...Compliance Mem CMGT 410 January 26, 2015 Compliance Memo To: Team Leaders From: (Your Name) Training Project Manager Date: January 26, 2015 Subject: New Compliance System Training ABC Corporation is excited to announce the roll out of their new compliance system database with a two-day training session Southern California at the all exclusive Ocean Side Resort on April 1 and 2, 2015. A team of project developers from ABC Corporation will be this year's educational instructors, teaching the group through hands on training simulations. There will be one on one time with our training team for any questions or concerns. Included within the training will be the review of updated compliance policies and procedures and how they will directly impact Team Leaders and the processes of daily operations within ABC Corporation. Each day will consist of five hours of training with time allotted for lunches and Q&A time with the instructors. With these new and exciting times approaching us it is required that all management attend the compliance training course so they can continue to support ABC Corporation in their quest for excellence of service to our customers and our employees. As leaders within the ABC Corporation it is vital to keep up with technology and the benefits it brings to all who work with it. The more knowledge we have as leaders, the better we can be as leaders in the world of changing technology. Please note that those managers that cannot or refuse...
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...Employment Law Compliance Plan HRM/531 June 30, 2014 Employment Law Compliance Plan MEMORANDUM TO: Traci Goldeman, Atwood and Allen Consulting FROM: Nichole Coates, HRM/531 DATE: June 30, 2014 SUBJECT: Landslide Limousines: Employment Compliance CC: Bradley Stonefield As you requested, the information that is needed to consult Bradley Stonefield, owner of Landslide Limousines, is outlined below. He is an owner of a small limousine service that provides transport to customers in Austin, Texas. Bradley’s goal is to have 25 employees within one year of opening the business and would like the expertise of Atwood and Allen Consulting. Below are some employment laws that Bradley should be compliant with along with the consequences of non-compliance. There are also recommendations on how to be compliant with the employment laws that will affect him and his business. The first law that Bradley needs to be informed about is the Texas Minimum Wage Law. Texas adopts the federal minimum wage rate which is currently $7.25 per hour for non-exempt employees. This minimum wage amount does not prohibit the employee from bargaining with Landslide Limousines for a higher wage. As part of being a business owner, Bradley needs to understand that he will be required to provide each employee with a written earnings statement that enables the employee to determine whether or not he/she was paid the correct wage for a given time period. There are consequences...
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...MEMO Solutions Industries International To: All Departments: Lead Management Personal From: Sherry Carter CC: CEO Marc Portner Date: 5/11/2015 Re: New Compliance System Training Project Comments: Compliance System Training With the rollout of the new company compliance system it has come to our attention that for this implementation to be a success we must initiate companywide training. Training Details: * All lead management personal * Two day training session * 10 hours of hands-on face-to-face training * Use of the new platform * New compliance policies * Trainers * Chief Compliance Officer Karen Moorhead * Human Resources Director Stacie Greenfield * Training Location * San Antonio, TX * Transportation and Lodging will be provided * Southwest Airlines * Shuttle bus to and from airport * La Cantera Hill Country Resort * Evaluation/Feedback from participants required * Trainers * Attendees This two day training will be led by the company Chief Compliance Officer Karen Moorhead to ensure proper implementation and understanding with the assistants of Stacie Greenfield company Human Resources Director. The objective of this training is to insure that lead management knows and understands the new compliance policies as well as the use of the new compliance system in order to return to their department and implement this training with key personal. It is...
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...Employment Law Compliance Plan HRM 531 May 5, 2014 Maria Ziegler ATWOOD AND ALLEN CONSULTING Memorandum Date: May 5, 2014 From: Michelle Kenny Human Resource Specialist Subject: Leadership Strategies for New Team To: Bradley Stonefield Owner, Landslide Limousines The purpose of this memorandum is to present to you the employment law compliance plan on how to legally open up your limousine service in Austin, Texas. Based on my extensive research on employment laws in Texas, I am confident that if you follow these employments laws your business will be a successful. I conducted a thorough analysis of four employment laws which I will be discussing in detail; in addition I will present to you the consequences of noncompliance with these four employment laws. The specific employment laws that I will discuss which are imperative to hiring new employees are the Title VII of the Civil Rights Act of 1964, the Americans Disabilities Act (ADA), the Age Discrimination in Employment Act (ADEA), and the Texas Commission on Human Rights Act (TCHRA). Next, I will cover the employment laws connected with the application process and interview questions. Under this section we will discuss the Equal Opportunity Commission (EEOC), negligent hiring, and the Immigration Reform and Control Act. In addition to these laws I will...
