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Pawtastic Friends - The Paw Talk

Pawtastic Friends – The Paw Talk – Harley, King & Olivia

Welcome to 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 heartstrings; 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. Get ready for an exciting episode of Pawtastic Friends: The Paw Talk!

Michael Novelli and Melissa Novelli are co-hosts of the award-winning podcast “The Paw Talk” and are deeply involved in advocating for the importance of suitable foster homes and responsible dog ownership. Michael, with his experience in a rescue program and a boarding facility, emphasizes the need to control the pet population and discourages breeding dogs, especially pit bulls, due to the overpopulation of shelters. He also highlights the importance of consulting with veterinarians for proper care and recovery after surgeries. Melissa stresses the need for a proper recovery environment for dogs after surgery, the importance of crate rest, and taking precautions to prevent re-injury. She believes in providing suitable environments and responsible care for dogs to ensure their well-being. Join Tom Fox, Michael Novelli, and Melissa Novelli on this episode of The Paw Talk as they delve deeper into these important topics.

Dogs Featured:

  • Harley
  • King
  • Olivia

Quotes

“When I look and I see a dog that started over a year ago and has not had one lick of interest, I think to myself, what is wrong with this world? Something is wrong and we need to find a way to either fix it or start fresh because it’s heartbreaking.” – Melissa Novelli

“Chocolate is very toxic and can kill dogs. It’s one of the worst things that dogs can get a hold of because they can die from chocolate. It’s terrible and you don’t want to go through that.” – Michael Novelli

“King is pure royalty. He  is another dog that’s at the boarding facility. He’s been in the program for over a year waiting, just like Harley. He’s a youngster, probably about two years old now, and he is. always happy. His tail’s wagging. He gets so excited when he sees you.” – Melissa Novelli

 Resources:

Pawtastic Friends

Donate to Pawtastic Friends

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Blog

Your Code of Conduct

What is the value of having a Code of Conduct? In its early days, a Code of Conduct tended to be lawyer-written and lawyer-driven to wave in regulator’s face during an enforcement action as proof of ethical overall behavior. Is such a legalistic code effective? Is a Code of Conduct more than simply your company’s internal law? What should be the goal in the creation of your company’s Code of Conduct?

How important is the Code of Conduct? Consider the 2016 SEC enforcement action involving United Airlines, Inc., which turned on violation of the company’s Code of Conduct. The breach of the Code of Conduct was determined to be a FCPA internal controls violation. It involved a clear quid pro quo benefit paid out by United to David Samson, the former Chairman of the Board of Directors of the Port Authority of New York and New Jersey, the public government entity which has authority over, among other things, United’s operations at the company’s huge east coast hub at Newark, NJ.

The actions of United’s former CEO, Jeff Smisek, in personally approving the benefit granted to favor Samson violated the company’s internal controls around gifts to government officials by failing to not only follow the United Code of Conduct but also violating it. The $2.4 million civil penalty levied on United was in addition to its 2016 Non-Prosecution Agreement (NPA) settlement with the DOJ, which resulted in a penalty of $2.25 million. The scandal also cost the resignation of Smisek and two high-level executives from United.

In the 2020 FCPA Resource Guide, 2nd edition, the DOJ and SEC stated:

A company’s Code of Conduct is often the foundation upon which an effective compliance program is built. As DOJ has repeatedly noted the most effective codes are clear, concise, and accessible to all employees and to those conducting business on the company’s behalf.

The 2023 ECCP specified “As a threshold matter, prosecutors should examine whether the company has a code of conduct that sets forth, among other things, the company’s commitment to full compliance with relevant Federal laws that is accessible and applicable to all company employees.” The Antitrust Guidance also specified “If the company has a Code of Conduct, are antitrust policies and principles included in the document?”

The 2020 FCPA Resource Guide, 2nd edition, the 2023 ECCP and Antitrust Guidance go on to make it clear that it is difficult to effectively implement a compliance program if it was not available in the local language so that employees in foreign subsidiaries can access and understand it. When assessing a compliance program, DOJ and SEC will review whether the company has taken steps to make certain that the Code of Conduct remains current and effective and whether a company has periodically reviewed and updated its code.

