ECI in the News

  • Board Oversight: Fostering An Ethically Competitive Company
    July 18, 2018, Corporate Board Member | Establishing a competitive culture and incentivizing employee performance is a critical component of any financially thriving company. But what happens when the competitive pendulum swings too far?

  • The board’s role in promoting an ethical culture
    July 1, 2018, Journal of Accountancy | Board members generally recognize their responsibility to oversee ethics and compliance, said Pat Harned, CEO of the Ethics and Compliance Initiative, a U.S. think tank. What they struggle with, she said, "[is] to know what questions to ask and what information to look for. I don't think directors are particularly well-versed in recognizing red flags."

  • Why Hollywood Needs to Lead the Way in Showing How to Create a Safer Workplace
    June 21, 2018, Variety Magazine | Ladies and gentlemen in media and entertainment, now is your time. You’ve been through a lot lately, but the eyes of the world are on you. On behalf of your fans, I implore you to make the most of it.

  • Is the World Becoming Safer for Whistle-Blowers?
    June 19, 2018, Strategy Business | It is one thing to change the law to reward or protect whistle-blowers after they have come forward. It is quite another to build a culture that encourages people to come forward in the first place. And in this regard, it is clear that there is much work to do. The most recent Global Business Ethics Survey from the Ethics and Compliance Initiative (ECI) shows the rate of retaliation against employees for reporting wrongdoing has actually doubled since 2013.

  • Criminal Trade Secret Prosecutions Under Trump—One Year Later
    June 14, 2018, Lexology  |  In early January 2017, just weeks before Donald Trump was to take the helm as the President of the United States, we assessed the government’s efforts to protect against the persistent financial and strategic threat posed by the theft of valuable intellectual property from U.S. companies by foreign agents and others.

  • Board Oversight: Fostering an Ethically Competitive Company – Part 2
    June 6, 2018, Boardroom Resources | In this episode, Larry Thompson, Chairman of the Ethics & Compliance Initiative and board member with The Southern Company & Graham Holdings Co., reminds us that behind every ethically competitive corporate culture is a strong board and management team allocating sufficient time, attention, and resources to this topic.

  • How likely are Penn Staters to report misconduct? The number has changed since 2013
    June 5, 2018, CentreDaily  |  Fifty-six percent of participants in 2017 said they'd observed misconduct, down from 58 percent in 2013.

  • Board Oversight: Fostering an Ethically Competitive Company – Part 1
    May 30, 2018, Boardroom Resources | In the first episode of our three-part series, “Board Oversight: Fostering an Ethically Competitive Company”, Patricia Harned, CEO of the Ethics & Compliance Initiative, joins host TK Kerstetter to discuss trends uncovered by their long-running survey, The State of Ethics & Compliance in the Workplace. Harned shares the good news, the bad news, and the worst news about trends in culture and ethics at today’s companies.

  • 5 Keys to Understanding and Addressing Workplace Retaliation
    May 29, 2018, Nasdaq Governance  |  An alarming trend is occurring in our workplaces; retaliatory behaviors are on the rise. According to the Global Business Ethics Survey (GBES), a longitudinal study of employees in for-profit organizations, rates of retaliation for reporting suspected wrongdoing have doubled over the past 3 years. Forty-four percent of employees who alerted management to a potential violation said that they experienced some form of retribution for having stepped forward.

  • Best IT Governance Certifications 2018
    May 24, 2018, Business News Daily | Another credential worth noting is the Leadership Professional in Ethics & Compliance (LPEC) certification from the Ethics and Compliance Initiative (ECI). ECI bills itself as the oldest ethics and compliance research organization in the U.S. Currently, ECI has 1,500 members with slightly more than half (800-825) certified.

  • Time for Companies to Establish an Independent Corporate Ombudsman
    May 18, 2018, JD Supra | Corporate commitment to speak up cultures is suffering. The Ethics and Compliance Initiative’s recent Global National Business Ethics Survey contained a critical finding – corporate instances of retaliation against employee for raising concerns doubled in the last five years.

  • Whistleblowing in Corporate America Can Lead to Retaliation
    May 9, 2018, | A recent ethics survey has revealed that whistleblowers typically face many challenges when they choose to do the right thing. The legal definition of whistleblowing is the disclosure by a person, usually an employee in a government agency or private enterprise, to the public or to those in authority, of mismanagement, corruption, illegality, or some other wrongdoing. It takes courage to report your employer, both before and after you file a complaint.

  • Episode 37 — Ethics and Compliance Trends from Recent Surveys and Studies
    May 6, 2018, Volkov Law | Two recent ethics and compliance surveys and studies provide important information on ethics and compliance program trends. The first is LRN’s 2018 Ethics and Compliance Program Effectiveness Report. The second is the Ethics and Compliance Initiative Global Business Ethics Survey.

  • Dispatches From ECI 2018
    May 3, 2018, The Radical Compliance | The Ethics & Compliance Initiative held its annual conference (now breathlessly known as IMPACT2018) in Baltimore this week, drawing more than 300 ethics and compliance professionals from all over the place.

