The Compliance & Ethics Blog

Ted Banks on Ethical Considerations for Compliance and Ethics Officers [Podcast]

By Adam Turteltaub While compliance and ethics professionals spend most of their time looking outward at the ethical considerations of others, there are definitely times to pause, and to look at their own ethical obligations. According to Ted Banks, a veteran compliance officer and partner at the firm Scharf Banks Marmor, that begins with […]

V is for Values

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ Are you getting tired of the ABCs?  We’re almost done!  Patience.  This one is hard. The kind of vision checkup when we get our eyes examined is not what I am talking about here.  This is about how leaders see into the future and […]

I Got Into a Little Trouble the Other Day

  By Roy Snell I tweeted, “Watching shows about ancient aliens and Bigfoot are a lot like watching the news. People share three facts out of 25 available facts on a topic and come to a completely inaccurate and biased conclusion. The only difference is that the Bigfoot and ancient alien folks are nice.” […]

Brian Lee on Measuring Your Corporate Culture [Podcast]

By Adam Turteltaub Getting a good sense of the corporate culture is often a challenging task.  Surveys, focus groups and just walking the hall can be instructive, but finding out what’s really going on may take a combination of all three. According to Brian Lee of Gartner (formerly CEB), you need first to have […]

A Tale of Two Doctor’s Visits

Margaret C. Scavotto, JD, CHC President Management Performance Associates A few weeks ago, I went to a new doctor for a consultation. While waiting alone in a patient room for the doctor, I noticed a monitor attached to the wall. It showed a color-coded appointment schedule with last names of every patient coming in that […]

Sabine Fercher on ISO 19600 for Compliance Programs [Podcast]

By Adam Turteltaub While at the 2018 SCCE Basic Compliance and Ethics Academy in Singapore I had the good fortune to meet Sabine Fercher, the Group Head of Compliance for Avaloq, a provider of IT solutions for the banking industry.  She was attending the Academy with several of her colleagues from around the world. […]

More Individual Records Exposed in First Six Months of 2018 than in All of 2017: The State of Healthcare Data Breach Response

By Mahmood Sher-Jan CHPC, CEO at RADAR, Inc. If you’re familiar with the recent trend in breach reporting, you might not be surprised to learn that there has been significant growth in the number of breaches reported to the U.S. Department of Health and Human Services Office for Civil Rights (OCR). According to the OCR […]

U is for Unity

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ A few years ago I boarded a flight in Los Angeles for a 14 hour flight to one of my company’s remote locations.  I have been on the phone with a few of the employees there for a couple of weeks and they had […]

How Good is Your Whistle-blower Hotline? Three Crucial Questions

By Kristy Grant-Hart KristyGH@Sp Ring. Ring. Ring…is anyone there?  Can you hear me now?  Have I reached the right number?  Nearly everyone with a compliance program has some sort of reporting mechanism, whether it’s a formal whistle-blower hotline or an email address for the compliance department.  But how good is your whistle-blower hotline?  To find […]

Sometimes You Just Can’t Argue

By Jodi L. O’Neill, CCEP Deputy Compliance Officer – Indiana Public Retirement System (INPRS) I am a mom of two girls eight years apart. My oldest is a long-term planning, “Type-A” rule following mini-me. My youngest….well, let’s just say she’s not. I could reason with my oldest at an early age. I could tell her […]

Michael Horowitz on Conducting High Profile Internal Investigations Part 2 [Podcast]

By Adam Turteltaub As Inspector General at the US Department of Justice Michael Horowitz has been at the center of internal investigations the scope of which few in compliance will ever see.  But, while it’s unlike a compliance officer will face the over 1.2 million documents Michael’s team waded through as part of the […]

Improving Code of Conduct is a Good Start for Sports Officiating

By David D. Dodge While much of Richard Kusserow’s writing is directed towards healthcare leaders and compliance officers, I found his August 2018 piece, “Challenges with Code of Conduct Development and Revision,” to be especially instructive for sports officiating leaders in the new era of legalized gambling in the U.S.  Mr. Kusserow, former Inspector […]

Michael Horowitz on Conducting High Profile Internal Investigations Part 1 [Podcast]

By Adam Turteltaub Conducting an internal investigation is never an easy task.  Doing so with the President, Attorney General, Congress, the press and public all watching is even more difficult. Michael Horowitz lives that reality each day.  He has served as the Inspector General at the US Department of Justice since April 2012.  He […]

T is for Trust

Copyright © 2018 by Barney Rosenberg President, Ethics Line, LLC™ At the core, isn’t every ethics program about trust?  And if trust is earned over time, does that mean we must begin from a place of distrust?  It gets a little complicated.  As someone who manages the calls to the hotline of a global, […]

If a Tree Doesn’t Fall in the Forest

By Adam Turteltaub We’ve all heard the Buddhist koan:  “If a tree falls in the forest, and there’s no one there to hear it, does it make a sound?” It’s an oft-discussed ancient riddle that is surprisingly apt for compliance.  That’s because when a compliance program works at its best, the tree doesn’t even […]

Susan Bounds on Transforming Your Compliance Training [Podcast]

By Adam Turteltaub With a recently revised and much abbreviated Code of Business Conduct, the compliance department at AT&T saw an opportunity. In the past, explained Susan Bounds, who is Director, Compliance at the company, the model had been to train everyone, everywhere every year with a great deal of web-based training.  There were […]

Gabe Imperato on The Board’s Compliance Oversight Responsibilities [Podcast]

By Adam Turteltaub The relationship between the board of directors and the compliance team is both an important and still-developing one.  Approximately half of compliance departments report directly to the board, a recent survey of the Society of Corporate Compliance and Ethics and Health Care Compliance Association revealed. Having a strong relationship is increasingly […]


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