There are several purposes which should be communicated in your Code of Conduct. The overriding goal is for all employees to follow what is required of them under the Code of Conduct. You can do this by communicating those requirements, to providing a process for proper decision-making and then requiring that all persons subject to the Code of Conduct put these standards into everyday business practice. Such actions are some of your best evidence that your company upholds and supports proper compliance.

The substance of your Code of Conduct should be tailored to your company’s culture, and to its industry and corporate identity. It should provide a mechanism by which employees who are trying to do the right thing in the compliance and business ethics arena can do so. The Code of Conduct can be used as a basis for employee review and evaluation. It should certainly be invoked if there is a violation. Your company’s disciplinary procedures must be stated in the Code. These would include all forms of disciplines, up to and including dismissal, for serious violations of the Code. Further, your company’s Code should emphasize it will comply with all applicable laws and regulations, wherever it does business. The code needs to be written in plain English and translated into other languages as necessary so that all applicable persons can understand it.

The three most important things about your compliance program are “Document, Document, and Document.” The same is true in communicating your company’s Code of Conduct. You need to do more than simply put it on your website and tell folks it is there, available and that they should read it. You need to document that all employees, or anyone else that your Code of Conduct is applicable to, has received, read, and understands it. The DOJ expects each company to begin its compliance program with a very publicly announced, very robust Code of Conduct. If your company does not have one, you need to implement one forthwith.

However, your Code of Conduct is not a static document to be put on a shelf and never reviewed again. For just as your compliance program is a living entity; it should be constantly evolving, the same is true for your Code of Conduct. If your company has not reviewed or assessed your Code of Conduct for five years, do so in short order, as much has changed in the compliance world. Some of the questions you should begin with include:

• When was the last time your Code of Conduct was revised?

• Have there been changes to your company’s business model since the last revision to the Code of Conduct?

• Have there been changes to relevant laws relating to a topic covered in your company’s Code of Conduct?

• Are any provisions of the Code of Conduct outdated?

• What is the budget to revise your Code of Conduct?

After revision of your Code of Conduct, you should develop a plan to communicate the revised document. A rollout is always critical because it is important that revisions are communicated in a manner that encourages employees to review and use the Code of Conduct on an ongoing basis. Your company should use the full panoply of tools available to it to publicize the revised Code of Conduct. This can include a multi-media approach or physically handing out a copy to all employees at a designated time. You might consider having a company-wide compliance Code of Conduct roll out meeting where the revised Code is announced with great fanfare out across the company all in one day. Also remember, with all things compliance; the three most important aspects are “Document, Document, and Document”. However, for each delivery of revised Code of Conduct, you must document that each employee received it.

These points are a useful guide to not only thinking through how to determine if your Code of Conduct need updating, but also practical steps on how to tackle the problem. It is far better to review and update your Code of Conduct, than wait for a massive FCPA investigation to go through the process.

Categories
31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 11 – Moving Compliance Tone Down Through an Organization

The 2023 ECCP made it clear that a company must have more than simply good ‘Tone-at-the-Top’; it must move down through the organization from senior management to middle management and into its lower ranks. It stated, “Beyond compliance structures, policies, and procedures, it is important for a company to create and foster a culture of ethics and compliance with the law at all levels of the company. The effectiveness of a compliance program requires a high-level commitment by company leadership to implement a culture of compliance from the middle and the top.”

Employees often look to their direct supervisor to determine what the tone of an organization is and will be going forward. Many employees of large, multi-national organizations may never have direct contact with the CEO or even senior management. By moving the values of compliance through an organization into the middle, you will be in a much better position to inculcate these values and operationalize compliance with them.

