Monitoring your intermediaries can be an expensive endeavor. Jim Nortz explores how to keep an eye on your intermediaries without breaking the bank. Read Part 5 here. Years ago, a friend of mine recounted for me his first law school class. He and his fellow classmates had assembled and were seated in the lecture hall. There was a buzz of anticipation as...

Delivering anti-corruption training to intermediaries is a tough gig. Jim Nortz explores the importance of engagement and dialogue in compliance training. Read Part 4 here. The general counsel for our Asian operations was a very impressive man. He was among the first 400 attorneys licensed in China following the death of Chairman Mao Zedong. Later, he also obtained a law degree in...

No contract in the world could stop an intermediary truly determined to commit bribery, but contracts can be quite handy enforcement tools. Jim Nortz considers what makes an intermediary contract most effective. Read Part 3 here. One day in Contract Law class, Professor Kelly asked one of his better students, “Now if you were to give someone an orange, how would you...

Conducting thorough due diligence can be tedious work, but (as with most endeavors) putting in the effort yields the best results. Jim Nortz outlines a three-step process for effectively assessing intermediaries. Read Part 2 here. I am a terrible scientist. At least that’s the conclusion I reached when I worked as a college co-op student at the Xerox Laboratories in Webster, New...

As Jim Nortz explains, a boots-on-the-ground, eyeball-to-eyeball assessment can be a powerful and effective way to conduct first-party due diligence. After all, “there ain’t nothin’ like touchin’ and feelin’.” Read Part 1 here. In the early 1990s, I served as Senior Safety, Health and Environmental Counsel for a multinational specialty chemical company. A couple of years after joining the firm, Roger Sharp...

Third-party intermediaries pose a significant corruption risk for multinationals. In this six-part series, Jim Nortz provides practical steps to reduce your firm’s corruption risk and avoid prosecution in the event an intermediary is caught paying bribes. After less than six months on the job as Chief Compliance Officer for a multinational corporation, I found myself in a shabby conference room in the...

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...