Categories
Jamming with Jason

S****y Leaders are Not S****y People with Mark Robinson


Have you ever worked for someone you thought was a horrible boss? Maybe you even used some choice words to describe them. Most people have.
Before making any more judgements, listen to this #jammingwithjason #podcast episode with Mark Robinson, the S****y Leadership Coach.
That s****y leadership you experienced is more likely the result of a s****y culture and trained behavior, not necessarily the leader’s fault… which is a good thing since, as Mark admitted, we are often the s****y leader and don’t even realize it. I’ve been guilty of this too in my career.
The nice thing: culture and trained behavior can be fixed, as Mark explains. The more active leadership and self-awareness we are, the less shit we bring into the workplace.
A few of the things we discuss in this episode: frequency, energy vampires, emotional intelligence and maturity, being triggered, determining if you are a s****y leader, right vs. kind, why people are terrified to be authentic at work, vulnerability, the power of choice, self-awareness as a leader, hurt people hurt people, treating people as individuals, customized approach to managing, shame, blame and bullies… and so much more.
Learn more about Mark, and his books at: https://shittyleaders.ca/
FOR FULL SHOW NOTES AND LINKS, VISIT:

E281 Shitty Leaders are Not Shitty People with Mark Robinson


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Categories
The Hill Country Podcast

Deanna Eixman – The Healing Power of Art


Welcome to the award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits the people and organizations that make this the most unique area of Texas. Join Tom as he explores the people, places and activities of the Texas Hill Country. In this episode, I have local Hill Country artist Deanna Eixman. Highlights include:
·      Growing up and going to college at Baylor University. College studies.
·      Where did you live in Colorado, and how did that experience impact your art?
·      Why did you move to Hill Country?
·      Using art as a healing therapy? Working with victims of human trafficking.
·      How would you classify your work?
·      Landscapes and color seem like influences. If so, how?
·       What is your “Contemporary Realism Collection.”
·      What is “Now and Forever Collection”?
·      How about “Pet Portraits”?
For more information on Deanna Eixman and her art, click here.
Deanna Eixman Fine Art on Facebook
Deanna Eixman on Instagram

Categories
Great Women in Compliance

Episode 155 – Mia Reini on DIY Compliance


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In this week’s episode of Great Women in Compliance, Mary brings the team back from break with an interview with Mia Reini, a Compliance leader at the Home Depot. Mia tells us about her efforts to bring Home Depot’s Compliance awareness initiatives external to the company as a goal, discusses the difference between risk management and compliance, and gives tips for policy governance.
We often get asked whether we accept recommendations or nominations for GWIC guests – the answer is absolutely! We’ll be happy to receive any suggestions and feedback – send them through to podcast@greatwomenincompliance.com detailing what makes the individual stand out as a great woman in compliance. Please note that we are not an advertising agency and do not accept nominations for vendor marketing to ensure consistently high-quality episodes.
The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance-related offerings to listen to. If you are enjoying this episode, please rate it on your preferred podcast player to help other like-minded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights, where Lisa and Mary have a landing page with additional information about them and the podcast’s story. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book, “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).
You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it, and we welcome new subscribers to our podcast.
Join the Great Women in Compliance community on LinkedIn here.

Categories
Compliance Into the Weeds

The Wild and Wacky World of Control Failures

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. In this episode, we dive deeply into the recent story of an in-house attorney who was disbarred for fraudulent activities in creating fraudulent claims and settlements.  Highlights include:

·      Background facts.

·      Conflicts of Interests.

·      What were the internal control failures?

·      Were they material?

·      Lessons for the compliance professional.