Three key takeaways:

1. Tone at the top—direct supervisors become the most important influence on people in the company

2. Give your middle managers a toolkit around compliance so they can fully operationalize compliance

3. Organizational justice is an additional way to help operationalize compliance

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The ESG Report

The ESG Report – Christian Harris on Safety as The ‘S’ in ESG

The ESG Report podcast is hosted by Tom Fox. Looking for innovative solutions to tackle climate change? Look no further than The ESG Report! In this episode, Tom speaks with Christian Harris from Slip Safety Services on Safety as The ‘S’ in ESG

Christian Harris is a seasoned safety professional with over a decade of experience, specializing in slip and fall prevention. His passion for safety was sparked by a personal incident, leading him to advocate for the integration of safety measures in business operations. Harris believes that safety should not be viewed merely as a means to prevent accidents but as an enabler of culture, high performance, and profit. He coined the term “safety-nomics” to highlight the positive impact of safety on business performance and uses the success story of Alcoa to illustrate the correlation between a strong safety culture and improved business outcomes. Join Tom Fox and Christian Harris on this episode of the ESG Report as they delve deeper into the importance of integrating safety measures into business operations.

Key Highlights:

  • Safety Shifts and Compliance in Energy
  • The Transformative Power of Safety Integration
  • The Significance of Safety in Business Performance
  • Identifying Slip and Fall Factors in Consumer Businesses
  • The Importance of Proactive Safety Culture

Resources:

Christian Harris on LinkedIn

 Tom Fox 

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It's art

It’s art, let’s talk about it – Ron Riddick: The Enriching Influence of Western Culture

In this episode of “It’s Art, Let’s Talk About It,” host Darrell Beauchamp sat down with renowned artist Ron Riddick to discuss his artistic journey and the delicate balance between commercial success and artistic integrity. Ron’s passion for art began at a young age, influenced by his father’s profession and his exposure to art museums. Throughout the episode, Ron shares his insights on the importance of staying true to one’s artistic vision while navigating the demands of the art market.

One of the key themes that emerged from the conversation was Ron’s belief that artists should strive to balance commercial success with artistic integrity. He emphasized that an artist’s worth is defined by the quality of their next creation, rather than the monetary value of their work. Ron’s love for the American West and cowboy culture is evident in his paintings, which are influenced by his childhood experiences and the cultural exchange between Mexican American and Native American influences.

Ron’s artistic routine begins early in the morning, and he finds inspiration in the changing seasons. He believes that artists should paint what they love and find meaningful, encouraging them to study their subjects and fall in love with the stories and poetry behind them. Ron’s approach to art is deeply personal, emphasizing the importance of connecting with the subject matter on a spiritual level.

Throughout his career, Ron has faced the challenge of balancing commercial success with artistic integrity. He acknowledges that the art industry often pressures artists to conform to certain trends or market demands. However, he believes that true artistic growth comes from breaking free of these expectations and finding one’s own vision. Ron encourages artists to learn to see and think for themselves rather than simply catering to what the industry wants.

The episode also touched on the role of museums in the art world. Ron expressed his belief that museums are vital in preserving and showcasing valuable art. He emphasized that good art connects with the human spirit and has the power to evoke emotions and touch the hearts of viewers. Ron sees artists as providing an invaluable service to culture by preserving what is good and putting it out there for people to be reminded of.

Ron’s artistic journey serves as a reminder that the pursuit of art is a continuous journey of growth and self-discovery. He emphasizes that artists never truly arrive but must keep on growing and evolving. Ron’s humility and dedication to his craft are evident in his words, as he acknowledges that there is always more to learn and explore.

In conclusion, Ron Riddick’s artistic journey is a testament to the delicate balance between commercial success and artistic integrity. His passion for painting what he loves and finding meaning in his subjects shines through in his work. Ron’s insights on the importance of staying true to one’s artistic vision and the value of museums for preserving art serve as valuable lessons for artists and art enthusiasts alike. As Ron himself states, “It’s not that you make a lot of money; it’s that you’re doing an invaluable service to culture by preserving what’s good and putting it out there for people to be reminded.”

Resources:

Museum of Western Art

Darrell Beauchamp on LinkedIn

Ron Riddick, Cowboy Artists of America

Categories
Greetings and Felicitations

Podfest Expo 2024 Speaker Preview Series – Julie Rose on the Power of Guest Swaps

In this episode of the PodfestExpo 2024 Speaker Preview Podcasts series, I visit with noted podcaster Julie Rose to discuss her presentation at PodfestExpo on the power of guest swaps. Some of the issues we tackle in this podcast are:

  • How to leverage guest swaps.
  • Why is Julie so excited about the 10th anniversary event?
  • Why you should attend PodfestExpo 2024.

