Session 3 - Focus on Civil
Society, Private Sector, and
the Media
Roy Snell CCEP, MA
Chief Executive Officer
Society of Corporate Compliance and Ethics
Roy.snell@corporatecompliance.org
www.corporatecompliance.org
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Private Sector Efforts
The private sector can become involved in
fighting corruption, supporting good
governance, and promoting human rights
through implementing internal Compliance
and Ethics programs.
Organizations such as the Society of
Corporate Compliance and Ethics can help
encourage governments to support and
reward the private sector’s compliance
and ethics efforts.
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Broaden Our Efforts
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There is tremendous focus on what
governments can do to fight corruption
and human rights violations.
Often corruption and human rights
violations involve more than governments.
Private, public, and nonprofit
organizations are involved in corruption
and human rights violations.
Compliance and Ethics programs are
designed to fight human rights violations
and corruption from within private, public
and nonprofit organizations.
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What is a Compliance Program?
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Managements commitment to do the
right thing
Management steps to make it
happen
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Compliance/Ethics Programs
Helping organizations meet the expectations of others
Compliance
Compliance programs are designed to help
any organization that wants to comply
with the rule of law.
Ethics
Ethics programs are designed to help any
organization’s commitment to achieve a
higher standard than the rule of law.
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Compliance/Ethics Programs
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Developed and maintained by a
Compliance/Ethics Officer
Designed and implemented internally
Support of the company’s leadership
is essential
Must have independence
Must have accountability,
responsibility, and authority
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Components of a Compliance
Program
1.
2.
3.
4.
5.
6.
7.
Oversight by Compliance/Ethics Officer
Policy and Procedures
Education and Training
Communication and Reporting
Monitoring and Auditing
Enforcement, Discipline, and Incentives
Investigation, Response, and
Prevention
8. Program Effectiveness Evaluation
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Compliance/Ethics Officer
Professional Code of Ethics
Discussion Framework
Principle 1 OBLIGATIONS TO THE PUBLIC
Compliance professionals should embrace the spirit and the letter of
the law governing their employing organization’s conduct, and
exemplify the highest ethical standards in their conduct, in order
to contribute to the public good.
Principle 2 OBLIGATIONS TO THE EMPLOYING ORGANIZATION
Compliance professionals should serve their employing organizations
with the highest sense of integrity, exercise unprejudiced and
unbiased judgment on their behalf, and promote effective
compliance programs.
Principle 3 OBLIGATIONS TO THE PROFESSION
Compliance professionals should strive, through their actions, to
uphold the integrity and dignity of the profession, to advance the
effectiveness of compliance programs, and to promote
professionalism in compliance.
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Corporate Compliance/Ethics VS.
Corporate Responsibility Programs
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Corporate Social Responsibility programs focus on
issues such as the economic, social,
environmental, and human rights imperatives.
They attempt to influence change but rarely have
the authority to facilitate change.
Corporate Compliance and Ethics Programs focus
on the enforcement of laws, rules, regulations
and policy. This methodology has the authority
to investigate, correct wrongdoing, facilitate
discipline, and report to the governing board.
They are often separate departments and often
not linked; however, they should collaborate on
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issues such as human rights.
Related Human Rights
Compliance Issues
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Harassment at Work
Employee Rights
Family Medical Leave Act
Wrongful Termination
Employment Discrimination
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Multinational Corporations
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Organizations with operations in multiple
countries face significant challenges
because of the differences among
countries’ laws and cultures
Compliance/Ethics Officers, through the
implementation of Compliance/Ethics
programs, can help their organization to
identify and resolve these differences
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Focusing on the Supply Side
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Compliance and Ethics programs
focus on the supply side of
corruption issues.
The Foreign Corrupt Practices Act
and OCED focus on addressing the
supply side of corruption issues.
There are many other efforts to
address the supply side of corruption
issues.