  • Impact 2018 – ECI Annual Conference – Day 2
    May 3, 2018, The Ethical Leader | he keynote speaker for Day 2 was Neel Doshi, co-author of Primed to Perform. Based on the review of 100 years of social science studies and their own research, Doshi and McGregor demonstrate that how “why we work determines how well we work.”

  • Impact 2018 – ECI Annual Conference – Day 1
    May 2, 2018, The Ethical Leader | Those of us attending Day 1 of the ECI annual conference yesterday had the pleasure of listening to Stephen Covey describing the importance of trust in organizations.

  • Does Your Enterprise Have An Ethical Culture?
    ECI CEO, Patricia Harned, interview with the Financial Management Network
    April 30, 2018, Financial Management Network

  • Retaliation on the Rise; How Should Companies Respond?
    April 14, 2018, Program on Corporate Compliance and Enforcement at New York University School of Law | Avoiding retaliation for reported workplace misconduct is essential for companies and enforcement officials. Companies are accountable not just for their bad acts, but also for the cover up, including how they respond to allegations.

  • Workers Feel Increasingly Pressured to Compromise Ethical Standards, Says ECI
    April 9, 2018, Triple Pundit | The pressure on employees to make unethical choices in work settings is on the rise. According to a survey conducted by the nonprofit Ethics and Compliance Initiative (ECI), an increasing number of employees feel pressured to “bend the rules” these days in order to safeguard their jobs.

  • Patricia Harned on Ethics Compliance and Corporate Conflicts
    April 4, 2018, Corporate Crime Reporter | Reporting of suspected wrongdoing in organizations nationally has reached a historic high, while rates of retaliation for reporting of suspected wrongdoing have doubled in the last two years.

  • Audit our ethics
    April 1, 2018, The Week | Speaking at a function in Chennai the other day, a former minister declared that “the nation faces a deficit of ethics”. This observation is one that would make all right-thinking Indians hang their heads in shame.

  • ECI’s New Business Ethics Survey Confirms Misconduct Rates Declining — But Retaliation Rates Increasing
    March 30, 2018, Volkov Law | The Ethics and Compliance Initiative recently released the results of its global business ethics survey. (Download Copy Here). The last survey was conducted in 2017 and ECI’s survey provides important and valuable insights into corporate metrics and compliance, focusing on misconduct issues.

  • Employees more likely to report wrongdoing, suffer retaliation, compliance survey finds
    March 27, 2018, mlex Market Insights  |  Employees have become more likely to report corporate misconduct when they see it, according to a survey conducted by the Ethics & Compliance Initiative. The downside: Their employers are also likely to retaliate.

  • Inside the Whistleblower's World
    March 2018, State Bar of Winsconsin | Whistleblowers play a vital role in calling attention to bad behavior and trying to prevent its recurrence. Here, learn their motivations and how best to represent them.

  • Building A More Ethical Workplace Culture
    PYMNTS, March 20, 2018 | It’s hard to blame anyone for feeling less inspired by workplace ethics these days. The run of recent headlines could convince even a naturally upbeat sort of person that workplace ethics, at best, are severely ailing these days – and at worst, are an actual oxymoron.

  • SEC Awards $88M to 3 Whistleblowers
    National Law Review, March 20, 2018 | On March 19, 2018, the SEC issued an order authorizing $83M in whistleblower awards to three claimants and denying awards to other claimants (March 19 Order). This order authorizes the largest payments to date under the SEC’s whistleblower-reward program and brings the total payments to whistleblowers to more than $262M.

  • Reducing risks with brand and culture
    The Ethical Leader, March 20, 2018  | As ethics & compliance professionals, our goal is to mitigate business risks. Many of us follow the model developed in 2007 by the Ethics Resource Center (now the Ethics & Compliance Initiative). Essentially, the model shows that a well-implemented compliance program combined with an ethical culture leads to reduced risks.

  • ECI releases report on state of ethics in large companies
    MLex, March 19, 2018 |  The Ethics & Compliance Initiative on Monday released a report on “The State of Ethics and Compliance in the Workplace.” The study finds that large companies can improve their integrity by implementing effective ethics and compliance programs to reduce employee misconduct and improve every key measure of workplace behavior. According to ECI, large companies with effective programs face half of the rules violations as those without effective programs.

  • Ethics Survey Reveals Increase in Perceived Whistleblower Retaliation and Increased Pressure to Compromise Ethical Standards
    The National Law Review, March 19, 2018 | The Ethics & Compliance Initiative has released a Global Business Ethics Survey (GBES) that includes several significant findings that are consistent with what we are observing in our practice representing whistleblowers in SEC whistleblower rewards and Sarbanes-Oxley whistleblower retaliation claims.

  • The Morning Risk Report: Whistleblower Retaliation Rising
    Wall Street Journal, March 19, 2018 | Employees at U.S. companies are seeing misconduct less often but they are reporting suspected problems and being punished for it in ever-greater numbers, according to a survey of 5,101 workers by the Ethics & Compliance Initiative.

  • Wanted: Ways to Communicate a New Direction for Workplace Ethics
    March 14, 2018
    There has been a lot of talk about the recent “Me Too” and “Time’s Up” movements, but at least one organization insists those words still need to be followed up by more action.