I’m hoping you’ll be able to join me at PodfestExpo 2024, which Podfest Global is hosting. This year’s event will be the 10th anniversary and will be held January 25–28, 2024, at the Wyndham in Orlando, Florida. The line-up of this year’s event is simply first-rate, with some of the top names in podcasting.

Podfest Expo is a community of people interested in and passionate about sharing their voice and message with the world through powerful audio and video mediums. We’re proud to unite as many people as possible to learn, get inspired, and grow better together.

PodfestExpo is so much more than just a mere conference. While we pride ourselves on featuring the most engaging speakers, exciting topics, and in-depth content, the thing that sets the PodfestExpo event apart from all others is the tight-knit community we’ve been building since 2013. You don’t just attend a Podfest event – you become part of the Podfest family.

Whether you’re new to podcasting or a veteran podcaster looking to innovate and improve your podcast, our easy-to-understand Conference Topics allow you to customize a daily agenda based on what you’re most interested in learning. No matter your skill level or experience, PodfestExpo 2024 has plenty to offer!

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Podfest Expo is offering a discount on the registration price. Enter the discount code, Listener.

Podfest Expo 2024 is a production of Podfest Global, which sponsors this podcast series.

Julie Rose on LinkedIn

Top of Mind with Julie Rose

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Into the Chair - Tales from Chief Compliance Officers

Into the Chair, Tales from Chief Compliance Officers: Mario Chilin on Winning Compliance Officer of The Year

Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to navigate the compliance waters of any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. The Compliance Podcast Network’s Into the Chair: Tales from Chief Compliance Officers is a Comply podcast Tom Fox hosts. In this episode, I visit with Mario Chilin, the Chief Compliance Officer at EP Wealth Advisors and winner of this year’s ComplyConnect Compliance Officer of the Year Award.

Mario Chilin was recently recognized as Compliance Officer of the Year at the 2023 Comply Connect conference. Mario’s perspective on this accolade is one of humility and gratitude. He views the award as a testament to his years of dedication and hard work in the compliance industry. He also acknowledges the invaluable support and collaboration of his team and the wider compliance community. His background in soccer has instilled in him key leadership principles that he applies to his role, and he sees the award as a representation of the collective efforts of all compliance professionals. Join Tom Fox and Mario Chilin as they delve deeper into this topic on the next Into the Chair podcast episode.

Key Highlights:

  • What does the award mean to his compliance team?
  • A commitment to excellence.
  • Why it all starts at the top.

Resources:

Mario Chilin on LinkedIn

EP Wealth Advisors

Comply

ComplyConnect announces Compliance Officer of the Year

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Daily Compliance News

Daily Compliance News: January 11, 2024 – The SAP Again 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.

In today’s edition of Daily Compliance News:

  • FINRA says AI is emerging.  (WSJ)
  • SAP has yet another FCPA enforcement action.  (FCPA Blog)
  • Microsoft OpenAI investment faces EU scrutiny. (Reuters)
  • The SEC approves a new type of Bitcoin fund.  (NYT)
Categories
Blog

Moving Compliance Tone Down Through an Organization

Mike Volkov, in a blog post entitled, Mood in the Middle Versus Tone at the Top, said, “Even when a company does all the right things at the senior management level, the real issue is whether or not that culture has embedded itself in middle and lower management. A company’s culture is reflected in the values and beliefs that exist throughout the company.” To fully operationalize your compliance program, you must articulate the message of ethical values and doing business in compliance and then drive that message from the top down, throughout your organization.

The 2023 ECCP made clear a company must have more than simply good ‘Tone-at-the-Top’; it must move down through the organization from senior management to middle management and into its lower ranks. It stated, “Beyond compliance structures, policies, and procedures, it is important for a company to create and foster a culture of ethics and compliance with the law at all levels of the company. The effectiveness of a compliance program requires a high-level commitment by company leadership to implement a culture of compliance from the middle and the top.”

