

Key Highlights

·      Lack of tradition of whistleblowing in Europe

·      Whistleblowing in emerging markets

·      One worldwide whistleblowing program?

·      Whistleblower protection and communication

·      Interplay of EU Whistleblower Directive and GDPR

·      The evolution of whistleblowing in Europe

 Resources

Geert Vermeulen on LinkedIn

The Integrity Coordinator

Tim Khasanov-Batirov on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
Compliance and AI

Compliance and AI: Episode 1 – Ant Stevens on Incorporating AI into Your Compliance Program

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? We will explore these three questions in this exciting new podcast, Compliance, and AI. Hosted by Tom Fox, the award-winning Voice of Compliance, this podcast will look at how AI will impact compliance programs into the next decade and beyond. If you want to find out why the future is now, join Tom Fox on this journey to the frontiers of compliance.

In this inaugural episode of Compliance and AI, Tom Fox interviews the CEO and President of 6Clicks, Ant Stevens, who explains that generative AI refers to systems that transform inputs into outputs and generate something obvious, like an image, video, or text. The AI works based on an underlying corpus, a kind of brain or reference point. Generative AI outputs are generated based on a corpus of information, making them an effective tool for companies to improve risk and compliance management.

They discuss the latest version of Generative AI, GPT 3, which allows companies to generate more text, images, and videos. The conversation also delves into the benefits of AI in content creation and policy overview creation. The podcast emphasizes the importance of prompt engineering and human input in decision-making. Stevens shares his belief that we are only scratching the surface of what we can do with artificial intelligence and encourages companies to embrace its potential. Get ready to be empowered and leap into the exciting world of Compliance and AI.

Key Insights

1. Incorporate generative AI into your risk and compliance management systems. Generative AI can help automate the compliance process and reduce human error in tracking and managing compliance requirements.

2. Train employees on how to use generative AI platforms. Employees trained on generative AI platforms can better understand their compliance requirements and reduce the risk of violations.

3. Stay current with the latest developments in generative AI technology. Companies that keep up with the latest advancements in generative AI technology can better understand how it can impact their business operations and take advantage of new opportunities.

If you’re interested in learning more about the potential applications of generative AI in risk and compliance, you should listen to the podcast. Stevens shares his insights into how 6clicks uses generative AI to help companies manage risk and compliance requirements more effectively.

Key Quote

“Generative AI refers to systems that effectively transform inputs into outputs, and the outputs generate something obvious, whether it’s an image or video, a slap of text, something like that.”

Resources

Ant Stevens on LinkedIn

6Clicks

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Daily Compliance News

April 13, 2023 – The Do Sanctions Work Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

  • Prosecution rests in Illinois corruption case. (FoxNews)
  • Why sanctions don’t work. (Planet Money)
  • Fox News was sanctioned for withholding documents. (NYT)
  • JPMorgan knew of Epstein’s conduct in 2006. (Reuters)