Categories
Innovation in Compliance

Breaking the Silence: How Speaking Up Enhances Corporate Cultures – Kenneth McCarthy on Non-Retaliation and Protections for Those Speak Up

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 2, Tom Fox visits with Kenneth McCarthy on the importance of non-retaliation and protections for those who speak up.

Kenneth McCarthy is a seasoned professional with a diverse background in government and entrepreneurship and a wealth of experience in handling whistleblowers, including sexual harassment cases. Kenneth’s perspective on addressing sexual harassment retaliation and encouraging reporting in workplaces is rooted in his belief in the importance of non-retaliation protocols and processes. He emphasizes the need to create a safe and supportive environment for individuals to report concerns, particularly in cases of sexual harassment. Drawing from personal experiences, he has seen the damaging effects of retaliation on individuals’ willingness to speak up and the potential legal and reputational implications for employers who fail to protect whistleblowers. Join Tom Fox and Kenneth McCarthy as they delve deeper into this topic in this episode.

 Key Highlights:

  • Systemic Retaliation in Sexual Harassment Cases
  • Creating a Safe Reporting Environment
  • The Crucial Role of Empowered Bystanders
  • Encouraging Bystanders: Protecting and Supporting Witnesses

Resources:

Kenneth McCarthy on LinkedIn

Integrity by McCarthy

Case IQ

Categories
Blog

The Podcasting for Business Conference

I recently had the opportunity to visit with Megan Dougherty, co-founder of One Stone Creative. One Stone Creative is a premier podcast production company focusing on business podcasting. Megan is also one of my podcast partners as we co-host the podcast Because That’s What Heroes Do, where we explore our joint love of SciFi movies, streaming, and TV series. During our visit, we virtually discussed One Stone Creatives’ upcoming Podcasting for Business Conference from November 13-15, 2023.

The Conference will focus on top strategies and best practices for effective business podcasting. The Conference will cover a range of important factors that impact the success of a business podcast, including interviewing techniques, collaboration with remote teams, podcast reach, guest selection, and real-life examples of podcasts connecting brands with audiences. To end the Conference, Megan will present One Stone Creative’s annual State of Business Podcasting Report, which provides valuable insights and data on best practices for podcasting.

One of the keys to a successful business podcast is the importance of effectively translating complex information to a layperson audience in the podcast format. The Conference will focus on interviewing strategies, centering on how podcast hosts can ensure that their audience can understand information shared by experts. This is particularly crucial for business podcasts, as they often aim to educate and inform listeners about specific topics related to their industry.

Collaboration with remote teams was another important aspect is another important aspect of business podcasting, as many businesses rely on either internal team members or third-party service providers to manage their podcasts. We highlighted the various ways to effectively collaborate with remote teams, including communication, project management, and editing processes. This is especially relevant in today’s remote work environment, where businesses increasingly rely on virtual collaboration.

We also discussed the concept of a holistic podcast reach, emphasizing that podcast downloads are just the tip of the iceberg when measuring a podcast’s impact and value. We discussed the significance of considering social media tools and other engagement metrics to understand a business podcast’s reach and effectiveness fully. Businesses can leverage social media marketing strategies to amplify their podcast’s impact by taking a comprehensive view of podcast reach.

We also touched on the strategic selection of guests and its impact on podcast results. Megan highlighted the case of Mary Ann Faremouth, who successfully leveraged her podcast to connect with her target audience and achieve business growth. We emphasized the importance of careful and strategic guest selection, regardless of download numbers. We showcased how guest selection can significantly influence the reach and impact of a podcast. Mary Ann will be a featured speaker at the Conference.

As noted above, Megan will present the annual One Stone Creative State of Business Podcasting Report, which provides valuable insights and data on best practices for podcasting. The report analyzes the top 100 business podcasts based on various criteria, such as social media presence, episode length, and cover art. It offers podcasters and business owners a comprehensive understanding of what works in podcasting and how to apply the latest data to their podcasts.

The Podcasting for Businesses will provide valuable insights into strategies and best practices for effective business podcasting. It highlighted the importance of clear communication, collaboration with remote teams, holistic podcast reach, strategic guest selection, and data-driven decision-making. By considering these factors, businesses can create impactful podcasts that connect with their target audiences and support their overall marketing strategies.