Resources

Matt in Radical Compliance

Categories
Daily Compliance News

July 20, 2022 the Going to Trial edition


In today’s edition of Daily Compliance News:
·       Twitter-Musk trial set for October.   (WSJ)
·       Italian prosecutor drops ENI acquittal appeal.  (MarketWatch)
·       Layoffs hit crypto compliance personnel. (WSJ)
·       DOJ puts Amazon and civil litigants in ‘Time Out’. (WaPo)

Categories
Blog

Ethical Conduct Through Psychological Safety: Part 1 – Introduction

What is perhaps one of the most recognizable movie themes of all-time? One that certainly falls into that category is the James Bond theme, written by Monty Norman, who recently passed away. According to his New York Times obituary, Norman took the job only because the producer, Chubby Broccoli, offered him a trip to Jamaica to watch some of the filming, in addition to more traditional monetary compensation. Norman was “struggling to come up with the theme, he said, until he remembered a song called “Bad Sign, Good Sign,” from an unproduced musical version of the 1961 V.S. Naipaul novel, “A House for Mr. Biswas,” on which he and a frequent collaborator, Julian More, had worked.” However, the opening line had an “Asian inflection and relied heavily on a sitar, but Mr. Norman “split the notes,” as he put it, to provide a more staccato feel for what became the theme song’s famous guitar riff. Norman said, “And the moment I did ‘dum diddy dum dum dum,’ I thought, ‘My God, that’s it. His sexiness, his mystery, his ruthlessness — it’s all there in a few notes.” (Listen to the James Bond theme here.)
I was reminded of the psychological nature of this great movie theme when reading a recent article in the MIT Sloan Management Review, Summer edition, entitled “Fostering Ethical Conduct Through Psychological Safety” by Antoine Ferrère, Chris Rider, Baiba Renerte, and Amy Edmondson. In this article, the authors asked such questions as “How do organizations encourage people to speak up about ethical breaches, whether inadvertent or deliberate?” and “Why do some employees choose to remain silent when others report misconduct?” Additionally, they “analyzed the perceptions of those who report misconduct against those of “silent bystanders” to help “better understand both the drivers and derailers of speaking up — and revealed insights into how leaders and compliance officers can encourage employees to make such reports.’”
The authors believe today, “it is more essential than ever that when misconduct happens or difficult problems arise, there is a strong ethical climate for surfacing information so that leaders can respond quickly and appropriately. An environment in which employees feel comfortable reporting such issues is also vital to preventing future misconduct.” Over the next couple of posts I will be exploring this article and some of the issues it raises. In Part 1, we look at what questions you should consider to determine the amount of psychological safety in your organization.
The starting point for any analysis for psychological safety is with one of the authors, Amy Edmondson herself and her seminal work The Fearless Organization. The authors began by modifying her original 1999psychological safety scale to emphasize a specific focus on employees speaking up. Interestingly, they added “the idea of thinking before speaking up in the hope of measuring hesitation.” They did so to “capture comfort levels in speaking up, based on the intuition that in a psychologically safe climate, people tend to say something right away, and when they don’t feel psychologically safe, they are more likely to keep incidents to themselves.”
By looking at how psychologically safe an organization is, the authors posited they could then  measure variance in psychological safety across teams and regions by surveying employees. They believed that this approach would allow them to then “focus efforts on teams who need the most help and to identify teams whose psychologically safe cultures may offer examples from which other teams can learn.” To do so the authors’ developed a survey which asked the following, “on a scale from 0 (completely disagree) to 10 (completely agree), their level of agreement with the following statements:”

  • On my team, if you make a mistake, it is often held against you.
  • Members of my team are able to bring up problems and tough issues.
  • People on my team sometimes reject others for having different views.
  • It is safe to take a risk on my team.
  • It is difficult to ask other members of my team for help.
  • I tend to think about how raising a concern will reflect on me before speaking up.

Interestingly, the authors acknowledged relationship to whistleblowing, in the context of both psychological safety and an ethical business, they strove to make clear “an important distinction between external whistleblowing and those who speak up about perceived misconduct at work.” Moreover, recognizing the vital role external whistleblowers play in the detection prong of any best practices compliance program, if a whistleblower goes to the Securities and Exchange Commission (SEC) or other external actors, it is almost always because “they felt their concerns could not be expressed, heard, and addressed internally.” The authors believe that a “healthy organizational culture is one in which speaking up and listening go hand in hand and thereby reinforce ethical standards. If concerns are expressed, changes can be made in a timely way.” This is important because it moves from the detect prong to the prevent prong, which is by far the more important and effective prong in any compliance regime. Further ideas or innovations, rather than simply reporting of untoward actions, can make a company more efficient and more profitable. All of this means that if there truly is psychological safety a company can receive far more benefits than simply monetary fine or penalty avoidance.
Join us tomorrow in Part 2 where we consider the role of psychological safety and moving it through an organization.