The 2023 ECCP posed the following questions under the section, Shared Commitment—What actions have senior leaders and middle-management stakeholders (e.g., business and operational managers, finance, procurement, legal, human resources) taken to demonstrate their commitment to compliance or compliance personnel, including their remediation efforts? Have they persisted in that commitment in the face of competing interests or business objectives?

This requirement speaks to the greater role of non-compliance functions in a fully operationalized compliance program. Indeed, one sign of a mature compliance and ethics program is the extent to which a company’s other corporate disciplines are involved in implementing and then taking forward a compliance solution. This approach can act as a lynch pin in spreading a company’s commitment to compliance throughout the employee base. It can also be used to ‘connect the dots’ in many divergent elements of a corporate compliance and ethics program.

What should the tone in the middle be? What should middle management’s role be in the company’s compliance program? This role is critical because the majority of company employees work most directly with middle, rather than top management and, consequently, they will take their cues from how middle management responds to a situation. Perhaps most importantly, middle management must listen to the concerns of employees. Even if middle management cannot affect a direct change, it is important that employees have an outlet to express their concerns. Your organization should train middle managers to enhance listening skills in the overall context of providing training for their “Manager’s Toolkit.” This can be particularly true if there is a compliance violation or other incident which requires some form of employee discipline. Most employees think it important that there be organizational justice so that people believe they will be treated fairly. For if there is organizational justice, it engenders perceived procedural fairness which makes it more likely an employee will be willing accept a decision that they may not like or disagree with the end result.

Even with great “tone at the top” and positive “mood in the middle”, you cannot stop. One of the greatest challenges of a compliance practitioner is how to impact the most front-line employees or the “tone at the bottom”. One of the things you can do is assemble a compliance focus group to find out how business is done in the field and if it differs from what your company expects from an ethical and compliance perspective. Begin by assembling a group of employees who are familiar with the challenges of doing business in a compliant manner in certain geographic regions to discuss the challenges of doing business ethically and in compliance. Ask them questions about their understanding of your compliance regime. Then categorize the answers into the theory and practice of compliance in your company.

From this, test what is real in theory and in practice. You can check and see which employees are promoted more regularly; those who do business ethically and in compliance or those who meet their sales quotas every quarter? After you have internally tested, reassemble the original group and have them consider the beliefs that were articulated by them individually in the context of your how your compliance model is subsequently tested. Lead a discussion that attempts to identify what is different in practice and in theory. From there you can move from theory to practice to fully operationalizing your compliance regime. Finally, and in the feedback step, test how more fully operationalized your compliance regime has become. These tests can be accomplished in the regular course of business or through a special project with a special team and separate budget.

By engaging employees at this level, you can find out not only what the employees think about the company compliance program but use their collective experience to help design a better and more effective compliance program. Employees want to do business in an ethical manner. Giving employees the chance to engage in business the right way, as opposed to cheating, will win their hearts and minds almost all the time. By using this protocol, you can not only find out the effect of your compliance program on the employees at the bottom, but you can affect them as well.

Employees often look to their direct supervisor to determine what the tone of an organization is and will be going forward. Many employees of large, multi-national organizations may never have direct contact with the CEO or even senior management. By moving the values of compliance through an organization into the middle, you will be in a much better position to inculcate these values and operationalizing compliance with them.

Categories
31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 10 – Leadership’s Conduct at The Top

The 2022 Monaco Memo emphasized the basic point that the key to every company is culture. The bottom line is that corporate culture matters, and corporate culture that fails to hold individuals accountable or fails to invest in compliance—or worse, that thumbs its nose at compliance—leads to bad results.

To assist companies in understanding this requirement, the 2023 ECCP sets out inquiries demonstrating that DOJ requirements are more than simply the ubiquitous “tone-at-the-top,” as they focus on the conduct of senior management. The DOJ wants to see a company’s senior leadership actually doing compliance. The DOJ asks if company leadership has, through their words and concrete actions, brought the right message of doing business ethically and in compliance to the organization. How does senior management model its behavior based on a company’s values and finally, how is such conduct monitored in an organization?

Three key takeaways:

1. Senior management must actually do compliance—not simply talk the talk of compliance but also walk the walk.

2. The DOJ is now actively assessing corporate culture during investigations.

3. Your CEO is a Compliance Ambassador.