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Back Issues of Ethikos – By Subject

Ethics and Compliance Programs – Encouraging Whistle-blowing.

Perhaps no aspect of ethics and compliance programs is as challenging as encouraging employees and others to report suspected violations. For companies with global operations, the task of promoting whistle-blowing effectively can be particularly daunting. Moreover, under the Sarbanes-Oxley Act, public company audit committees now have responsibilities to ensure that, with respect to certain types of violations, whistle-blower protection is in place.

Recent ethikos reprints on hotlines, helplines and other reporting systems include:

  Waste Management’s Hotline Use Is No Longer "Off the Charts" (July/August 2002).
  Whistleblowing: A Global Perspective (two parts) (May/June and July/August 2002)

Price for two articles - $60.

Ethics and Compliance Programs – The Corporate Sentencing Guidelines

Many of the ethics and compliance programs developments of the past decade have been spawned by the federal Sentencing Guidelines for Organizations. From the advent of this unprecedented legal initiative, ethikos has closely followed the Guidelines story and sought to analyze the practical implications of it for those involved in designing and administering ethics and compliance programs.

Recent ethikos articles about the Sentencing Guidelines include:

 Lost Words of the Sentencing Guidelines (November/December 2002)
 The Sentencing Guidelines: The First Ten Years (November/December 2001)
 Hoffman-LaRoche Case: A Sentencing Guidelines Milestone (July/August 1999)

Price for three articles - $90.

Ethics and Compliance Programs – Other Legal and Regulatory Standards

Beyond the Corporate Sentencing Guidelines, other legal and regulatory standards have also spawned significant ethics and compliance programs developments. Often, the key to understanding the practical import of these standards is their interpretation by leading ethics and compliance practitioners, government officials or courts.

Recent ethikos articles on legal and regulatory standards (other than the Sentencing Guidelines) bearing on ethics and compliance programs include:

 Weighing Sarbanes-Oxley: Changes Appear To Be Profound (January/February 2003)
 The Corporate Reform Law: What Does It Mean for Ethics Programs? (September/October 2002)
 Antitrust Compliance: The Government’s Perspective (September/October 2002)
 How the SEC Will Credit Compliance Program in Enforcement Decisions (January/February 2002).
 Justice Department’s Guidance on Prosecuting Corporations: A "Booster Shot" for Ethics Officers (July/August 2000)

Price for five articles (in four issues) - $120.

Ethics and Compliance Programs – Legal and Business Risks.

While ethics and compliance programs are intended to mitigate risks, establishing and administering such programs often creates its own possibilities of liability, both corporate and individual, and business-related harms. Understanding what these risks are can itself be a critically important task for those involved in ethics and compliance programs: on the one hand ethics and compliance offices need to take necessary precautions; on the other, they should not to overreact (and thereby create a weak program).

Recent ethikos articles relating to the legal and business risks of ethics and compliance programs are:

 Examining the Legal and Business Risks of Compliance Programs (January/February 2000)
 Compliance Programs for Subsidiaries: A Legal Analysis of Risk and Reward (November/December 1999)

Price for two articles - $60.

Ethics and Compliance Programs in the Energy Industry

Due to deregulation in recent years, many energy companies have had occasion to develop strong ethics and compliance programs. Aspects of leading programs in this industry may be of interest not only to other energy companies but also to businesses of all kinds seeking to develop effective policies and procedures.

Given the particularly strong interest in this area, ethikos has profiled the ethics and compliance efforts of various energy companies. Recent articles relating to this industry include:

 Shell Oil Company "Energizes" its Ethics Commitment (November/December 2002)
 Talk About Values at All Levels Galvanizes Duke Energy (May/June 2002)
 Southern Company Sets Sights on Self Monitoring (September/October 2000)
 AEP’s Ethics Interviews Are About the "Passion of the People" (May/June 2000)

Price for four articles - $120.

Ethics and Compliance - The Enron Case

Perhaps no scandal since Watergate has had as great an impact on public perception regarding ethics issues as has had that relating to Enron. Recent articles in ethikos have sought to examine the implications of the Enron matter for those involved in ethics and compliance related work. These articles include:


 Enron – A Failure of Corporate Governance (September/October 2002)
 Enron Artifacts as Excavated: "What We Believe" (July/August 2002)
 Enron: Early Lessons for Ethics Officers (March/April 2002)

Price for three articles - $90.