As Megan Dougherty stated in the episode, “It’s important to make decisions that are appropriate for your business and your podcast.” While there are general best practices to consider, it’s crucial to tailor these strategies to each business’s specific needs and goals. By doing so, businesses can maximize the value and reach of their podcasts and achieve their desired outcomes.

Podcasting for your business differs from podcasting as a passion project or even as a business in and of itself. Businesses and business owners have specific needs for their content marketing – a company podcast is one of many things an entrepreneur or marketing manager works on every week. That means they need to be efficient, and they need to be effective. But a lot of the content out there, while highly valuable, does not consider a company show’s unique needs and opportunities. The Podcasting for Business Conference is an event bringing together experts from across the podcast and content marketing industries to provide training and support to people podcasting as part of their work.

To get things rolling for the Podcasting For Business Conference, One Stone Creative is holding a workshop on November 7th called Your Unique Success Metrics – And How to Track Them. Knowing what success means for your show and measuring whether you are getting it is a game changer for podcasters, and it can also improve your experience of the Conference! When you know exactly what success will mean for your podcast, you can focus on developing the skills and relationships you need to make it happen.

Resources:

Megan Dougherty on LinkedIn

One Stone Creative

Podcasting for Business Conference

Categories
Principled Podcast

Season 10 Episode 3 – Transparency and Disclosure: Unpacking the “E” of ESG Reporting

What you’ll learn on this podcast episode

Environmental, social, and governance, or ESG, has been in the news a lot lately—particularly the “E” when it comes to new and evolving regulations. There’s been a greater push in the United States for transparency and disclosure of data regarding businesses’ environmental impact, driven largely by the Securities and Exchange Commission and the National Advertising Division of the Better Business Bureau. In fact, California is expected to soon be the first US state to require company reporting related to environmental impact. So, what does this all mean for companies that are working to become more sustainable? How do you even begin to report on emissions and environmental impact? In this episode of LRN’s Principled Podcast host Eric Morehead explores how transparency plays a crucial role in corporate sustainability with Andrea Peters, the senior counsel of Interface. 

Guest: Andrea Peters

Andrea Peters – Grayscale

Andrea Peters is senior counsel for Interface, Inc., a global commercial flooring company (NASDAQ: TILE).  In her role, she provides legal support for the company’s global operations, including Research & Development, Sales, Marketing, Procurement, Tax and Human Resources, and she also manages Interface’s global compliance program. Andrea has over 26 years of legal experience, over two-thirds of which comes from working in-house at companies such as Interface, CAN Capital, The Weather Channel, the General Electric Company and GAMBRO Healthcare.   

Andrea earned her J.D. from the Vanderbilt University School of Law and her Bachelor of Arts degree in Advertising from the Pennsylvania State University, where she was the student marshall (valedictorian) for the College of Communications. 

Andrea resides in Atlanta with her 10-year-old daughter.  She has gone sky diving twice, bungee jumping once, and ziplining once. She enjoys cooking, wine and travel. When she retires, Andrea plans to go back to college to audit all of the hard but interesting classes without worrying about writing papers or taking exams. 

Host: Eric Morehead

Headshot_Principled Podcast_Eric Morehead

Eric Morehead is a member of LRN’s Advisory Services team and has over 20 years of experience working with organizations seeking to address compliance issues and build effective compliance and ethics programs. Eric conducts program assessments and examines specific compliance risks, he drafts compliance policies and codes of conduct, works with organizations to build and improve their compliance processes and tools, and provides live training for Boards of Directors, executives, managers, and employees.

Eric ran his own consultancy for six years where he advised clients on compliance program enhancements and assisted in creating effective compliance solutions.

Eric was formally the Head of Advisory Services for NYSE Governance Services, a leading compliance training organization, where he was responsible for all aspects of NYSE Governance Services’ compliance consulting arm.

Prior to joining NYSE, Eric was an Assistant General Counsel of the United States Sentencing Commission in Washington, DC. Eric served as the chair of the policy team that amended the Organizational Sentencing Guidelines in 2010.

