Compliance in Whoville Dont Be a Grinch December 19, 2017 Does - - PowerPoint PPT Presentation

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Compliance in Whoville Dont Be a Grinch December 19, 2017 Does - - PowerPoint PPT Presentation

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Compliance in Whoville Dont Be a Grinch December 19, 2017 Does Compliance Make You Feel Like the Grinch? 12/19/2017 Palmetier Law, LLC You Already K y Know Potential Consequence Co ces Termination Termination for Default

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SLIDE 1

Compliance in Whoville – Don’t Be a Grinch

December 19, 2017

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SLIDE 2

Does Compliance Make You Feel Like the Grinch?

12/19/2017 Palmetier Law, LLC

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SLIDE 3
  • Termination
  • Termination for Default
  • Termination for Convenience
  • Suspension Debarment
  • Mandatory Disclosure
  • Investigations, Law suits
  • Fees
  • Resources diverted from work
  • Reputational Damage
  • Personal Liability - Jail

12/19/2017 Palmetier Law, LLC

You Already K y Know Potential Co Consequence ces

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SLIDE 4

Why Create a Compliance Program?

  • Prevention is Part of the Answer
  • Criticality of Work We Do
  • Carelessness/negligence can be

bigger risk than intentional acts

  • Better to Find Positive Motivation
  • Company Integrity and

Reputation

  • Efficiency and Security
  • Clear Guidance for Employees

12/19/2017 Palmetier Law, LLC

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SLIDE 5

Compliance Is Simple??!!

12/19/2017 Palmetier Law, LLC

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Compliance Is A…

Structure – or bones – of your company’s operations Process to help educate employees on (i) mandatory requirements and (ii) company expectations Means of establishing repeatable behaviors Way to empower employees and delegate tasks

12/19/2017 Palmetier Law, LLC

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SLIDE 7

What Does Compliance Involve?

  • Laws, Regulations, Contract Terms &

Your Corporate Culture

12/19/2017 Palmetier Law, LLC

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SLIDE 8

What Does Compliance Involve?

  • Topics Include:
  • Ethics
  • Code of Conduct
  • Conflicts of Interest
  • Gifts/Bribes/Corrupti
  • n
  • Equal Employment

Opportunity

  • Service Contract Act
  • Paid Sick Leave
  • Harassment

Prevention

  • Human Trafficking
  • Drug Free Workplace
  • Safety & Health
  • Counterfeit Parts
  • Cybersecurity
  • Procurement

Integrity

  • Truth in Negotiations

Act

  • Fraud
  • Whistleblower

Protections

  • Time Charging
  • International Trade
  • Export Control
  • Improper Use of

Resources

  • Protection of

Information

  • Records Retention
  • Business Systems
  • Antitrust
  • Antiboycott

12/19/2017 Palmetier Law, LLC

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SLIDE 9

Parts of a Program

Build a Culture Open Environment to Ask Questions Written Direction Repetitive Reminders Training Reporting NO RETALIATION

12/19/2017 Palmetier Law, LLC

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SLIDE 10

How Can One Company Do All!!!

  • Same as Any Project - A Little At a

Time

  • Set Priorities
  • Focus on High Risk
  • Combine Easy and Hard
  • Set Budget
  • Create Schedule
  • Assign Tasks and Hold Accountable

12/19/2017 Palmetier Law, LLC

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SLIDE 11

Best Tools?

  • Simple is Best
  • Provide Goals vs. Direction
  • In the end, employees

should know expectations, mandatory requirements, and approvals

12/19/2017 Palmetier Law, LLC

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SLIDE 12

12/19/2017 Palmetier Law, LLC

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SLIDE 13

Human Trafficking

12/19/2017 Palmetier Law, LLC

Determine Rules Set Company Expectations Decide Best Method Assess Training Implement

  • Colorado Human

Trafficking (House Bill 14-1273)

  • The Victims of

Trafficking and Violence Prevention Act (TVPA) at 22 U.S.C. Chapter 78

  • FAR 52.222-50,

Combatting Trafficking in Humans

  • No Indentured

Servitude, Slavery or Trafficking

  • HR, Executives

and Managers

  • Employees -

Simple Sentence Suffices

  • No
  • Create Policy
  • Deploy
  • Educate

Workforce

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SLIDE 14

Drug – Free Workplace

12/19/2017 Palmetier Law, LLC

Determine Rules Set Company Expectations Decide Best Method Assess Training Implement

  • Safety

regulations for certain industries and positions

  • FAR 52.223-6,

Drug-Free Workplace

  • DFARS 252.223-

7004, Drug-Free Workforce

  • Security

Clearances

  • Will you test?
  • When?
  • What are

triggers?

  • Customer

Expectations

  • Marijuana is Still

Illegal

  • Written Policy
  • Initial

Deployment

  • HR
  • Managers
  • Employees
  • Create Policy
  • Deploy
  • Educate

Workforce

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Business Courtesies

12/19/2017 Palmetier Law, LLC

Determine Rules Set Company Expectations Decide Best Method Assess Training Implement

  • More

complicated because encompasses bribery, graft, kickbacks, and gifts to government

  • fficials
  • Will need to rely

upon outside resources: consultants, industry groups,

  • r lawyers
  • Is minimum

enough?

  • What standard

do you want to set?

  • Code of Conduct
  • Written Policy
  • Regular

Reinforcement

  • Highly

Recommended

  • Required by

some clauses

  • In-House

Experts

  • Accounting
  • Contracts
  • Business

Development

  • Employees
  • Create Policy
  • Deploy
  • Educate

Workforce

  • Will need
  • utside

resources to help interpret

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SLIDE 16

12/19/2017 Palmetier Law, LLC

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SLIDE 17

Ethics and Compliance Resources

  • PTAC - www.coloradoptac.org
  • SBDC - www.pikespeaksbdc.org
  • SCORE/SBA - www.score.org
  • Defense Industry Initiative – www.dii.org
  • Free Tools: www.dii.org/featured-tools
  • Society of Corporate Compliance and Ethics -

www.corporatecompliance.org

  • Ethics and Compliance Initiative – www.ethics.org
  • Free Tools: www.ethics.org/resources/free-toolkit

12/19/2017 Palmetier Law, LLC

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12/19/2017 Palmetier Law, LLC

QUESTIONS?

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SLIDE 19

Karri L. Palmetier Karri@palmetierlaw.com D: (303) 697-8914 C: (317) 397-7344 www.palmetierlaw.com

12/19/2017 Palmetier Law, LLC