Professional Documents
Culture Documents
The Complete Compliance and Ethics Manual 2014 is published and updated by the Society of
Corporate Compliance and Ethics, Minneapolis, MN.
Copyright 2014 by the Society of Corporate Compliance and Ethics, with the exception of the article entitled Carrot and Stick Philosophy: The History of the Organizational Sentencing Guidelines
and the Emergence of Effective Compliance and Ethics Programs, which is a work of the United
States Government within the meaning of 17 USC sec. 101.
Printed in the United States of America. All rights reserved.
This book or parts thereof may not be reproduced in any form without express written permission of
the publisher.
ISBN 978-0-9792210-9-5
This publication is designed to provide accurate, comprehensive and authoritative information on the
subject matter covered. However, the publisher does not warrant that information contained herein is
complete or accurate. This book is published with the understanding that the publisher is not engaged
in rendering legal or other professional services. If legal advice or other expert assistance is required,
the services of a competent professional should be sought.
Structure the Chief Ethics and Compliance Officer and Compliance Function for Success:
Five Essential Features of an Effective CECO Position (with Frequently Asked Questions)
By Donna C. Boehme.............................................................................................................. 2.95
Other Governing Directives, Guidelines and Standards
By Rebecca Walker.................................................................................................................2.111
iv
vi
International Recognition for Compliance and Ethics Programs: The 2010 OECD
Good Practice Guidance on Internal Controls, Ethics and Compliance
By Donna C. Boehme and Joseph E. Murphy..................................................................... 5.35
Antitrust/Competition Law......................................................................................................5.67
Federal Antitrust Law Risks
By Lisa A. Davis and Stefanie Kim....................................................................................... 5.69
Appendix 5-F: Federal Antitrust Law Key Resources................................................................ 5.83
Conflicts of Interest.....................................................................................................................5.85
Conflicts of Interest
By Rebecca Walker.................................................................................................................. 5.87
Appendix 5-G: Sample Policy on Conflicts of Interest..............................................................5.100
Labor/Employment..........................................................................................................................5.197
Wage and Hour Compliance Under the FLSA and Other Federal and State Laws
By Virginia MacSuibhne...................................................................................................... 5.199
Appendix 5-I: Sample Policy: Work Schedule...........................................................................5.217
Appendix 5-J: Sample Policy: Compensation and Hours Worked...........................................5.218
Appendix 5-K: Sample Meal and Rest Period Acknowledgement.......................................... 5.220
Appendix 5-L: Sample On-Duty Meal Period Acknowledgement.......................................... 5.221
Appendix 5-M: Sample Independent Contractor Policy......................................................... 5.222
Cyber Compliance: What Every CEO, CRO and CLO Needs to Know
about Cyber Compliance and Cyber Vigilance
By David Childers.................................................................................................................. 5.257
Appendix 5-Q: Selected Cyber-Awareness Resources.............................................................. 5.268
viii
Social Media..........................................................................................................................................5.307
Social Media Compliance
By Eric Newman.................................................................................................................... 5.309
Appendix 5-X: Sample Policy: Corporate Social Media Policy................................................5.315
Appendix 5-Y: Sample Policy: Guidelines for Social Media Participation..............................5.316
Supply Chain..........................................................................................................................................5.317
Increasing Regulation of the Multi-National Supply Chain
By Gwendolyn Hassan.......................................................................................................... 5.319
Complying with the SECs New Conflict Minerals Rule:
An Overview for Compliance Professionals
By Michael R. Littenberg, Farzad F. Damania and Cecilia Wang.................................. 5.331
Trade Compliance............................................................................................................................5.341
International Trade and Business: U.S. Export Controls
By Josephine Aiello LeBeau and Joshua Holzer................................................................ 5.343
Appendix 5-Z: Sample Export Management Compliance Policies and Procedures.............. 5.358
Appendix 5-AA: International Trade References and Links to Key Resources...................... 5.359
Table of Appendices
Chapter 1: Overview of Compliance and Ethics Practice
Appendix 1-A: Glossary of Compliance-Related Terms.........................................................................1.8
Appendix 1-B: Code of Ethics for Compliance and Ethics Professionals...........................................1.28
x
Contents of Data CD
xii
Federal Sentencing Guidelines: Overview of the U.S. Sentencing Commission and the Federal
Sentencing Guidelines
The Basics of Compliance from the Viewpoint of the Federal Sentencing Guidelines
Speech by SEC Staff: The Vital Role of Effective Comprehensive Compliance Controls
Foreign Corrupt Practices Act Anti-Bribery and Books & Records Provisions
Selection and Use of Monitors in Deferred Prosecution Agreement and Non-Prosecution Agreements
with Corporations (the Morford Memorandum)
Additional Guidance on the Use of Monitors in Deferred Prosecution Agreements and NonProsecution Agreements with Corporations (the Grindler Memorandum)
The Complete Compliance and Ethics Manual (2014)
Editors
Theodore L. Banks, JD
Partner
Scharf Banks Marmor LLC
Chicago, IL
David Childers, CIPP
Chief Executive Officer
Compli
Portland, OR
C. Lee Essrig, Esq., CCEP
Chief Ethics and Compliance Officer
Lenovo
Morrisville, NC
Lisa Kuca
Senior Compliance Officer, Eastern Division
First American Title Insurance Company
Washington, DC
Greg Triguba, JD, CCEP
Principal
Compliance Integrity Solutions, LLC
Highlands Ranch, CO
Rebecca Walker, JD
Partner
Kaplan & Walker LLP
Santa Monica, CA
Contributors
Josephine Aiello-LeBeau
Partner
Wilson Sonsini Goodrich & Rosati
Washington, D.C.