Eric also spent nearly a decade as a litigation attorney in Houston, Texas where he focused on white-collar and regulatory cases and represented clients at trial and before various agencies including SEC, OSHA and CFTC.

Categories
Blog

What is a Speak Up Culture?

I recently concluded a podcast series with Case IQ. Over this series, I visited with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. We tackled such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and will conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. This blog post series will expand on these topics. In Part 1, I visited with Sharlyn Lauby to learn about the speak-up culture.

Sharlyn is the author of HR Bartender and president of ITM Group Inc., a Florida-based training and human resources consulting firm focused on working with companies to retain and engage talent. She sees human resources as a strategic partner—the marketing department for a company’s internal clients—rather than an administrative one. During her 20+ years in the profession, she earned a reputation for bringing business solutions to reality. Her areas of expertise include organizational development, training, employee relations, and job design. She has a broad knowledge of workplace social media, strategic planning, and recruitment. And I’m skilled in new program design, project management, and human resources compliance.

In this concept of fostering a speak-up culture, we explored the workplace. A speak-up culture is a work environment where open communication is encouraged, fostering trust and innovation. This culture is built on leadership that values listening and employee involvement in problem-solving. One of the key factors in fostering a speaking-up culture is protecting employees from retaliation. Anti-retaliation policies and procedures, training for middle managers, and a consistent, transparent process for investigating concerns are crucial to maintaining this culture. The fair process doctrine, which emphasizes transparency, consistency, and protection from retaliation, plays a significant role in building trust, encouraging engagement, and enhancing the overall organizational culture.

Sharlyn highlighted the importance of addressing negative concerns and encouraging employees to share their ideas with management. When employees feel empowered to contribute their ideas, it can lead to significant positive outcomes for the organization. Sharlyn shared a powerful example of an organization that faced a budget challenge and involved employees in finding solutions. By offering incentives for revenue-raising or cost-saving ideas, the company not only met its budget goals but exceeded them, generating $5 million in savings. This story illustrates the potential for great things when organizations listen to their employees and value their input.

However, fostering a speak-up culture goes beyond just listening. It requires implementing policies and procedures to protect employees who have the courage to speak up. Employees need to feel confident that their concerns will be taken seriously and properly investigated. This is crucial for building trust and ensuring that employees feel comfortable bringing forward their concerns. Retaliation should never be tolerated, and organizations must make it clear that it will not be accepted under any circumstances.

Middle managers play a vital role in fostering a speak-up culture. They need to be trained to listen, accept information, and report it to the appropriate channels. Middle managers should also support employees throughout the process, helping them navigate any challenges they may face. Building relationships with managers is essential, as it encourages open communication and creates an environment where managers feel comfortable seeking guidance when needed.

Consistency and transparency in the investigation process are also key components of a speak-up culture. Organizations must have a clear process in place for investigating concerns, and employees should be aware of this process. When employees know that their concerns will be taken seriously and investigated, it builds confidence in the organization and encourages them to speak up when necessary.

The Department of Justice has emphasized the importance of consistency and transparency in investigations, as they contribute to institutional justice and fairness within a corporation. Organizations must communicate to employees that concerns will be thoroughly investigated, regardless of the number of ongoing investigations at any given time. This ensures that employees feel heard and that their concerns will be addressed appropriately.

In conclusion, fostering a speak-up culture in the workplace is crucial for building trust, encouraging engagement, and enhancing the overall organizational culture. It requires leadership that values listening and employee involvement, as well as policies and procedures to protect employees from retaliation. Middle managers play a vital role in supporting employees and facilitating open communication. Consistency and transparency in the investigation process are essential for building trust and ensuring that employees feel comfortable bringing forward their concerns. By fostering a speak-up culture, organizations can create an environment where employees feel empowered to contribute their ideas and make a positive impact on the workplace.

Join us tomorrow when we take up non-retaliation and protections for those who speak up.

Listen to Sharlyn Lauby on Innovation in Compliance here.

Categories
Daily Compliance News

Daily Compliance News: September 25, 2023 – The Accountants Quitting Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in 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.

