A road map for starting
a higher education
Kenneth J. Liddle (page 29)
» Getting started is a challenge, so use your peers and
the resources available.
» Take a methodical approach to understanding your
culture, compliance structure, and requirements.
» Use the three-tiered compliance risk assessment to
identify and prioritize your early efforts.
» Be prepared to ask probing and well-informed
questions beyond, “What keeps you up at night?”
» Keep leaning forward toward your goals, and
Capturing true value in social
Dan Coney (page 35)
» Social media has become so prevalent in society
that not having the means to include this in your
investigative planning is to overlook a potential
treasure trove of incriminating evidence.
» Access issues are the first consideration in planning
and pose an ethical risk if done improperly.
» Intent and knowledge evidence are key nuggets that
can be developed out of social media.
» The inefficiencies of hunting for the needle in the
haystack are too costly, so the only answer is
software that aggregates web-based content and
automatically conducts user-designed searches.
» Investigators must keep their eye on employing the
best methods of collection to address authentication
and chain-of-custody issues with electronic
Board committee best
Sharon Parsley (page 43)
» Committees responsible for compliance and ethics
program oversight have considerable responsibility to
» The duties of care and loyalty are imposed on each
» Optimal committee composition includes members
having diverse skill and experience.
» The committee charter must be clear and concise
and should be regularly reviewed and updated.
» Committees, in particular the committee chairperson,
should cultivate a relationship with control
Is there benefit in being an
Gwendolyn Lee Hassan (page 47)
» Estimated costs to obtain ISO 37001 certification
are unknown at this time.
» Very few accredited certifiers currently exist.
» There are no indications obtaining certification
will result in enforcement leniency.
» The “return on investment” in obtaining
certification is unknown at this point.
» A wait-and-see approach seems advisable for
most US-based multinational companies.
France: An unrecognized
Cecilia Fellouse-Guenkel (page 55)
» There is a lot of talk about the new French
anti-corruption law and whether it will have a
positive impact on France’s current inadequate
enforcement of its anti-corruption laws.
» Meanwhile, France is undergoing a “petite
revolution” in relation to the transparency of the
relationships between the healthcare industry and
» The country is in the process of imposing a
regime of pre-authorization for certain types of
interactions with healthcare providers.
» We are also expecting regulations setting
maximum amounts for advantages,
and by type of advantages (e.g., meals,
» Finally, the country is moving toward full-transparency mode for those interactions through
more stringent rules of public disclosure.
Syeda Uzma Gardazi (page 61)
» The Brexit vote clearly has considerable
ramifications for the UK, but what does it mean
» Absence of a Pakistani data protection law.
» Introduction of Pakistani cybercrime law.
» Suggested improvement in Pakistani Data
Protection Act 2005.
» Use of compliance mechanisms while
Current trends in corporate
internal investigations, Part 3:
Notable Decisions Post-KBR
Vince Farhat, Nicholas B. Melzer, and
Juan M. Rodriguez (page 65)
» While legal advice is protected by the attorney-client
privilege, any other type of advice, such as business
advice, is not.
» An engagement letter should explicitly state that
the purpose of the engagement is to conduct an
investigation and provide legal advice to the client.
» In order to preserve privilege during an internal
investigation, an attorney should always give an
Upjohn warning to an employee before beginning
» When investigations result in the production of
documents to a third party, such as government
investigators, counsel should insist on provisions
preventing waiver in the case of inadvertent
production of privileged materials.
» Joint defense agreements should explicitly state
that confidential communications between outside
counsel and the client remain privileged even when
discussed with joint defense counsel.
The value of a ripe crop
Wendy W. Evans (page 69)
» There are significant differences in approaching
corporate investigations versus criminal or civil
» It is important for your company to have a defined
» There are eight fundamental investigative steps
common to corporate investigations.
» The acronym RIPE CROP helps identify these
investigative steps: Report, Intake, Plan, Evidence;
Conclusion, Report, Offer Feedback, and Present
» This article offers insights on the value of
investigative interviews, planning, evidence
gathering, report writing, and feedback.
In the mind of a whistleblower
Miguel Rueda (page 73)
» An internal reporter (or whistleblower) will always
have a preconceived expectation about how the
information he or she provided will be used.
» The way you manage the initial contact will determine
what the reporter can expect.
» The safest way to approach the initial
communications with internal reporters is under the
assumption that everything you respond with could
one day become public.
» You can set a tone of trust by advising the reporter
that the information received will be investigated
and that your organization will not tolerate retaliation
against internal reporters.
» Understanding that anonymous reporters might be
motivated by different interests will help you keep
your mind open to assess, in an objective manner,
the information you receive.
Compliance & Ethics
Professional September 2017 Takeaways
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