Compliance+and+Ethics+101

==== Compliance and Ethics efforts were largely unknown at organizations in the U.S. and elsewhere before the 1980s when, following a series of government procurement scandals ("Ill Wind"), several large defense contractors formed the Defense Industry Initiative on Business Ethics and Conduct. (See also the Ethics Resource Center's "business ethics timeline") ====

=Sentencing Guidelines "Model" = ====On November 1, 1991 the United States Sentencing Commission created a substantial incentive to have and maintain an "effective" program in the form of a credit to organizations that despite having such a program nonetheless run afoul of a legal requirement that carries a criminal penalty. Since then C&E programs or elements of them have come to be a frequent part of settlements of all types of matters with the Department of Justice and other agencies by means of "Corporate Integrity" or "Deferred Resolution" agreements that essentially establish a probation period for the organization. (See Learning from Others' Missteps for examples.) ====

====Here's a Commission description of what they were up to with their famous "Seven Elements" model for compliance efforts - and a graphic that may help you / others follow along: One of the Commissioners also described the purpose and operation of the Guidelines  at a 2012 conference (video). ====

= = =//Mandatory?//= ====Although some mandatory compliance or ethics program requirements exist on both the state and federal level, in many industries C&E programs are still voluntary efforts. For some companies C&E is a public demonstration of the organization's efforts to be a good corporate "citizen"; for others it is a risk management device by which the organization's Board of Directors demonstrates that it is exercising appropriate oversight . ====

=//Translating Theory Into Practice //=

Here are:

 * ==== links to descriptions of actual Compliance and Ethics efforts past and present and ====
 * ====a listing of and links to Associations devoted to compliance in various fields. ====

=//"How To" and "Why to" Materials://=
 * ====Creating and Maintaining an Effective Ethics and Business Conduct Program (the DII "toolkit") ====
 * ====Federal Sentencing Guidelines Manual, Chapter 8, Effective Compliance and Ethics Program (USSC 2010) ====
 * ====Business Ethics: A Manual for Managing a Responsible Business Enterprise in Emerging Market Economies, (US Department of Commerce) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;"> "Corporate Compliance Principles" and implementation tips (The National Center for Preventative Law) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">A Primer on the False Claims Act (DOJ) ====


 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Secret to a Perfect Ethics Program is in a Bottega Veneta Handbag (Ohringer 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Semi-Tough: A Short History of Compliance and Ethics Law (Kaplan 2012) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">The Shadow Regulatory State: the rise of deferred prosecution agreements (Copland 2012) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Strategies for Managing Ethics (Markula Center 2011) (video) ====
 * ====<span style="color: #000000; font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Compliance and Ethics 101: A Guide to Building Effective Compliance Programs (Myers et al. 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">When The Government Knocks - The Impact of Compliance / Ethics Programs In Real Cases (Swenson 2011) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Values vs. Compliance-based Ethics Programs (Trevino 2010) (videos) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Knowledge of Good and Evil: A Brief History of Compliance (MacKessy 2010) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Ten Things You Can Do To Avoid Being the Next Enron (ERC 2009) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">College and University Compliance Programs (Dunkley 2009) ====
 * ====<span style="font-family: Arial,Helvetica,sans-serif; font-size: 110%;">Principles for Building an Ethical Organization (Schulman 2007) ====

=//<span style="font-family: Arial,Helvetica,sans-serif;">Shared by Toolbox members: //=
 * ====<span style="font-family: Arial,Helvetica,sans-serif;">< Click "edit" above and start typing here> ====