  • More Whistleblowing, But Also More Retaliation
    March 19, 2018 |
    For CFOs that are trying to instill a culture of ethics at their companies, the Ethics and Compliance Initiative (ECI) has good and bad news. Unfortunately, there’s more bad news than good.
  • New ECI Report on Complaints, Retaliation
    Radical Compliance, March 13, 2018 | The Ethics & Compliance Initiative published its 2018 Global Business Ethics Survey today, with both good and bad news for corporate compliance officers nudging their companies to higher standards of conduct.

  • Sexual Harassment Training: The Do’s and Don’t’s
    Bloomberg Law, February 2018

  • Whistleblower Ruling Adds a Risk for Companies
    Wall Street Journal, February 23, 2018

    Those already with good processes in place have little reason for concern, said Patricia Harned, chief executive officer of the Ethics & Compliance Initiative, a group that conducts research and helps organizations develop compliance programs.

    Potential whistleblowers tend not to think about their legal rights until they consider turning to the government, she said, noting ECI research shows the vast majority of people who report wrongdoing do so within their firm.

  • An unethical place: Waning ethics in India’s private sector
    The Indian Express, February 12, 2018

    Ask any international businessman or investor about India and the word “difficult” is bound to pop up. Seventy years after Independence and more than 25 years after landmark economic reforms, India, despite its many obvious attractions, is seen as a tough place to do business in.

  • Featured Expert Pat Harned, CEO of the Ethics and Compliance Initiative
    Ethical Systems, February 5, 2018

    For many years, ECI has been a leader in providing research, resources and communities of practice for business ethics leaders. What do you see on the horizon for the organization as it helps companies elevate their E&C programs?

  • Dr. Patricia Harned, ECI, CEO on Price of Business Radio
    January 26, 2018

  • ECI Fellows Meeting – Day 1
    The Ethical Leader, January 11, 2018

    The ECI Fellows are currently meeting to discuss root cause analysis (RCA) and how to apply it in the E&C function. Here are some of my notes from Day 1...

  • How to make it easier for women to report sexual harassment
    Quartz At Work, January 3, 2018

    In December of 2002, Time featured three women whistleblowers on the cover of its “person of the year” issue, noting that in “a year when our trust in American institutions was tested, Sherron Watkins of Enron, Coleen Rowley of the FBI and Cynthia Cooper of WorldCom found the strength to stand for what’s right.”

  • Waiting on watchdogs
    Bloomberg Government, December 20, 2017

    The confirmation hearings of presidential appointees have been front page news of late, mostly because of the foibles of some of the nominees. Without question, the task of filling positions after a Presidential transition is a daunting task. The Trump Administration has more than 4000 posts to fill; 1200 of which require Senate confirmation. To date, 496 nominations have been made; just over half (261) have been confirmed.

  • Lead by example: the many benefits of ethical leadership
    Board Agenda, December 14, 2017

    Corporate culture has become a subject of significant discourse lately, and it’s to no-one’s surprise given the seemingly perpetual headlines of corporate misconduct. The good news is that since the Sarbanes-Oxley Act 2002 was passed, an ethics and compliance industry has ossified and bestowed us with incredible research and guidance to give these issues a larger audience, and our profession a louder voice.

  • Ethical Leadership: The Pathway to Organizational Integrity
    Brink News, November 30, 2017

    In the last five years, corporate directors in the U.S. and Canada have come down hard on CEOs responsible for ethics infringements in their organizations. During that time, the number of executive officers fired for improper conduct more than doubled, irrespective of who was guilty of the wrongdoing.

  • Identifying and Training Ethical Leaders
    Training Industry, November 28, 2017

    The Ethics and Compliance Initiative (ECI) recently released a report, “Ethical Leadership Around the World and Why It Matters,” as part of its Global Business Ethics Survey. Among the results, researchers found that ethical leadership is key to lowering ethics and compliance risk.

  • While the Cat's Away (Subscription Only)
    Ethical Boardroom Magazine, Autumn 2017

    When I was 10 years old, my mother took a full-time job in a nearby office so that she could provide a second source of income for our family. My siblings and I were old enough not to need a babysitter, so every day after school we became ‘latch-key’ kids – at home without supervision.

  • Anti-Fraud Collaboration encourages reporting on financial misconduct
    Accounting Today, November 16, 2017

    The report cites a recent survey from the Ethics & Compliance Initiative that found 22 percent of global workers reported pressure to compromise their standards.

  • Marketing & Sales Law + Ethics, Compliance & Organisational Culture with Dr Patricia Harned and Steven Cavallo
    The Business Firm Podcast, October 31, 2017

    Steven Cavallo interviews Dr Patricia Harned CEO of Ethics & Compliance Initiative on corporate ethics and how good regulatory governance and workplace culture leads to profit and success.

  • Taking the Higher Ground of Ethics Easier Said Than Done (Subscription Only)
    The Accountant, November 3, 2017

  • An Ethics Expert on How Hollywood Can Fight Toxic Work Culture
    Variety Magazine, October 26, 2017

    I have always been a movie buff. Action/adventure, romcom, thriller, drama…I cannot think of a single instance where I did not enjoy the moviegoing experience. Even when the film was terrible.

