Tag: triage

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AI Today in 5

AI Today in 5: September 3, 2025, The Human in the Loop Episode

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories:

For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com.

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Compliance Tip of the Day

Compliance Tip of the Day – AI Driven Compliance Monitoring

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

We begin a week of looking at how AI can impact your compliance program in 2025. Today, we consider how AI can improve your compliance monitoring.

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 24 – Internal Reporting and Triage

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6–8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

On Day 24, we look into the critical internal reporting process and triaging of FCPA claims. As the CCO, you will oversee the initial steps when suspicious activities are reported. Jonathan Marks’ five-step process on early assessment of incoming information is explored, providing a structured approach for evaluating the severity of allegations from low-threat level to crisis management mode. Moreover, this episode emphasizes the necessity of effective hotlines, trained managers, and a culture of listening to employees to foster a safe reporting environment. Key takeaways include the DOJ and SEC’s emphasis on internal reporting lines, regularly testing hotlines, and the triage of claims to ensure appropriate investigation levels.

Key highlights:

  • Guidelines for Effective Compliance Programs
  • Jonathan Marks’ Five-Step Process for Early Assessment
  • Key Takeaways

Resources:

Click here to receive a 20% discount on The Compliance Handbook, 5th edition, for listeners to this podcast.

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Compliance Tip of the Day

Compliance Tip of the Day: Assess and Act on Internal Reports Thoroughly

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

The DOJ wants to know that companies take reports seriously. This means evaluating the seriousness of allegations promptly and thoroughly.

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Trekking Through Compliance

Trekking Through Compliance – Episode 73 – Collaboration and Pattern Recognition: Compliance Lessons from The Lights of Zetar

In this episode of Trekking Through Compliance, we consider the episode The Lights of Zetar, which aired on January 31, 1969, and occurred on Star Date 5725.3.

On its way to the Memory Alpha planetoid, the storehouse of all the Federation’s cultural history and scientific knowledge, sensors detect a strange storm. The storm travels at a speed of Warp 2.6, indicating that it cannot be a natural phenomenon. The storm heads right for the Enterprise, penetrating the shield and attacking different brain centers of different crew members. Lt. Mira Romaine, aboard to oversee the transmission of data newly gathered by the Enterprise to Memory Alpha, seems the hardest hit.

The storm then heads for shieldless Memory Alpha, killing all aboard and burning out the central memory core. Mira beamed and warned everyone to return to the Enterprise because the storm was returning. Scans from the Enterprise confirm this, and the landing party returns to the ship.

To rid Mira of the alien influence before the aliens attack again, Kirk rushes her to a gravity/pressure chamber. The aliens attack too soon, however, and Mira becomes completely possessed. Speaking through Mira, the aliens identify themselves as the last survivors of the planet Zetar. They have had to discard their bodies and have been searching for a millennium for one such as Mira’s in which they can live out their lives. Before Mira’s consciousness can be wholly subjugated, Scotty puts her in the pressure chamber. Here, the aliens are killed, and Mira is freed.

Commentary

The episode follows the Enterprise crew as they encounter a mysterious storm that endangers them and the Memory Alpha Planetoid. The episode receives criticism for its perceived sexism but also includes a defense that views it as a poignant love story. Tom Fox uses this episode as a framework to discuss the importance of enhancing pattern recognition in compliance through collaboration, sharing insights on how cross-functional teamwork can improve the identification and mitigation of compliance risks.

Key Highlights

  • Episode Summary: The Lights of Zatar
  • Critical Reception and Controversy
  • Compliance Insights: Enhancing Pattern Recognition
  • 11:17 Conclusion and Next Episode Preview

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

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FCPA Compliance Report

FCPA Compliance Report: Exploring DOJ’s New Whistleblower Incentive Program with Mary Inman

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox welcomes back Mary Inman, Partner at Whistleblower Partners LLC, to discuss the new DOJ Whistleblower Incentive Program.

Tom and Mary discuss the DOJ’s New Whistleblower Incentive Program’s aim to fill gaps in existing reward programs and its focus areas, including financial institution violations, foreign and domestic corruption, and healthcare offenses. Mary highlights some criticisms of the program, such as lack of a reward floor and the cap on rewards, and the potential challenges and impacts on corporate compliance. They also talk about the interplay between whistleblowers, DOJ, and corporate investigations, and the potential for adaptation of the program based on stakeholder feedback.

Highlights in this Episode:

  • DOJ Whistleblower Incentive Program Overview
  • Four Focus Areas of the New Program
  • Challenges and Criticisms of the Program
  • Concerns About Reward Mechanisms
  • Race to DOJ: Whistleblowers vs. Corporations
  • Implications for Corporate Compliance

Resources:

Mary Inman on LinkedIn

Whistleblower Partners

Tom Fox

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YouTube

Twitter

LinkedIn

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Compliance Tip of the Day

Compliance Tip of the Day: How Investigative Triage Can Drive Culture

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we consider how your investigative protocol and triage can drive and improve your corporate culture.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Compliance Tip of the Day

Compliance Tip of the Day: The Importance of Triage

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, we look at the importance of triage in your overall investigative protocol.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Compliance Tip of the Day

Compliance Tip of the Day: Reporting, Triage and Investigations

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In this episode, I discuss the steps from reporting to the investigative process.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program – Day 24 – Internal Reporting and Triaging of Claims

The call, email, or tip comes into your office; an employee reports suspicious activity somewhere across the globe. That activity might well turn into an FCPA issue for your company. As the CCO, it will be up to you to begin the process, which will determine, in many instances, how the company will respond going forward. This system has become even more important after the 2022 announcement of the Monaco Memo. Further, as the 2022 ABB FCPA resolution made clear, self-disclosing to the DOJ is the vital first step for all discounts under the Corporate Enforcement Policy to begin.

This scenario was driven home by the WPP Foreign Corrupt Practices enforcement action in 2021. Here, a whistleblower reported internally on allegations of bribery and corruption in the company’s India subsidiary. WPP turned over the investigation to an inexperienced accounting firm in India and then allowed the investigation to be controlled by the business unit management that was engaging in the bribery and corruption. The result, unsurprisingly, was no adverse findings. However, the whistleblower did not stop there and reported six more times (seven total) with an increasing amount of documentary support. Finally, the company took the allegations seriously and commissioned an internal investigation.

Three key takeaways:

1. The DOJ and SEC put special emphasis on internal reporting lines.

2. Test your hotline on a regular basis to make sure it is working.

3. Every claim should be triaged before starting an investigation.

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.