·       Sen. Scott says fire all strikers.   (WaPo)

·       Sen. Menendez indicted for accepting bribes.  (NYT)

·       Polish visa selling scandal. (FT)

·       Accountants quitting. (WSJ)

Categories
The Ethics Experts

Episode 159 – Mita Mallick

In this episode of The Ethics Experts, Nick welcomes Mita Mallick. Mita is a corporate change-maker with a track record of transforming businesses. She gives innovative ideas a voice and serves customers and communities with purpose. She has had an extensive career as a marketer in the beauty and consumer product goods space, being a fierce advocate of including and representing Black and Brown communities. Her book “Reimagine Inclusion: Debunking 13 Myths to Transform Your Workplace” comes out October 2023 published by Wiley.
LinkedIn:
https://www.linkedin.com/in/mita-mallick-2b165822/

Instagram:
mita_mallick13

X
@MitaMallick2

Book Link:
Reimagine Inclusion: Debunking 13 Myths to Transform Your Workplace
By Mita Mallick

Categories
Innovation in Compliance

Breaking the Silence: How Speaking Up Enhances Corporate Cultures – Sharlyn Lauby on What is a Speak Up Culture?

Welcome to a special five-part podcast series on enhancing your corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 1, Tom Fox visits Sharlyn Lauby to consider what a speak-up culture is.

Sharlyn Lauby is a seasoned human resources professional with over 15 years of experience in various industries, including theme parks, hotels, and airlines. She strongly advocates for fostering a speak-up culture in the workplace, a perspective shaped by her extensive experience in organizational development and her role as the former vice president of human resources for a global consulting firm. Sharlyn believes that a speak-up culture is characterized by open and effective communication, where employees feel comfortable expressing their concerns and sharing their ideas. She emphasizes the importance of listening as a key leadership trait, the need for policies to protect employees from retaliation, and the crucial role of middle managers in creating a supportive environment. Join Tom Fox and Sharlyn Lauby as they delve deeper into this topic in this episode.

 Key Highlights:

  • Open communication and employee empowerment
  • Creating a Speak-Up Culture to Drive Positive Outcomes
  • The Power of Fair Processes in Organizations

Resources

Sharlyn Lauby on LinkedIn

ITM Group

Case IQ

Categories
31 Days to More Effective Compliance Programs

One Month to More Effective Written Standards: Day 15 – Enforcement Actions Featuring Facilitation Payments

One of the more confusing areas of the FCPA is in that of facilitation payments. Facilitation payments are small bribes but make no mistake about it, they are bribes. For that reason, many companies feel they are inconsistent with a company culture of doing business ethically and in compliance with laws prohibiting corruption and bribery. Further, the 2020 FCPA Resource Guide specified, “while the payment may qualify as an exception to the FCPA’s anti-bribery provisions, it may violate other laws, both in Foreign Country and elsewhere. In addition, if the payment is not accurately recorded, it could violate the FCPA’s books and records provision.” Additionally, the 2020 FCPA Resource Guide stated, “Whether a payment falls within the exception is not dependent on the size of the payment, though size can be telling, as a large payment is more suggestive of corrupt intent to influence a non-routine governmental action. But, like the FCPA’s anti-bribery provisions more generally, the facilitating payments exception focuses on the purpose of the payment rather than its value.”
In addition to these clear statements about whether the FCPA should continue to allow said bribes; you should also consider the administrative nightmare for any international company. The U.K. Bribery Act does not have any such exception, exemption or defense along the lines of the FCPA facilitation payment exception. This means that even if your company allows facilitation payments, it must exempt out every U.K. Company or subsidiary from the policy. Further, if your company employs any U.K. citizens, they are subject to the U.K. Bribery Act no matter who they work for and where they may work in the world, so they must also be exempted. Finally, if your U.S. Company does business with a U.K. or other company subject to the U.K. Bribery Act, you may be prevented contractually from making facilitation payments while working under that customer’s contract. As I said, an administrative nightmare.

Three key takeaways:

  1. Do not forget the administrative nightmare of facilitation payments for international organizations.
  2. The Kay decision made clear how narrow the “routine government action” exception is.
  3. Facilitation payments will usually be an add-on as they are symptomatic of an ineffective compliance program.

For more information, check out The Compliance Handbook, 4th edition, here.