  • Certainty in uncertain times
    Financier Worldwide Magazine, November 2017

    Every change in leadership brings uncertainty. How will the new boss lead? What will be most important? Which activities will drop in priority? What will it mean for me? Now more than ever, these are the kinds of questions that are being asked about the change in leadership of the US federal government.

  • Boards urged to seek compliance data reports
    Corporate Secretary, October 18, 2017

    ECI chief recommends proactive compliance and ethics stance by directors.

  • Boards Warned to Stay Compliant Amid Enforcement Slowdown (Subscription Only)
    Agenda, A Financial Times Service, October 10, 2017

  • New Research on Impact of Leadership on Ethical Corporate Cultures. David Childers of ECI Explains.
    ComplyEthic Masters of Disaster Podcast, October 9, 2017

  • "See No Evil? 75% of Employees Doubt Colleagues' Ethics" (subscription only)
    Ignites, October 2, 2017

    While the onus is on senior leaders to build an ethical culture and promote civility in business practices, workers at every level can also play a role, says Patricia Harned, CEO of the Ethics & Compliance Initiative, a research and consulting organization based in Arlington, Va..

  • Reparation and redress: ethical solutions to graceless governance
    Financier Worldwide Magazine, October, 2017

    “Without question, organisations and organisational behaviour is more closely scrutinised today than ever before,” affirms Dr Patricia Harned, chief executive of The Ethics and Compliance Initiative (ECI).“

  • Business Talk with Jim Campbell
    Biz Talk Radio, September 10, 2017

    Jim Campbell and ECI CEO, Pat Harned, discuss building cultures of strong ethics and integrity in corporate America.
  • Shops Can Outsource Compliance, but Not Risk
    Ignites (subscription only), September 8, 2017

    A North Carolina–based outsourced CCO last month agreed to pay a $30,000 penalty to settle claims that he filed inaccurate and untimely reports to the Securities and Exchange Commission on behalf of two advisor clients, according to a regulatory order.

  • Ethics and Compliance Training, What Gets Results?
    Richard Bistrong, September 6, 2017

    Interview with Dr. Patricia Harned, Chief Executive Officer of the Ethics & Compliance Initiative (ECI).
  • France Cracks Down on Corruption with New Law - Bienvenue, Sapin II
    Corporate Compliance Insights, August 30, 2017

    According to the Ethics & Compliance Initiative’s (ECI’S) 2016 Global Business Ethics Survey (GBES), on average 17 percent of business employees around the world observe some form of corruption happening in their workplace each year, including the giving and receiving of bribes, kickbacks and other inappropriate gifts.

  • Best IT Governance Certifications
    Tom's IT PRO, August 22, 2017

    Another credential worth noting is the Leadership Professional in Ethics & Compliance (LPEC) certification from the Ethics and Compliance Initiative (ECI).
  • Compliance Official Settles SEC Claims Over Faulty Filings
    Bloomberg BNA, August 22, 2017

    North Carolina-based chief compliance officer David Osunkwo agreed to pay $30,000 to resolve Securities and Exchange Commission allegations he caused two affiliated investment advisers to file registration forms that overstated their combined assets under management by more than $119 million.

  • CEOs Take on POTUS: What's the board's role?
    Directors & Boards, August 15, 2017

    "Certainly CEOs are feeling a stronger need to speak," says Patricia Harned, chief executve officer of the Ethics & Compliance Initiative, about executives taking social stands publicly.

    There has to be an element of trust by the board in the person who's leading a company, she stresses.
  • Lessons From Uber’s Governance Breakdown
    Private Company Director, August 15, 2017

    The latest developments in the Uber saga, including a legal complaint against the former CEO and shareholder feuding, are just another sign of how the ride-hailing company could have benefited from strong ethics guidelines.

    And to be effective, those guidelines would have to have strong board oversight, maintains Patricia Harned, Chief Executive Officer of the Ethics & Compliance Initiative (ECI).
  • How to Make Ethics Training Stick
    Associations Now, August 14, 2017

    Training on ethics is important, but how can you make sure it has an impact? Step one, according to one study: Get the exec in the room. Ethics matters. On this, everybody agrees. The CEO will tell you that. The ethics seminar leader will tell you that. Even the staffer who was catching up on email while half-listening to that last ethics webinar everybody had to watch will tell you that.
  • Inspiring Sustainability Podcast #009
    Inspiring Sustainability, July 31, 2017

    Pat Harned of the Ethics & Compliance Initiative tells us how 'culture trumps compliance'.
  • Executives Lack Faith in Employees Reporting Ethical Issues (subscription only)
    Bloomberg Law, July 2017

    Less than a third of corporate executives polled by Deloitte are confident that their employees will blow the whistle on unethical behavior.
  • Vacant positions leave Washington without watchdogs
    The Hill, July 27, 2017

    On July 6, when Walter Shaub announced that he was resigning from his position as Director of the US Office of Government Ethics (OGE), America lost another important “watchdog.” Until very recently, most Americans probably heard the that term and pictured a canine with sharp teeth and lots of slobber, growling and ready to pounce. Hopefully that understanding has changed.
  • When it Really Matters, Show the Leadership Flag: In-Person and Online Compliance Training
    Training Industry, July 18, 2017

