Contained in this category are any whitepapers or working group reports that the Ethics & Compliance Initiative helped to create.
Find out why employees are more likely to report again if they strongly agree accountability is present.
This year’s GBES highlighted some significant takeaways about the state of ethics & compliance in the workplace across several dimensions: • For the first time, the survey explores whether where employees perform the majority of their work—remote, on-site, or “on the road”1—can impact the employee’s experience and the organization’s ethical
The murder of George Floyd on May 25, 2020, closely following the murders of Ahmaud Arbery and Breonna Taylor, was one of a series of tragedies and high-profile cases that prompted global racial justice protests and led to intense public dialogue about racism, discrimination and the abuse of power (RDAP) in all aspects of society, including within workplaces. Recognizing that Ethics and Compliance (E&C) functions and practitioners may have unique opportunities to address RDAP within their organizations, the Ethics and Compliance Initiative (ECI) convened a working group to explore relevant research, best practices and opportunities.
The U.S. Department of Justice (DOJ) publishes guidelines for organizations operating in the U.S. upon which corporate compliance programs are measured and against which organizations should be investigated for wrongdoing. The findings discussed in this summary are based on ECI’s Corporate Compliance Program and DOJ Enforcement Policies Survey (“survey”) which was designed to obtain ethics & compliance leaders’ opinions about the DOJ’s enforcement guidelines and their intersection with corporate compliance programs. ECI surveyed chief ethics & compliance officers, chief compliance officers and chief ethics officers or their equivalents (ethics & compliance leaders). A key objective was to gather information that would help provide guidance to organizations and DOJ on actions that would improve compliance and enforcement efforts. Each section of this summary report discusses key findings on the guidance documents and other pertinent content from the survey. When reading this report, please keep in mind that the survey was conducted prior to the October 28, 2021 DOJ memorandum making revisions to the department’s existing corporate criminal enforcement policies and practices. DOJ will consider an organization’s entire criminal history, require that organizations provide information on “all persons involved in corporate misconduct,” and commit to imposing monitors where appropriate.