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...Memorandum To: Marylee Luther, Clapton Commercial Construction From: Juan Provencio CC: Traci Goldeman Date: July 7, 2014 Re: Employment Law Compliance Plan ------------------------------------------------- Hi Marylee, Congratulations on your decision to expand to Arizona, and thank you for choosing Atwood and Allen Consulting to assist you in the expansion process. I am Juan Provencio and I will be personally helping you navigate the human resources waters of setting up your new facility, establishing an employment law compliance plan, compensation, training plans, and anything else you may need. I’d first like to focus on establishing an employment law compliance plan. Since you’re offices are already headquartered in the United States, many of the same employment laws will apply, but some wont; specifically those having to do with operating a business in Arizona. First let’s focus in on the federal employment law that are most pertinent to the establishment and operation of your new facility. Fair Labor Standards Act of 1938 The "Wages And Hours Worked: Minimum Wage And Overtime Pay" (2009) website indicates that the Fair Labor Standards Act of 1938 (FLSA) is administered by the Wage and Hour Division (WHD) establishes minimum wages, overtime pay, recordkeeping and child labor standards for employees who are paid at least $1,700 in a calendar year or work more than eight hours a week. FLSA requires that employees be paid a minimum of $7.25 an...
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...A. Compliance Status The following executive summary focuses not only on the identified gaps in the current process, but also the corrective action plan to support compliance in the noted areas of the Communications Standards as provided by The Joint Commission, (National Patient Safety Goals, 2013). The high risk associated with surgical procedures performed on the wrong site has driven a risk mitigating approach to the processes involved for these procedures. The goal is to prevent harm to patients having a surgical procedure. The following summary is the current compliance status if the Priority Focus Area of Communication for Nightingale Community Hospital. After review of the specific areas identified in the Priority Focus Area, the following have been identified as requiring further attention: time-outs are routinely performed prior to every procedure (UP 01.03.01) and procedure site is marked (UP 01.02.01). Based on the evaluation of the Nightingale Community Hospital National Patient Safety Goals for Communications the current compliance rate related to the Universal Protocol Time-Out processes performed hospital wide indicate a 95% to 100% compliance rate for the year. The graph provided in the Nightingale Community Hospital National Patient Safety Goals Communication assessment provides limited information as these are hospital wide percentages. No unit specific evaluations of performance have been provided in the report. Upon review of the Site Identification and...
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...Evaluation Of A Business Code Of Ethics YourFirstName YourLastName University title Introduction A chief executive officer cannot simply make the decision that is best for her without considering the interests of other employees, stockholders, customers, suppliers, creditors, and so forth. Integrity is the cornerstone of ethical business practices. Failure to build a business on integrity carries costs. For example, deceptive business practices may harm a company's standing in the community, decrease employee productivity, reduce customer loyalty, build resentment among employees, increase the likelihood of further unethical behavior by employees, and cause scrutiny by government agencies. Although the costs of some of these consequences are difficult to quantify, there is no doubt that they can be substantial. Evaluate chosen strategy King and Spalding is a legal firm that was founded in 1885, Atlanta. It has a total of 800 lawyers across the U.S, Europe, Asia and Middle East. Ethics Programs Companies frequently create ethics programs to establish and help maintain an ethical business environment. Some of the most common elements of ethics pro-grams at King & Spalding include written codes of ethics, employee hotlines and ethics call centers, ethics training, processes to register anonymous complaints about wrongdoing, and ethics offices. Ethics programs may include any combination of these elements. However, according to a recent survey, an ethics program...
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...Ethics and Compliance David Livingston, Raul Lopez, Robert Morrison, Tyler Norwood FIN/370 Finance for Business University of Phoenix May 7, 2011 Joe Brennan Ethics and Compliance Even though there are federal rules and regulations governing work place behavior, what if there were no boundaries for ethics and compliance, would Amazon continue to follow the same procedures set by the federal laws to ensure ethical behavior within the work place. How does Amazon differ from other organizations when it comes to ethical behavior? One way is because Amazon adheres to a strict conflict of interest policy regarding customers, employees, and Amazon follows strict policies on record keeping and financial integrity. Team C will depict Amazon’s policy and procedures for ethical and SEC compliance, explain the function of monetary markets in the United States, and assess Amazon’s monetary performance for the previous two years by means of financial ratios. Team C will explain Amazon’s financial health in reference to the debt, return of equity, and daily receivable ratios. As part of their code of business conduct and ethics policies, Amazon established basic guiding principles to help steer their employees to do what is ethically and morally right to reassure their investors that they are doing what is right for the investors and the public. Of course Amazon must be in compliance with the governing (a) laws, (b) rules and (c) regulations set forth by local and federal governments...
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...CODE OF ETHICS Compliance is the responsibility of all the Company’s directors, officers, managers, and employees.(Capital One,2011). One is responsible for learning the details of the policies, procedures, laws and regulations applicable to one's job and for seeking guidance when needed. It is important to avoid misconduct that violates the law, this Code, or Company policies, but also the appearance of impropriety. The point, which a subject is not explicitly explained in this Code, does not relieve an employee of their responsibility to maintain the highest ethical standards under all circumstances. If one has any concern about whether their actions or inactions could violate a law, it should be discussed with their manager. While no Code of Ethics can or should replace thoughtful behavior or common sense, it can help cultivate a culture that values and rewards honesty, integrity, and accountability. (Avon, n.d.). The principles detailed in the Code will guide in “doing the right thing” and in preserving the Company’s reputation for acting with integrity at all times. TRADE REGULATION Most states have enacted trade regulation laws to ensure fair competition. These laws prohibit price-fixing and other "anti-competitive agreements, deceptive acts, and unfair competitive methods." (Pension Consulting, n.d.). Some forms of joint activities are legally permissible, but others are not. Under no circumstances, should you illegally or improperly...