    We all know the challenges of in-person training. Time out of the office, travel costs and scheduling nightmares, not to mention the cost of the training itself, make it pricey and, these days, one of the first line items cut when budgets are tight. New research from the Ethics & Compliance Initiative (ECI) shows that live, in-person training is more effective than self-directed training for certain content and that the visible presence of senior leaders at any type of training significantly increases effectiveness.
  • Pat Harned guides ethics in business
    Ethical Performance, July 18, 2017

    Pat Harned leads the Ethics and Compliance Initiative (ECI), regularly engaging with leaders of global corporations and the US Department of Justice as well as testifying before Congress. She was named one of the ‘100 Most Influential People in Business Ethics’ in 2014. In this conversation, she shares how culture trumps compliance, the key to reducing corporate risk and her volunteer role as a baby cuddler.
  • Corporate culture: five questions for the boardroom
    Board Agenda, July 17, 2017

    Responsibility for safeguarding corporate culture falls with board directors, but how can that be done effectively? A good start would be to ask yourselves the following questions at every board meeting.
  • When the Boss Wants You to Do Something Unethical
    New York Times, July 7, 2017

    Patricia Harned, the chief executive of the Ethics and Compliance Initiative, said most people who go this route only do so after exhausting their internal options without seeing results.
  • Leading School Accreditor Sees Expansion Opportunity Under ESSA
    Education Week, June 19, 2017

    Nonprofits have an ethical obligation to set up firewalls between potentially conflicting revenue generators, said Patricia Harned, the CEO of the Ethics and Compliance Initiative, a research group that publishes best practices for nonprofit organizations.
  • Wall Street Journal Survey Roundup
    Wall Street Journal, July 6, 2017
    Face To Face: A report from research organization Ethics and Compliance Initiative and KPMG found training on culture, values and integrity is more effective when conducted in person.
  • FMN: Is Your Organization's Culture "Ethical"?
    FMN July 2017 Segment 4 - Andrea Bonime-Blanc on Establishing an Ethical Organizational Culture
    All groups (and just about every leader) want to be regarded as ethical. However, having a strong integrity program will not, by itself, ensure ethical behavior in an organization.
  • An Open Letter to Arianna Huffington
    Huffington Post, June 27, 2017

  • Executive Leaders Radio interview with ECI CEO, Pat Harned (interview with Pat starts at 45:25)
    Federal News Radio, June 10, 2017

  • Building an Ethical Culture and Promoting Integrity with Dr. Pat Harned
    Originally aired June 8, 2017 on Sirius XM Channel 111, Business Radio Powered by The Wharton School

  • Assessing corporate compliance programmes
    Ethical Boardroom, May 31, 2017

    Corporations and their shareholders are well served in the long run by a corporate culture that emphasises compliance with the laws and regulations that the company is subject to and the ethical standards expected in the industry.
  • America's Five Governance Experts Share Perspective On Boards
    Forbes, May 22, 2017

    Warren Buffett once said, “I don’t look to jump over 7-foot bars; I look around for 1-foot bars that I can step over.” Perhaps the same practical wisdom holds true with how boards can identify solutions to function at a higher level. In this article, my intent is to share important perspective so that you may elevate your board.

    From 750 CEOs of American corporations I have interviewed, I’ve selected five executives who have impressed me with their wisdom and vision on board governance. Below you’ll hear their exact words providing insights like the three reasons why a company should substitute the CEO/executive chairman model with an independent nonexecutive chairman. The five experts are...
  • FCPA Compliance Report-Episode 327, Pat Harned on highlights from the ECI 2017 conference
    FCPA Blog, May 16, 2017

    In this episode, Pat Harned, Chief Executive Officer of the Ethics and Compliance Initiative discusses the speech of Attorney General Jeff Sessions and the panel of former Deputy Attorney Generals, as well as some of the other Key Note speaking session highlights. She also details some of the upcoming ECI events for 2017.
  • AG Sessions: Department of Justice will ‘strongly enforce’ FCPA
    Compliance Week, April 27, 2017

    In remarks at the Ethics and Compliance Initiative Annual Conference, AG Sessions said, “[U]nder my leadership, the Department of Justice remains committed to enforcing all the laws. That includes laws regarding corporate misconduct, fraud, foreign corruption, and other types of white-collar crime.”
  • Video: Ethics and Compliance Initiative Conference, Part 2
    C-Span, April 24, 2017

    Former deputy attorneys general from the Clinton, George W. Bush, and Obama administrations spoke at the Ethics and Compliance Initiative’s annual conference. They talked about their time working in the Justice Department and their approaches to tackling corporate corruption and having a nonpartisan approach in a politically partisan environment.
  • Video: Ethics and Compliance Initiative Conference, Part 1
    C-Span, April 24, 2017

    Attorney General Jeff Sessions delivers remarks at the Ethics and Compliance Initiative’s conference. He talked about his approach to ethics and the Justice Department.
  • Video: Ethics and Compliance Initiative Conference, Part 2
    C-Span, April 24, 2017