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International Compliance and
Ethics Program Efforts
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Security and Exchange Board of India
UN Global Compact
Transparency International
Social Accountability 8000
Group of States Against Corruption (GRECO)
United Kingdom Office of Fair Trade
South African King II Report
United States Sentencing Commission
International Organization for Standardization
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International Compliance and
Ethics Program Efforts - Continued
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Hong Kong Stock Exchange
European Union Data Protection Working
Party
Australasian Compliance Institute
Society of Corporate Compliance and Ethics
Canadian Ethics Practitioners
If you have others please email them to
Roy.snell@corporatecompliance.org We are
tying to collect them on
www.corporatecompliance.org
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International Enforcement Efforts
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Convention on Combating Bribery Organization of Economic Cooperation and
Development
UN Convention Against Corruption
Autorité des Marchés Financiers – Québec
Financial Services Authority – UK
Financial Market Authority - Austria
Foreign Corrupt Practices Act – US
Federation of European Security
Exchanges
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International Banking AntiCorruption Regulatory Role
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Inter-American Development Bank
World Bank
European Bank for Reconstruction
and Development
Banks are investigating and
sanctioning companies involved in
corruption, when their own financing
is involved
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Why Support Compliance and
Ethics Programs
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Efforts to deal with human rights,
corruption, and the rule of law are often
directed from the outside-in
Outside groups (such as the UN) often
identify problems and request change
Change often comes easier if the request
for change comes from those who need to
change
To comply with laws requiring compliance
programs such as Sarbanes Oxley and
many requirements of stock exchanges
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Why Support Compliance and
Ethics Programs - Continued
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Organizations and governments
could implement and support the
implementation of Compliance/Ethics
programs to find and fix problems
At a minimum, the more people we
have finding and fixing problems, the
more successful we will be at
addressing our concerns
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Society of Corporate Compliance
and Ethics’ Efforts to Help
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Sharing of compliance policies, procedures,
forms, and presentations
Professional Certification
Education
• Conferences
• Manuals, books, newsletters
• Audio conferences
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Compliance effectiveness guidance
Web site: www.corporatecompliance.org
Compliance/Ethics Officer standard of conduct
International Compliance and Ethics Award
Banquet
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SCCE International Compliance
Effectiveness (ICE) Index
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Designed to recognize countries that
are supportive of Compliance and
Ethics programs
Based on the countries’
implementation of rules, laws, and
policies that reward or encourage the
development of Compliance and
Ethics programs
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SCCE Advisory Board Members Include
Odell Guyton, JD | Redmond, WA
Joseph E. Murphy, JD | Haddonfield, NJ
Co-Chair, Society of Corporate Compliance and Ethics
Co-Founder, Integrity Interactive
Senior Counsel and Director of Compliance, Microsoft
Corporation
Co-editor, ethikos, a leading corporate
compliance and ethics journal
Former Corporate Compliance Officer, University of
Pennsylvania
More than 25 years experience in organizational
compliance
Many years experience in complex litigation, corporate
internal investigation, legal auditing, federal and state
grand jury representation, and federal sentencing
guidelines
Author of Working for Integrity: Finding the
Perfect Job in the Rapidly Growing Compliance
and Ethics Field
Served in United States Attorney’s Office and Philadelphia
District Attorney’s Office
Who’s Who in American Law
Past President of the Health Care Compliance Association
Shin Jae Kim | Sao Paulo, Brazil
Mollie Painter-Morland, PhD | South Africa
Partner, Tozzini, Freire, Teixerira, E. Silva in Sao
Paulo, Brazil, focusing on mergers and acquisitions,
corporate law, import/export law, corporate image
management, and compliance
Director, University of South Africa Centre for
Business & Professional Ethics, Pretoria
Postgraduate specialization degree in tax law
SCCE International Compliance & Ethics
Award
Member, London Court of International
Arbitration – LCAI
DePaul University Associate Director, the
Institute for Business and Professional Ethics
Fulbright scholar
Member, International Association of Korean Lawyers
Member, Brazil–Korea Forum (Brazilian
representative)
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