
Jamie Spataro says that he loves a challenge and learning new things. In his private life, he is a member of a rock band (which he accidentally named) and a licensed pilot. He left his position at a prominent law firm, where he did litigation and product liability work, to join the FedEx Ground legal department 12 years ago. Today, he is Lead Counsel at FedEx Ground, handling regulatory affairs, including workplace safety and the company’s COVID response. He joins Tom Fox and Valerie Charles to talk about the intersection of health and safety and compliance, and how focusing on the first leads to a better compliance program overall.
Protecting Customers and Employees During COVID
“We had to be nimble and adapt our practices to keep our workforce and our customers safe [during the pandemic],” Jamie says. The legal department is responsible for protecting the brand, as well as ensuring that the workforce and customers are kept safe, and that the company is complying with the laws and regulations. Their corporation-wide pandemic protection program incorporates common federal, state, and municipal COVID regulations into a comprehensive policy that they apply across the board. This ensures that they’re staying compliant as well as keeping everyone safe. Jamie explains that their safety protocols evolve as the science around COVID is evolving. “We feel that our program could accommodate any similar type of pandemic that might come across in the future,” he proudly comments.
Integrating Technology into Health & Safety
Tom asks how FedEx has been able to integrate technology to promote health and safety in the company. OSHA compliance has become increasingly data-driven, Jamie responds. “Being able to manage, receive, manipulate, query data has been at the forefront of how we’re able to stay compliant, and continue to comply with… increasing data demands on our business.” He illustrates how they use injury and illness data to look for patterns and root cause. “I think that the biggest change I have seen is how data is used and leveraged to ensure compliance and also to maybe spot areas within a business that may need some help,” he continues. Tom comments that their approach effectively covers the three major areas of a compliance program – prevent, detect and remediate. Jamie explains why FedEx is focusing a lot of effort on the bottom of the hierarchy of controls pyramid since it can address the root cause and hopefully eliminate the hazard as much as possible. “We’re trying to flip that pyramid on its head, trying to really focus on behavioral science and predicting behaviors, so that we can prevent them from happening in the future,” he remarks.
The Future of Compliance
Valerie says, “I think health and safety professionals and OSHA experts are probably going to lead the way for other compliance professionals in the use of behavioral psychology in compliance programs.” Though still a relatively new trend, Jamie feels that it will continue to gain traction in the coming years. It’s a veritable goldmine if you can find a way to manipulate the data you may already have, he tells listeners. Focus on trends, particularly employee behavior before an accident or injury. You may uncover patterns that you can take steps to prevent. The need for data is only going to grow, and more agencies are going to require data from companies. Take the opportunity to choose a technology solution now so that you’re ahead of the curve and prepared for what will inevitably come, Jamie advises. “You’re going to find that solution may be helpful for you in other areas.” He and Tom discuss the importance of making safety the first priority and how easily a brand can be damaged by neglecting safety. “Safety needs to be at the forefront of everyone’s list of priorities,” Jamie comments.
Resources
Jamie Spataro on LinkedIn
In the Episode, HughesHubbard partner Bryan Sillaman returns to discuss how a compliance professional can think through setting up an ESG program and clean energy issues. Highlights include:
- What are the 5 Steps to Establishing a Corporate ESG Policy.
- What is the role of corporation compliance in a company ESG policy?
- What is the role of compliance in a clean energy discussion as so critical and how does it relate to a greater ESG discussion?
- What are some of the key compliance risks relevant to the clean and renewables sector?
- Where do you see these issues under the Biden Administration? Is it different in the EU?
Recourses
Keeping the ‘Clean’ in Clean Energy by Bryan Sillaman
Five Steps for PE Sponsors to Establish ESG Policies at Their Portfolio Companies to Suit the Present Moment by Bryan Sillaman and Alexandra Poe
Last week on the Sunday Book Review, I considered recent book about William Faulkner. In this episode, I review my 4 favorite books by William Faulkner.
· The Light and the Fury
· As I Lay Dying
· Light In August
· Absalom Absalom
In today’s edition of Daily Compliance News:
- Coinbase settles with CFTC for $6.5MM. (WSJ)
- Goldman employees ‘in a dark place’. (Houston Chronicle)
- Texas regulators have COI with industry they regulate (this is my shocked face). (WaPo)
- DOJ investigating Visa. (WSJ)
Over this special five-part podcast series, I have visited with Dr. Pat Harned, President of the Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey (GBES). Since 1994, ECI has conducted this cross-sectional study of workplace conduct from the employee’s perspective. ECI’s GBES data provides the only global benchmark on the state of ethics and compliance (E&C) in business. This year’s GBES is the first compliance related survey conducted after the global pandemic hit. It has significant information for the compliance professional which they need to consider for every compliance program, literally on a world-wide basis.
While a multitude of factors influence ethical behavior, the GBES reports interplay of four major ethics outcomes are tied to the daily decisions employees make with respect to how they behave in the workplace. These are: pressure in the workplace to compromise ethical standards; observations of misconduct; reporting misconduct; and, ultimately, the retaliation perceived by employees after they reported misconduct. Some of this year’s findings are quite troubling as they are clearly trending in disturbing directions. Over this series we reviewed the key findings, saw how retaliation against whistleblowers has taken an alarming upturn, noted the impact of Covid-19 on culture. Today we close with some conclusions and recommendations.
To obtain a copy of the Survey, click here. To find out more about ECI, click here.
As March Madness descends upon us in the bubble this year, Tom and Jay look at this week’s stories top compliance and ethics stories which caught their interest on This Week in FCPA.