    Former deputy attorneys general from the Clinton, George W. Bush, and Obama administrations spoke at the Ethics and Compliance Initiative’s annual conference. They talked about their time working in the Justice Department and their approaches to tackling corporate corruption and having a nonpartisan approach in a politically partisan environment.
  • Attorney General Jeff Sessions Delivers Remarks at Ethics and Compliance Initiative Annual Conference
    US Department of Justice, April 24, 2017

    Remarks as prepared for delivery.
  • Attorney General Sessions reemphasizes DOJ commitment to FCPA enforcement, individual accountability: 4 takeaways for business
    DLA Piper, April 26, 2017

    As the Trump Administration wraps up its first 100 days, practitioners have a bit more clarity regarding how the new Administration will assess corporate compliance programs, cooperation and white collar cases. Over the past few weeks, senior Department of Justice officials have consistently touted the Administration's continuing commitment to enforcing the Foreign Corrupt Practices Act (FCPA) and rewarding effective compliance programs.
  • AG Sessions: ‘We will continue to strongly enforce the FCPA
    The FCPA Blog, April, 25, 2017

    Attorney General Jeff Sessions said Monday that enforcing the Foreign Corrupt Practices Act is critical to protecting honest companies from competitors who choose to pay bribes.

    Sessions, speaking at the Ethics and Compliance Initiative Annual Conference in Washington, DC, said corruption "increases the cost of doing business and hurts honest companies that don’t pay these bribes."
  • Sessions Backs Individual Accountability in Corporate Cases
    Bloomberg BNA, April 25, 2017

    The Justice Department won’t shy away from holding executives accountable for corporate malfeasance, Attorney General Jeff Sessions said April 24, continuing the Obama DOJ’s emphasis on individual accountability.

    Speaking in Washington, Sessions said he isn’t opposed to bringing cases against companies. The DOJ, however, should prosecute corporate officials if their actions are damaging their businesses, he said. Sessions also said the DOJ will continue to strongly enforce the Foreign Corrupt Practices Act and other anti-corruption laws.
  • Sessions: DOJ to Target Individuals Responsible for Bad Corporate Behavior
    The Street, April 24, 2017

    Attorney General Jeff Sessions Monday vowed to target individuals responsible for corporate malfeasance and will exercise restraint in penalizing corporations that have established credible legal compliance programs to safeguard against wrongdoing.
  • Sessions says US will not back down on white-collar crime
    Financial Times, April 24, 2017

    “We will enforce the law. We’re not going to back down to powerful forces, big companies or powerful economic interests,” Jeff Sessions told an audience of corporate compliance officers in Washington.
  • Sessions Says DOJ Won't Forsake White Collar Enforcement
    Law 360, April 24, 2017

    U.S. Attorney General Jeff Sessions said in a speech Monday that the new administration will not bring a sea change in white collar enforcement, saying the U.S. Department of Justice “will continue to investigate and prosecute corporate fraud and misconduct.”
  • Sessions Vows to Enforce an Anti-Bribery Law Trump Ridiculed
    NY Times, April 24, 2017

    Attorney General Jeff Sessions vowed on Monday that the Trump administration would vigorously prosecute white-collar crime amid concerns that such cases would fall by the wayside in favor of higher-profile priorities like violent crime and illegal immigration.
  • Sessions Puts White-Collar Focus on Individual Prosecution
    National Law Journal, April 24, 2017

    U.S. Attorney General Jeff Sessions gave a rare glimpse into his philosophy on white-collar crime Monday, putting an emphasis on holding individuals accountable for crimes instead of companies.
  • Sessions: Focus on violent crime doesn’t mean lax enforcement for white-collar offenses
    Washington Post, April 24, 2017

    Attorney General Jeff Sessions vowed Monday not to diminish the Justice Department’s focus on corporate fraud, asserting that a vigorous interest in violent crime would not diminish its long-standing mission to prosecute white-collar offenders.
  • AG Jeff Sessions Delivers Address on White Collar Crime
    Breitbart, April 24, 2017

    Attorney General Jeff Sessions on Monday again used a speech to push his tough-on-crime message.

    The Ethics and Compliance Initiative (ECI), an association of lawyers, academics, and other professionals in the world of corporate compliance, invited the new attorney general to address their annual conference in Washington, DC. Sessions was introduced by Larry Thompson, the organization’s board chairman.
  • Sessions continues to push tough-on-crime message
    Washington Examiner, April 24, 2017

    Attorney General Jeff Sessions on Monday again used a speech to push his tough-on-crime message.

    Speaking at the Ethics and Compliance Initiative's Annual Conference in Washington, D.C., the nation's top law enforcement officer reiterated the need "to turn back the recent surge in violent crime."
  • Sessions: We'll go after white-collar criminals too
    LA Times, April 24, 2017

    Ethics and compliance officers have a new resource by which to assess potential risks that may lurk in their supply chains. The Ethics and Compliance Initiative (ECI) last month published its “Global Business Ethics Survey (GBES), Ethics and Compliance Risk in the Supply Chain,” which offers a rare look at supply chain risk through the lens of supply firm employees.
  • Sessions Promises DOJ Crackdown On White Collar Crime
    Daily Caller, April 24, 2017

    Ethics and compliance officers have a new resource by which to assess potential risks that may lurk in their supply chains. The Ethics and Compliance Initiative (ECI) last month published its “Global Business Ethics Survey (GBES), Ethics and Compliance Risk in the Supply Chain,” which offers a rare look at supply chain risk through the lens of supply firm employees.
  • U.S. Attorney General Stresses Continued FCPA Enforcement
    Wall Street Journal, April 24, 2017

    The U.S. attorney general stressed Monday that prosecutors won’t relent in their pursuit of foreign-bribery cases.