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...encourages greater ethical accountability for companies to demonstrate they are abiding by the law and have established programs to improve their ethical decision making. The U.S. Sentencing Commission (the “Commission) has amended the Federal Sentencing Guidelines for Organizations (“FSGO”) whereby an effective compliance and ethics program must “exercise due diligence to prevent, detect, and report criminal conduct and otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with all applicable law." The Commission noted there are seven minimum requirements of an effective ethics program, standards and procedures to prevent and detect criminal conduct; Responsibility at all levels of the program, together with adequate program resources and authority for its managers; Due diligence in hiring and assigning personnel to positions with substantial authority; Communicating standards and procedures, including a specific requirement for training at all levels; Monitoring, auditing, and non-retaliatory internal guidance/reporting systems, including periodic evaluation of program effectiveness; Promotion and enforcement of compliance and ethical conduct; and taking reasonable steps to respond appropriately and prevent further misconduct upon detecting a violation. Better business bureau torch award audit process The Better...
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...Compliance Interview and Report Assignment BA 3301 Legal Environment of Business Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Also important is compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions including monetary penalties and prison. In this assignment, you will learn how a person working in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with your...
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...Effectiveness of Compliance Programs Pradeep Parakh, Mumbai, India Why to have a Compliance Plan • Heightened scrutiny by regulators • Avoid problems before they occur • Improved effectiveness of organization The Importance of Compliance • Compliance provides stability in revenue • Compliance uncovers inadvertent errors which can be corrected before they create huge problems for the entity • Compliance allows continued service to consumers because paybacks and penalties can impact the delivery of future services • Compliance leads to a better relationship with regulators and those who have dealings with the entity Compliance Programs Must Have Substance • As evident by recent legislation, the focus of regulators is shifting from a focus on the presence of a compliance program to evidence that demonstrates the effectiveness of the compliance program • Regulators asks question such as – “Can you prove that your compliance program works?” Elements of Effective Compliance Plan • Written policies and procedures • Compliance Officer • Training and education . . . including . . .governing body members • Communication lines to the Compliance Officer • Disciplinary policies • Internal audits and, as appropriate, external audits • Response and investigation Types of Compliance Programs People Measure • • • • • • • • Security compliance Regulatory compliance Listing compliance Environmental compliance Safety compliance Quality control compliance Privacy compliance Tax compliance Counts...
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...& Compliance Officer In Accenture’s ethics and compliance program, the company uses six “core values” of stewardship, best people, client value creation, one global network, respect for the individual and integrity. Douglas Scrivner, General Counsel at Accenture, says that ethics and compliance can’t be effective if they’re only seen as “bolt-ons,” or something that is only done at the end of the day after the “regular work” is complete. “We aim to put ethics and compliance into the way our people work and lead. We seek to leverage existing processes, procedures, structures and functions to ensure the outcomes we are expecting and alignment with the goals of the organization,” says Scrivner. To better understand how the company’s ethics and compliance program is being received by employees, Accenture uses employee surveys, risk assessments and results of corporate investigations. Scrivner notes that in a recent survey, over 90 percent of employees feel that Accenture is highly ethical and that the company’s commitment to integrity has been communicated to the whole company. “Those are excellent scores for a company of more than 181,000 people,” Scrivner says. “We haven’t arrived at the end of our journey (and never will), but I am confident that we continue to move in the right direction and continually reinforce our commitment and our expectations in this area.” Caterpillar Ed Scott, Chief Ethics & Compliance Officer Ed Scott, Chief Ethics and Compliance Officer...
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...BA 3301 Legal Environment of Business Compliance Interview and Report Assignment Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Equally important is a business's compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions that include monetary penalties and prison. In this assignment, you will learn how someone in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with...
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...BA 3301 Legal Environment of Business Compliance Interview and Report Assignment Associate Professor Lee Usnick, JD I. ASSIGNMENT OVERVIEW Virtually all business activities conducted in the United States are highly regulated, not only by governmental entities, but by professional entities as well. Compliance with all federal, state, and local laws and regulations is a prerequisite to the long term health and survival of a business. Equally important is a business's compliance with standards issued by the professional and accrediting bodies responsible for licensing and certification. Certain industries are more regulated than others. For example, health care, financial services, and public utilities are all highly regulated with extensive licensing and operational standards. When a business fails to comply with all applicable regulations and standards, the business and the individuals who manage it can face a variety of sanctions, from loss of license and program certification, to civil and criminal sanctions that include monetary penalties and prison. In this assignment, you will learn how someone in your selected industry meets the challenges of current compliance requirements. It is not necessary to address all aspects of compliance in this industry or selected company. Rather, you should educate yourself in broad terms about the kinds of governmental and industry standards covering your interviewee's business, then select a few key aspects to explore in depth with...
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