Stories
- Retaliation against whistleblowers on the rise. Tom interviews Pat Harned on the FCPA Compliance Report.
- Novaris announces a new ABC compliance program. Harry Cassin in the FCPA Blog.
- Expect closer cooperation between DOJ and SFO. Neil Hodge in Compliance Week. (sub req’d)
- Developments in state of New York antitrust law. WilmerHale lawyers in NYU Compliance and Enforcement Blog.
- NatWest facing criminal charges in UK over money-laundering. Mengqi Sun in WSJ Risk and Compliance Journal.
- Due Diligence and SCRM. Matt Kelly in Navex Global’s Risk and Compliance Matters Blog.
- Braskem investigates bribery of Pemex official in Mexico. Dylan Tokar in WSJ Risk and Compliance Journal.
- Here be the Dragon for Internal Audit. Ali Noor in XpertsLeague.
- Continuous monitoring through continuous auditing. Jonathan Marks in Board and Fraud.
- What do BODs and senior execs see as the top risks for 2021. Jim Deloach in CCI. Charles Mitchell in the Harvard Law School Forum on Corp Governance.
Podcasts and Events
- On The Compliance Life, Rob Chesnut joins me for the month of March. In the first episode, In Episode 1, Rob talks about his academic career at UVA and how its Honor Code influenced his thinking about ethics in his professional career and his his career as an AUSA. In Episode 2, Rob moves cross country to join eBay. In Episode 3, Rob talks about moving into the Chief Ethics Officer role at Airbnb.
- Microsoft has joined the Compliance Podcast Network, with two podcasts, Voice of Data Protection and Uncovering Hidden Risks. In Episode 3 of Voices of Data Protection, Bhavanesh Rengarajan discusses the value of information governance. In Episode 3 of Uncovering Hidden Risks, Raman Kalyan Talhah Mir consider using HR data to uncover insider risk.
- Check out some hoops and ethics in the 2021 Ethics Madness during the first day of March Information and registration here.
- In a special five-part podcast series, I visited with Pat Harned, President of Ethics & Compliance Initiative (ECI), about the organization’s 2021 Global Business Ethics Survey. In Episode 1, we review some of the key trends. In Episode 2, we review the key findings. In this Episode 3, we take up the most troubling finding in the GBES; that being the huge uptick in retaliation. In Episode 4, we consider the impact of Covid-19 on compliance. We conclude with Episode 5 on Conclusions and Recommendations. Full series available on iTunes here.
- Tom announces his latest book, The Compliance Handbook, 2nd edition is available for presale purchase. Use the code FOX25 and go here. The Compliance Handbook 2ndedition will be available in both print and eBook editions. This week on The Compliance Handbook podcast, the ladies from #GWIC join Tom for a deep dive into written standards.
Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.
In today’s edition of Daily Compliance News:
- Conde Nast dumps Teen Vogue EIC. (NYT)
- NFL investigating Watson. (Houston Chronicle)
- Lobbyist in Ohio bribery case found dead. (Springfield News Sun)
- Toyota discloses FCPA investigation in Thailand. (WSJ)
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In this episode of MoForecast, Morrison & Foerster partner James Koukios speaks with fellow partner Ruti Smithline about what to expect in Latin America under the Biden Administration.
The MoForecast podcast series, produced by global law firm Morrison & Foerster, looks into what we saw in the legal landscape under the Trump administration and how policies might change under President Biden by leveraging the firm’s decades of private practice experience and insight from former government roles. Discover more MoForecast episodes.
About the Speakers
James Koukios is co-chair of Morrison & Foerster’s Securities Litigation, Enforcement, and White Collar Defense Group and serves as co-head of the FCPA + Global Anti-Corruption Practice. James represents companies and individuals in high‑stakes government enforcement actions and complex internal investigations. He previously served as a federal prosecutor at the U.S. Department of Justice (DOJ), where he was the lead prosecutor in two landmark FCPA related trials: United States v. Esquenazi and United States v. Duperval. While at DOJ, James also served as lead prosecutor in United States v. AEY Inc., a defense procurement fraud and export licensing case that served as the basis for the 2016 film War Dogs. He also previously served as Special Counsel to then-FBI Director Robert S. Mueller, III.
James is joined in this episode by:
- Ruti Smithline, partner in Morrison & Foerster’s New York and Miami offices and co-chair of the firm’s Latin America desk
The Morrison & Foerster team is made up of talented defense lawyers, including many who once served as prosecutors and regulators. The team helps firm clients resolve their legal issues by immersing themselves in how their clients think and operate. Learn more about the firm’s Investigations + White Collar Defense group and its Latin America desk.
En este episodio, revisamos los casos de FCPA de Goldman Sachs y Beam. Hablamos de los aspectos importantes de estos casos y las lecciones que podrían tomar los Compliance Officers de América Latina.
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Preguntas? Contáctenos en podcasts@milchev.com.
¡(H)Ola Compliance! no tiene la intención y no se puede considerar como asesoramiento legal; el contenido solo refleja los pensamientos y opiniones de sus anfitriones.
¡(H)Ola Compliance! explora la ola de cumplimiento de anticorrupción que ha surgido por Latinoamérica. Inmerso en su cariño para la región, Matteson Ellis y Alejandra Montenegro Almonte (Socios de Miller & Chevalier), navegan las aguas de regulaciones de cumplimiento corporativo desde sus oficinas en Washington, DC y trazan las normas de anticorrupción que afectan a la región. A la vez destacan los desafíos y oportunidades que enfrentan las empresas comprometidas a la ética. ¿Te sientes que estás nadando contra la corriente? ¡Entonces tome la ola de cumplimiento en ¡(H)Ola Compliance!