    Attorney General Jeff Sessions said at a corporate compliance conference in Washington, D.C., that the Justice Department will continue to strongly enforce the Foreign Corrupt Practices Act and other anti-corruption laws, enabling “an even playing field” for law-abiding companies.
  • New report offers risk profile of ‘supplier employees’
    Compliance Week, January 24, 2017

    Ethics and compliance officers have a new resource by which to assess potential risks that may lurk in their supply chains. The Ethics and Compliance Initiative (ECI) last month published its “Global Business Ethics Survey (GBES), Ethics and Compliance Risk in the Supply Chain,” which offers a rare look at supply chain risk through the lens of supply firm employees.
  • Wall Street Journal Risk & Compliance Survey Roundup: Outsourcing Raises Compliance Risks
    Wall Street Journal, December 19, 2016

    Extended supply chains and the “gig economy” are here to stay but both trends engender risks from being at arm’s length from the core business. A survey on supply chain ethics and compliance by the Ethics & Compliance Initiative, a standards and research organization, and advisory firm FTI Consulting finds a significantly higher observation of misconduct by employees among supplier companies than non-suppliers, and also a much higher proportion of workers who were pressured to bend the rules.
  • Wall Street Journal Risk & Compliance Survey Roundup
    Wall Street Journal, December 16, 2016

    A survey by FTI Consulting and the Ethics & Compliance Initiative of employees found 42% whose companies make extensive use of third-party suppliers and contractors said they had witnessed misconduct on the job, compared to 28% who saw wrongdoing at non-supplier companies.
  • Why Ethical People Make Unethical Choices
    Harvard Business Review, December 16, 2016

    Corporate ethical failures have become painfully common, and they aren’t cheap. In the last decade, billions of dollars have been paid in fines by companies charged with ethical breaches. The most recent National Business Ethics Survey indicates progress as leaders make concerted efforts to pay holistic attention to their organization’s systems. But despite progress, 41% of workers reported seeing ethical misconduct in the previous 12 months, and 10% felt organizational pressure to compromise ethical standards.
  • Local nonprofits add safeguards against fraud
    Beaumont Enterprise, December 6, 2016

    Pat Harned, chief executive officer at the Ethics and Compliance Initiative researching workplace integrity, said that nonprofits have a bigger risk because they lack the internal controls of for-profit concerns.
  • Integrating ethics in the workplace
    The Manila Times, October 27, 2016

    This year, the Ethics & Compliance Initiative (ECI) conducted and released its first Global Business Ethics Survey. ECI is a leader in ethics and compliance research; it provides networking opportunities, and certification to its members. In the Global Business Ethics Survey, it investigated workers’ experiences with ethics in the workplace, using four metrics: Pressure to compromise organizational standards; Observed misconduct; Reporting misconduct when observed; and Retaliation against reporters.
  • The L’Oréal Group’s ethics policy: a first for Europe
    L’Oréal, The Monthly Digest, October 2016

    In January 2016, Emmanuel Lulin, Senior Vice President & Chief Ethics Officer of L’Oréal, became the first European senior executive to receive the Carol R. Marshall award for Innovation in Corporate Ethics. Read on to learn about his strategy to make L’Oréal a global model in corporate ethics.
  • Regulators Need to Walk the Walk in Supporting Whistleblowers
    American Banker, October 6, 2016
    As Congress has held hearings about the unfolding Wells Fargo scandal, several lawmakers have been particularly outraged by claims from numerous former employees that they faced retaliatory firing after trying to stop the improper practices by complaining to bank managers, human resources and compliance staff. 
  • What Boards Should Look for in Corporate Ethics and Compliance Programs
    National Association of Corporate Directors, August 23, 2016

    One of the board‘s key responsibilities is the oversight of a company’s conduct, including the strength of its culture and the effectiveness of its ethics & compliance (E&C) program. In recent years, that responsibility has become even weightier. Recent corporate scandals, such as Volkswagen, Unaoil, and Mitsubishi Motors, have created public skepticism about business ethics, and policy makers have responded with a new emphasis on accountability for both companies and responsible individuals, including directors who are either negligent in preventing fraud or willingly participate in it. Enforcement agencies now scrutinize a company’s E&C efforts before making prosecutorial decisions by inquiring about board oversight in the company’s approach to E&C.
  • To really improve corporate culture, it must be measurable
    Compliance Week, August 22, 2016

    Douglas W. Hubbard, who developed Applied Information Economics as a practical application of scientific and mathematical methods to complex decision making, goes out further on a limb when it comes to measurement.