Categories
The Compliance Life

Joe Burke – Into the CCO Chair

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in 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. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

Burke continues his roles at Dell, doing global audits and Investigations. He also worked his legal role to drive change in compliance. In 2017, he left Dell to move to the spin-off of Quest Software Inc. and a new role as Chief Ethics and Compliance Officer. In this role, he created a new compliance regime and worked with the Private Equity owners to bring about change at Quest in the area of compliance.

Resources

Joe Burke LinkedIn Profile

Categories
Blog

On Being a Citizen

Each person who becomes a naturalized citizen of these United States is required to swear the following Oath:
“I hereby declare, on oath, that I absolutely and entirely renounce and abjure all allegiance and fidelity to any foreign prince, potentate, state, or sovereignty, of whom or which I have heretofore been a subject or citizen; that I will support and defend the Constitution and laws of the United States of America against all enemies, foreign and domestic; that I will bear true faith and allegiance to the same; that I will bear arms on behalf of the United States when required by the law; that I will perform noncombatant service in the Armed Forces of the United States when required by the law; that I will perform work of national importance under civilian direction when required by the law; and that I take this obligation freely, without any mental reservation or purpose of evasion; so help me God.”
The principles embodied in the Oath are codified in Section 337(a) in the Immigration and Nationality Act (INA), which provides that all applicants shall take an oath that incorporates the substance of the following:

  1. Support the Constitution;
  2. Renounce and abjure absolutely and entirely all allegiance and fidelity to any foreign prince, potentate, state, or sovereignty of whom or which the applicant was before a subject or citizen;
  3. Support and defend the Constitution and laws of the United States against all enemies, foreign and domestic;
  4. Bear true faith and allegiance to the same; and
  5. A. Bear arms on behalf of the United States when required by the law; or
    B. Perform noncombatant service in the Armed Forces of the United States when required by the law; or
    C. Perform work of national importance under civilian direction when required by the law.

The language of the current Oath is found in the Code of Federal Regulations Section 337.1 and is closely based upon the statutory elements in Section 337(a) of the INA.
I know all this because my wife recently became a US citizen this month and I could not be more proud of her for this accomplishment. Reading the Oath she swore did give me some pause to think about what does it really mean to be a citizen of these United States.
First and foremost, I have never been required to swear this Oath, as a natural born citizen of the United States. Now I wish I had done so because the Oath makes clear that as citizens, we all have obligations to our country. Right about now the language “Support and defend the Constitution and laws of the United States against all enemies, foreign and domestic” is as important as it has ever been, given the events of January 6, 2021 and the involvement of the highest levels of former administration.
But I also reflected on Clause Five quite a bit as well. Although I am far past the age where I might reasonably be expected to be drafted, if there was a total war and the existence of our country was in such grave danger, I could be called on to bears arms in support of the US. If I am too old or infirm to bear arms in support of this country. I still be could called on to “Perform noncombatant service in the Armed Forces of the United States when required by the law”. Finally, I can be called upon to “Perform work of national importance under civilian direction when required by the law.” There have been few true national emergencies in my lifetime. Perhaps the Cuban Missile Crisis and the Covid-19 pandemic are the only true national emergencies during my lifetime. I was too young to understand much about the Cuban Missile Crisis other than my father was called to active duty over a weekend.
But the language does not specify you can be called only in a military emergency. It can be to perform work of national importance. Certainly, following the government’s directions during the pandemic was such an instance of performing work under the direction of civilian authority.
John Lee Dumas, in his concluding remarks when I asked him to reflect on 9/11 and the intervening 20 years in the award-winning podcast series, Looking Back on 9/11 said that America is the Land of the Free because we are the Home of the Brave. Re-reading this Oath  drove home to me that we are all obligated to be and act as citizens of these United States. Even if you are like me and never been required to take this Oath or like my wife, who had to swear this Oath to become a US citizen, and everyone in between.

