Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. Over the past few months, the Department of Justice put forth the Whistleblower Pilot Program, and the update to the Evaluation of Corporate Compliance Programs. It was the perfect time to focus on how these impact whistleblower laws. Jane Norberg, who is a partner at Arnold & Porter and the former Chief of the Office of the Whistleblower and Mary Inman, who is a founding partner of Whistleblower Partners. Mary is also an advocate for the power of whistleblowers and is known for representing Facebook Files whistleblower Frances Haugen and Theranos whistleblower Tyler Shultz.
They provide insight into what makes a credible and legitimate whistleblower, how the SEC reviews tips from whistleblowers and what we as compliance professionals can do to build effective programs. All focused on the review of all concerns that are raised, regardless of the source. They provide some thoughts about how to handle different situations before, during, and after an investigation, providing practical advice.
The group discusses the new DOJ Whistleblower Pilot program and where it follows the past programs like the SEC program and where it is filling new gaps. One part of the program includes the 120-day requirement for reporting an issue, and they focused on what that would mean for organizations. Mary and Jane share their views on the requirements and the best practices and reference how most compliance professionals are using the DOJ Evaluation of Corporate Compliance to develop their programs, which means that an issue is investigated. In practical terms, following the ECCP requirement to investigate, and the pilot program has a “race to report,” is a challenge, and this is discussed in depth.
Mary and Jane both provided “one thing you should know” to conclude the discussion. Both points are significant ones for anyone who is dealing with any point of the whistleblower or building a strong speak up/anti-retaliation culture.
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