Ethics and Compliance – Global/Non-U.S. Programs

U.S. companies seeking to develop and implement ethics and compliance abroad face often daunting challenges arising from host countries’ cultures, languages, histories and laws, as well as from the physical distance between operations in such countries and the U.S. Additionally, in recent years non-U.S. companies have begun to develop their own approaches to ethics and compliance programs, which may be of interest to U.S. companies.

Recent ethikos articles about global/non-U.S. programs include:

 Whistle-blowing: A Global Perspective (two parts) (May/June and July/August 2002)
 Values is the Bedrock Upon Which Suez Builds (November/September 2001)
 UPS Translates and Transports An Ethics Code Overseas (May/June 2001)

Price for three articles in four issues - $120.

Ethics and Compliance Programs – The Board of Directors’ Role

In 1996 the Delaware Court of Chancery held – in the Caremark case – that boards of directors can, in some instances, face individual liability for compliance-related failures. Recent events have underscored the powerful logic of this holding; so many of the scandals of 2002 involved high-level executives, and as a practical matter, often only the board has the power to check abuses by such executives. In addition, the board is positioned to ensure that an ethics program has the resources and independence needed to do its job effectively.

Recent ethikos articles on the role of the board in overseeing ethics/compliance programs include:

 A Greater Focus on Corporate Boards (May/June 2002)
 Ethics Programs and the Changes in the Boardroom (September/October 2000)

Price for two articles - $60.

Ethics and Compliance Programs - Assessments and Audits

Many companies have put in place ethics/compliance related policies and procedures, yet fail to audit to ensure that their standards are being followed. Moreover, not all companies seek to assess whether their efforts in this area are – and are perceived as being – effective.

Recent ethikos articles on ethics/compliance assessments and audits include:

 Sara Lee’s Recipe – Assessment and Measurement (March/April 2002)
 Audits Reduce Compliance Risks at United Technologies (March/April 2001)
 Southern Company Sets Sights on Self Monitoring (September/October 2000)

Price for three articles - $90.

Ethics and Compliance Programs – Gifts and Entertainment/Conflicts of Interest

Perhaps no areas of concern arise more frequently under ethics and compliance programs than do those relating to conflicts of interest and the related the topic of gifts and entertainment. Yet some companies have merely a policy - as opposed to a full compliance program in this area. In light of the recent scandals – so many of which have involved conflicts of interest – effectiveness here is more critical than ever before.

Recent ethikos articles in this area are:

 Raytheon’s Gratuities and Gifts Program Has Some Give (January/February 2002.)
 Are Conflicts of Interest Your Program’s Achilles Heel? (September/October 2001)

Price for two articles - $60.

Ethics and Compliance Programs– Training and Other Forms of Communication

Training is often the principal way in which employees encounter their companies’ ethics and compliance program. Training is not only necessary to explain applicable laws, regulations and policies, but to convince employees of the company’s sincere commitment to promoting ethical and law abiding conduct. Beyond training, companies may wish to consider a range of other communications strategies to meet these needs.

Recent ethikos articles on training and other forms of ethics and compliance communications include;

 Coors Brewing Company’s Ethics Code Training (September/October 2002)
 General Electric’s True Confessions Ethics Video (September/October 2001)
 Ethics Training at Lockheed Martin Takes a Tabloid Turn (July/August 2001)
 Job Aides, Toys or "Tchatchkas": Getting the Compliance Message to Employees (May /June 2001)
 Honda’s Ethics Training Shifts to a Higher Gear (January/February 2000)

Price for five articles - $140.

Ethics and Compliance Programs – Investigations

Conducting investigations is an essential component to enforcing a company’s ethics and compliance standards. Moreover, early detection and self reporting of a violation is often necessary for an organization to receive credit for its ethics and compliance program in governmental enforcement matter. Yet perhaps because so much is at stake, the task of conducting effective – and ethical – investigations has often proven to be particularly difficult for companies.

