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Compliance in Whoville– Don’t Be a Grinch
December 19, 2017
Does Compliance Make You Feel
Like the Grinch?
12/19/2017 Palmetier Law, LLC
• 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 Know Potential Consequences
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
Compliance
Is
Simple??!!
12/19/2017Palmetier Law, LLC
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
What Does Compliance Involve?• Laws, Regulations, Contract Terms &
Your Corporate Culture
12/19/2017 Palmetier Law, LLC
What Does Compliance Involve?• Topics Include:
• Ethics• Code of Conduct• Conflicts of Interest• Gifts/Bribes/Corrupti
on• 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
Parts of a Program
Build a CultureOpen
Environment to Ask Questions
Written Direction
Repetitive Reminders
Training Reporting
NO RETALIATION
12/19/2017 Palmetier Law, LLC
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
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
12/19/2017 Palmetier Law, LLC
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
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
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 officials
• Will need to rely upon outside resources: consultants, industry groups, or 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
outside resources to help interpret
12/19/2017 Palmetier Law, LLC
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
12/19/2017 Palmetier Law, LLC
QUESTIONS?
Karri L. Palmetier
D: (303) 697-8914
C: (317) 397-7344
www.palmetierlaw.com
12/19/2017 Palmetier Law, LLC