Bradley J. Bondi
Partner
Cadwalader, Wickersham & Taft
Washington, D.C.
David Gebler, JD
President
Skout Group, LLC
Sharon, MA
Jonathan P. Armstrong,
LL.B FCIM
Partner
Duane Morris, LLP
London, England
Geoffrey E. Gettinger
Associate
Cadwalader, Wickersham & Taft
Washington, D.C.
Donato A. Giordano
New York, NY
Theodore L. Banks, JD
Partner
Scharf Banks Marmor LLC
Chicago, IL
Amii Barnard-Bahn, JD,
CCEP, CHC, CCEP-I
Chief Compliance & Ethics Officer
McKesson U.S. Pharmaceutical
San Francisco, CA
Katherine A. Belinski, JD
Associate
Nossaman, LLP
Washington, D.C.
Jeffrey A. Belkin, Esq.
Partner
Alston & Bird, LLP
Atlanta, GA
Russ Berland
Of Counsel
Stinson Morrison Hecker LLP
Kansas City, MO
David S. Black, JD
Partner
Holland & Knight, LLP
McLean, VA
Meric Craig Bloch, Esq., CFE
Vice President, Compliance
and Corporate Investigations
Adecco Group North America
Parsippany, NJ
Donna C. Boehme
Principal
Compliance Strategists LLC
New Providence, NJ
xiv
Farzad F. Damania
Special Counsel
Schulte Roth & Zabel LLP
New York, NY
Lisa A. Davis, JD
Special Counsel
Wilson Sonsini Goodrich & Rosati
Palo Alto, CA
Vincent L DiCianni, Esq.
President
Affiliated Monitors, Inc.
Boston, MA
Kris DiGirolamo, BBA,
MBA, CPA, CIA, CFSA
Compliance and Privacy Director
Enterprise Business
Conduct Office
Allstate Insurance Company
Northbrook, IL
Marjorie Doyle, JD, CCEP-F
Managing Director
Aegis Compliance &
Ethics Center, LLP
Chicago, IL
Eric R. Feldman, CFE, CIG
President
Core Integrity Group
Redondo Beach, CA
Thomas Fox
Principal
Tomfoxlaw.com
Houston, TX
Gwendolyn Hassan, JD
Managing Attorney
Compliance Fiat Industrial, CNH
Oak Park, IL
Joshua Holzer, JD
of Counsel
Wilson Sonsini Goodrich & Rosati
Washington, D.C.
J. Andrew Howard, JD
Partner
Alston & Bird, LLP
Los Angeles, CA
Peter B. Hutt II, JD
Partner
Akin Gump Strauss
Hauer & Feld, LLP
Washington, D.C.
Ketanji Brown Jackson, Esq.
Vice Chair
United States Sentencing
Commission
Washington, D.C.
Timothy W. Jenkins, JD
Partner
Nossaman, LLP
Washington, D.C.
Stephanie Kim, JD
Special Counsel
Wilson Sonsini Goodrich & Rosati
Washington, D.C.
Latour LT Lafferty,
JD, CCEP, CHC
Practice Leader, White
Collar Crime, Government
Investigations, Corporate
Compliance and Ethics Practice
Fowler White Boggs, PA
Tampa, FL
Barbara Lawler, CIPP, CHP
Chief Privacy Officer, Legal
& Compliance Org.
Intuit Inc.
Mountain View, CA
Michael R. Littenberg
Partner
Schulte Roth & Zabel LLP
New York, NY
Diana Lutz
Managing Director and Chief
Ethics and Compliance Officer
The Steele Foundation
New York, NY
Virginia MacSuibhne
Director of Ethics & Compliance
Roche Molecular Systems, Inc.
Pleasanton, CA
Caroline K. McMichen,
CCEP, CIA
Chief Ethics and
Compliance Officer
Molson Coors Brewing Company
Denver, CO
Michael M. Mannix, JD
Partner
Holland & Knight LLP
McLean, VA
Lori Tansey Martens
CEO
International Business
Ethics Institute
Washington, DC
John M. Stoxen
Director of Business Content
and Compliance
3M Company
St. Paul, MN
Steve McGraw
President of Governance,
Risk and Compliance
SAI Global
Alpharetta, GA
Jos A. Tabuena
Senior Vice President of
Governance and Compliance
PhyServe Physician Services, Inc.
Dallas, TX