Categories
The Corruption Files

Uncovering the Hidden Schemes in Pharma with Tom Fox and Michael DeBernardis

Thomas Fox and Michael DeBernardis shed light on the bribery schemes highlighted in the cases of Eli Lilly, Fresenius, and Teva and present the prosecutorial investigation, the questionable donations and expenses, preventative measures for companies to implement, and practicing due diligence to minimize risk.

Key points discussed in the episode:
✔️ Thomas Fox introduces the cases involving Eli Lilly, Fresenius, and Teva.
✔️ Michael DeBernardis breaks down the DOJ and SEC’s investigative process in uncovering Eli Lilly’s bribery schemes – by looking into other companies from similar industries and asking the pressing questions.
✔️ Thomas Fox describes the bribes made: money going to hospitals and to the doctors and nurses directly, sending individuals to five-star resorts for fake conferences and speeches, and paying for articles that were never published. Any prior SCC reinforcement action is already a red flag.
✔️ The Eli Lilly case has made companies warier of working with government officials as a Polish state-owned health organization was involved. Also, the intent of the fraudulent talks and events was fairly obvious from a prosecutorial perspective.
✔️ Michael DeBernardis and Thomas Fox share advice on how companies should approach charitable donations: Know where your money is going, do background checks on the receiving organization and publicize all donations.
✔️ Eli Lilly’s exceeding discount for a certain distributor was pushed to the spotlight. Overriding internal controls requires documenting for a business reason. Most due diligence problems can be solved by looking closer at business justifications.

Categories
Innovation in Compliance

The Real Cost of Returning to the Office With Dr. Gleb Tsipursky


 
Dr. Gleb Tsipursky is the thought leader and CEO of Disaster Avoidance Experts, a boutique future-of-work consultancy that helps tech and insurance executives drive collaboration, innovation, and retention in hybrid work. Currently, he is focusing on normalizing hybrid and remote work, which he further discusses in his book, Leading Hybrid and Remote Teams. Tom Fox welcomes him to this week’s show to talk about Elon Musk’s misinformed views on remote work and why working from home is better for productivity levels. 
 

 
Remote Work v. Working From the Office
Tom asks Dr. Gleb what drove him to write the article entitled, Elon Musk’s back-to-the-office order will undermine Tesla’s future. It was his response to Musk’s announcement to abolish remote work on the grounds that it made his employees unproductive, Dr. Gleb tells Tom. He has been researching hybrid remote work since the beginning of the pandemic, and found that remote workers are much more productive. A study at Stanford determined that productivity improved by 5% as office workers worked remotely. “They [workers] don’t have to do the unpaid labor of the commute and they can focus more on productive activities because they’re not interrupted,” Dr. Gleb explains. 
 
Authoritarian Workplace
Tom asks Dr. Gleb if he believes a top-down command and control approach to leadership would work in 2022 and beyond. Dr. Gleb replies that this kind of leadership can only be successful in narrow environments. He believes that it is most successful in environments like warehouses “where you don’t need to be skilled, or a kind of manufacturing job where …you don’t need to do much innovative work.” However, since Tesla is an innovative company, command and control will undermine Tesla’s future. It is a company that requires knowledgeable and creative thinkers and those types of people would suffer under micromanagement. He also points out that demanding his employees to return to the office because he believes they are not working remotely, signals a lack of trust which is a very dangerous corporate culture. 
 
The Fate of Tesla
Many of Tesla’s employees are innovators and creators; these include research and development staff and software engineers. Throughout the pandemic, these employees have been successfully and productively working from home, but now they are being forced to go out to the office. Naturally, these accomplished innovators would seek employment elsewhere, where they have comfortable working conditions. This leaves Tesla with employees who are conformists, who are okay with the authoritarian culture being imposed on them, and these people are less creative and innovative. Over time this will cause Tesla to lose the edge that makes them unique, Dr. Gleb argues.
 
Resources
Dr. Gleb Tsipursky | LinkedIn | Twitter 
Disaster Avoidance Experts | Book – “Leading Hybrid and Remote Teams”