Recent ethikos articles in this area include:

 When You Are Not Alone: Sharing Your Investigation with the Government (July/August 2001).
 Conducting Ethical Investigations Ethically (November/December 2000)
 Conducting an Effective Ethics Investigation (July/August 1999)

Price for three articles - $90.

Ethics and Compliance Programs – Risk Analyses

A comprehensive risk analysis should be the foundation upon which an effective ethics and compliance program is based. This three-article series describes how companies can utilize a "three-dimensional matrix" comprising compliance functions, business areas and risk conduct categories to analyze risks and develop appropriate responses. The articles are:

 Risk Analyses: Reasons and Capacities for Wrongdoing (January/February 2003)
 Five Questions for a Risk Analysis (May/June 2001)
 Thinking Inside the Box: Risk Analysis in Three Dimensions (September/October 2000)

Price for three articles - $90.

Ethics and Compliance – Social Responsibility

Spawned partly by the expectations of their various constituencies, many corporations now seek to do business in a socially responsible way. Social responsibility covers a broad range of issues bearing on, for instance, workplace conditions, use of resources and equitable sharing of economic burdens.

Recent ethikos articles on social responsibility include:

Downsizing – The Better Ways (January/February 2002)

Proctor and Gamble’s Positive Approach to its "Sustainability Report" (May/June 2001)

General Motors: Ethics Increasingly Means Social Responsibility, Too (May/June 2000)

When It Comes to Child Labor, Toys-R-Us Isn’t Playing Around (May/June 2000)

Price for four articles in three issues - $90.

Ethics and Compliance Programs - Discipline

Virtually all companies preach the need for ethical and law abiding conduct. Yet when it comes to disciplining those who violate company standards – particularly high-level executives or big producers – not all succeed. In many ways, discipline is a litmus test for ethics and compliance program effectiveness.

Recent articles on discipline include:

In Search of Disciplinary Consistency (January/February 2001)

Taking a Disciplined Approach to Discipline: Enforcing Compliance Standards (March/April 2000)

Price for two articles -- $60.

Ethics and Compliance Offices

Establishing an ethics/compliance office raises a host of issues concerning personnel selection and reporting relationships. Above all is the need – which too few companies have met – of ensuring the requisite independence of this function.

Recent ethikos articles relating to ethics offices include:

 Workplace Violence and the Ethics Office. (January/February 2002)
 Pro and Con – Should Your General Counsel Be Your Compliance Officer? (Two Parts) (January/February 2000 and May/June 2000)
 Enhancing the Compliance Officer’s Position: Preparing an Employment Contract (May/June 1998)

Cost for three articles/four issues - $120.

Ethics and Compliance Committees

Many companies have established ethics and compliance committees of various kinds. Such a committee can help insure that those administering the program receive a wide range of input as well as support. As well, a committee offers strength in numbers – which can be vital for resolving difficult ethics and compliance issues.

Recent ethikos articles on ethics and compliance committees include:

 Born of Strife, DTE’s Ethics Council Advises (May/June 2002)
 The 1950’s: Eisenhower, the New York Yankees, Senator McCarty and an Ethics Committee (September/October 2001) (Profile of Ruder Finn’s ethics committee.)

Price for two articles - $60

Ethics and Compliance Program Documentation

Because ethics and compliance programs are largely new, many companies have yet to face critical documentation-related issues relating to such programs. The two articles listed below examine compliance program record retention requirements and also questions relating to the confidentiality of such documents.

 Compliance Program Documentation: What Can and Should be Kept Confidential (January/February 1999).
 Retaining Compliance Records: Where, When and For How Long (January/February 1998)

Price for two articles - $60.

Ethics and Compliance Programs in Universities

It is not only for-profit businesses that face ethics and compliance challenges. Recent events have underscored how universities – which are non-profits but also, in many ways, big businesses – face real exposure from improper acts.

Two recent ethikos articles about ethics/compliance programs for non-profits are:

 Compliance Programs for Universities: Are the Risks Being Addressed? (September/October 1999)
 University of Pennsylvania Enlists a Corporate Compliance Officer (November/December 1998)

Price for two articles - $60.

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