Without a strong culture of ethics, even the best compliance and ethics program is just window dressing. Jim Nortz explains why controls only take you so far and why ethical leadership is so critical. A True Tale of Transformation and the “Control” Myth We were a global, multibillion-dollar specialty chemical company. We had some of the most experienced, highly credentialed and dedicated...

Jim Nortz details the development and implementation of a highly successful Compliance Assistance and Monitoring Program (CAMP) used to evaluate internal controls – while enabling compliance to make friends along the way. A Monster That Had to Be Tamed Several months after we launched the sales and marketing codes and completed our initial live training sessions at Bausch & Lomb, our internal...

The best training engages participants and leaves them with an understanding of how to apply the material in the real world. Jim Nortz discusses the critical role training plays in helping employees avoid the health care compliance bear traps. I’ll never forget the look on my colleagues’ faces as they trudged into the first eight-hour “train-the-trainer” sales and marketing code of conduct...

More often than not, companies stumble into one or more of the health care compliance bear traps out of ignorance rather than malfeasance. Jim Nortz discusses the key role sales and marketing codes of conduct can play in preventing noncompliance. “Papa God and the Monkey” was one of my kids’ favorite stories when they were little. In it, a woman slips and...

Jim Nortz continues a six-part series discussing a number of regulatory “bear traps” in the health care industry with a discussion on the importance of effective internal controls in preventing fraud. Bob was a good guy. He was a trusted friend and colleague earning a healthy salary serving as CFO at a multinational corporation. I worked with Bob on several internal investigations...

The Anti-Kickback Statute, False Claims Act, Stark Law, Civil Monetary Penalty Law and Eliminating Kickbacks in Recovery Act “bear traps” have ravaged the health care industry for decades. Despite the carnage they have wrought, these bear traps are completely avoidable. Jim Nortz provides practical actions you can take to protect your firm from their bite. In October 2013, Todd Clawson was riding...

In the event you don’t already have a robust and meaningful set of compliance and ethics KPIs at your company, Jim Nortz offers a couple of things you might consider doing to remedy the situation:

For a Westerner, the experience of driving in the crowded streets of Mumbai is nothing if not chaotic. And yet, the vast majority of the people on the road – taxi drivers, pedestrians, cyclists – fare just fine every day. If there are rules of the road, they’re not often followed; instead, a universal expectation of cooperation keeps things moving. Could the...

Some of the most ambitious and highest-performing professionals find immense satisfaction in overcoming challenges. Others are driven by chiefly by financial reward, but it’s important for employees to find meaning in their work beyond the size of their paychecks. There’s an important lesson here for leaders hoping to build a culture of ethics.

Words matter. Responding to a colleague’s request or suggestion with a “no, because…” or a “yes, but…” effectively shuts down the conversation. As an alternative, Jim Nortz proposes a method used by improv groups to keep the dialogue open. And the exercise can do more than stretch your creative muscles – it may just strengthen your work relationships, as well.

What’s your organization’s risk appetite? Some organizations rank way up there with surfers and stunt men. Others like to play it safe, taking on the level of risk you might associate with putt-putt golf, but most fall somewhere in between. To determine your company’s ethics and compliance risk tolerance, consider the direction provided by the Federal Sentencing Guidelines.

For some reason, ethics and compliance professionals rarely participate in big picture conversations about employee pay. It’s a strange state of affairs, given how many legal and ethical risks are involved. The wage gap is getting more and more attention, and firms with significant executive-to-employee wage disparities will answer to the court of public opinion sooner or later.