Categories
FCPA Compliance Report

FCPA Compliance Report: Adam Pollock – Mission Driven Law: Serving the Greater Public Good

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this episode, Tom Fox welcomes Adam Pollock, co-founder of PollockCohen and Qui Tam/FCA expert.

 Adam Pollock is an experienced lawyer with a unique blend of expertise in computer science and law. Having studied computer science at the University of Michigan before transitioning into law at the University of Pennsylvania, Pollock has spent over 15 years in the legal field, specializing in white-collar defense, Qui Tam cases, False Claims Act cases, whistleblower suits and public advocacy. His law firm’s impactful public advocacy cases is rooted in a mission-driven approach, focusing on cases that serve a greater public good. He cites examples such as challenging the government over the regulation of menthol cigarettes, which disproportionately affect the African American community, and fighting for the rights of New York City retirees. Pollock’s work is driven by a desire to create positive change and make a difference. Join Tom Fox and Adam Pollock as they take a deep dive into these topics and more on this episode of the FCPA Compliance Report podcast.

 Key Highlights

·      How far back Qui Tam case go in history

·      The intersection of Qui Tam, FCA and whistleblower cases

·      Mission Driven Litigation

·      Private Attorney Generals?

·      The FCA at the Supreme Court

Resources

Adam Pollock on LinkedIn

PollockCohenLLP

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Categories
All Things Investigations

All Things Investigations: Episode 37 – Privileges in Document Production with Mike Huneke

In this episode of All Things Investigations, host Tom Fox and guest Mike Huneke explore a complex legal case involving Cognizant Technologies and former executives facing criminal charges for alleged bribery. The court’s ruling in this case has far-reaching implications for privilege disputes, document production, and cooperation with the government. 

Mike Huneke is a partner in the firm’s Washington office. Among other things, Mike advises clients on the navigation and resolution of multi-jurisdictional criminal or Multilateral Development Bank (MDB) anti-corruption investigations. He assists companies subject to post-resolution monitorships or other commitments, and designs and executes risk-based strategies for due diligence on third parties.

 

You’ll hear Tom and Mike discuss:

  • The Coburn and Schwartz Case is an ongoing document dispute that serves as a masterclass in federal criminal and civil procedure related to document production.
  • The court categorizes documents into three categories, emphasizing their relevance to the criminal proceeding and repeatedly referencing Federal Rule of Criminal Procedure 17.
  • The court addresses supporting documentation and investigative reports, considering waiver of privilege in relation to supporting evidence. It also highlights the need to defend the documents used in an investigation.
  • Maintaining a wall between remedial activity and disclosures is crucial to prevent the remediation justification from surpassing disclosures. 
  • It is important to pause and carefully consider an investigation. While quickness and focus are essential, thoroughness should not be sacrificed. Keeping stakeholders informed is key.
  • Privilege protects certain communications from being disclosed. Internal investigations can prevent disclosure of harmful information. Rule 17 requires disclosure of relevant documents, but privileged documents are exempt. Relevance must be demonstrated.
  • Counsel who cooperate with the government face challenges in confidentiality, client protection, and legal issues. Balancing the defense of the investigation and its documents adds to the complexity.
  • The court discusses concerns raised by the chief legal officer regarding the duration and fees of the investigation. It addresses the use of discussions between the CLO and the investigative team as evidence.

 

KEY QUOTES

“Talking about partial waivers. What does that mean? It means, well, waiving a little bit of a discussion, but not going for the whole discussion in a way that may be disadvantageous to the other party.” – Mike Huneke

 

“One common thread through all three categories, at least in the rulings from the magistrate judge or the recommended rulings from the magistrate judges to all three, was the importance of this being in a criminal proceeding. Time and again, the magistrate looks to Federal Rule of Criminal Procedure 17. And as that’s articulated, at least in the Third Circuit and in the District Court of New Jersey, even if there is a waiver, that doesn’t mean documents automatically have to be produced to the other party.” – Mike Huneke

 

“I think compliance professionals can rest assured that this is not an instance that will be cited back to them where they have to reveal all the nuts and bolts of how the program was designed, what choices were made about the scope of the program and how it was implemented or not.” – Mike Huneke

 

Resources

Hughes Hubbard & Reed website 

Mike Huneke on LinkedIn