    According to Mr. Hubbard: “Anything can be measured. If something can be observed in any way at all it lends itself to some type of measurement method.
  • Drawing Lessons from the VW Debacle 
    Human Resource Executive, August 1, 2016

    Before you shake your head in disbelief at how badly scandal-damaged Volkswagen must have been managed, you might want to first ask yourself a few questions to ensure that your organization has the mechanisms in place to avoid a similar fiasco.


  • Have Global Compliance Problems? You're Not Alone, June 9, 2016

    Companies operating in Brazil, India and Russia face heightened ethics and compliance risks, according to a global survey of 13 countries.

    The 2016 Global Business Ethics Survey, released Thursday by the Ethics & Compliance Initiative (ECI), revealed that more public- and private-sector workers in Brazil, India and Russia reported seeing misconduct and experiencing pressure to compromise standards than their counterparts in 10 other participating countries. Feeling pressure to compromise standards is considered a warning sign of potential future workplace misconduct, the study’s researchers said.
  • What the Data Shows: A Global View of Workplace Integrity
    Ethisphere, June 9, 2016

    Often, new business challenges emerge when companies start taking advantage of growth opportunities in different markets. Whether it’s uncovering a new breed of corruption or third party oversight, companies are continuously faced with a myriad of risks. In countries such as Brazil, India, and Russia, for example, workplace integrity remains at an all-time low and employees are feeling pressured to compromise ethical standards at the cost of business, says a new report by the the Ethics & Compliance Initiative (ECI).
  • New report: Promoting workplace integrity globally
    Compliance Week, June 9, 2016

    Ethics and compliance officers seeking more guidance on how to achieve and promote workplace integrity—doing what’s right in a professional context—now have a new, first-of-its-kind benchmark report at their fingertips, released today by the Ethics & Compliance Initiative.
  • People Do Really Bad Things At Work Because Their Companies Tell Them To
    Fast Company, June 9, 2016

    If you witnessed ethical misconduct at work last year, you're not alone. Across the world, large numbers of people report seeing workplace bribery, lying, cheating, and verbal abuse, a new poll finds.
  • The Most Ethical (And Unethical) Countries To Do Business In
    Forbes, June 9, 2016

    What do Japan, Spain and Germany have in common? And what do Russia, Brazil and India have in common?

    They’re at the top and bottom, respectively, of a new global survey.
  • Giving Boards Balance as Regulatory Demands Grow
    New York Times, May 20, 2016

    A germinal governance issue for many regulated companies is not whether their boards should be spending more time on compliance issues, but rather that they should be spending less time.

    It is an emotional reaction to the unceasing public policy, regulatory and media focus on corporate compliance — and the extent to which compliance matters are consuming the boards’ agendas, to the potential detriment of governance effectiveness.
  • 6 Milestones That Continue To Shape Corporate Compliance
    Law 360, May 12, 2016

    Compliance officers are vital corporate leaders in just about every organization of a certain size or industry, but just a few decades ago they — and the programs they lead — were virtually nonexistent. Here, experts discuss how compliance rose to prominence in corporate America and the recent developments that give us a preview of where it’s headed.
  • New gold standard for ethics and compliance programs
    Compliance Week, May 3, 2016

    For years, ethics and compliance officers have turned to the U.S. Sentencing Guidelines, and other similar frameworks, to inform their ethics and compliance programs to prevent and detect violations of law.
  • How to make your compliance programme the best it could be
    April, 26, 2016

    According to a new, and well researched report from ECI, there are five core purposes behind any really effective compliance program, regardless of the industry sector. These purposes are “beyond compliance”, that is they are not confined to a mere “tick box” approach.
  • What All Good Compliance Programs Have in Common
    April, 25, 2016

    A first-of-its-kind report released April 25 offers a road map for creating high-quality compliance programs, no matter the company's size.
  • Insiders Break Down The Compliance Program Done Right
    April, 25, 2016

    The hallmarks of a top-notch corporate ethics and compliance program are organization-wide leadership, integration and accountability, according to a new report written by compliance officers, law firm partners and former U.S. Department of Justice officials examining what companies should aim for in their program.
  • Developing a High-Quality E&C Framework in a Changing Landscape
    April, 25, 2016

    Establishing and implementing a robust Ethics and Compliance (E&C) program remains a key issue that many leaders face. Regardless of its sector or size, the landscape in which companies operate is evolving and despite the layers of complexities it presents, leaders want to ensure that their business is being done in the right way. While some companies strive to go beyond hitting the bare minimum regulatory standards, the truth is there are fundamental characteristics that contribute to high-quality ethics and compliance programs.
  • How to Create a Top-Notch Compliance Program
    April, 25, 2016

    A report released Monday by the Ethics and Compliance Initiative aims to provide a roadmap for companies looking to develop an ethics and compliance program that moves beyond the bare minimum requirements of the U.S. Department of Justice’s sentencing guidelines. The report was prepared by a panel of chief compliance officers, former regulators and lawmakers and other thought leaders in the area of ethics and compliance.

    The report lays out five key tenets found in what the authors considered the best and most high-quality ethics and compliance programs.
  • Bentley on Bloomberg: Why Ethics Matter for Companies And College Students
  • Cross the Boss
  • July 24, 2015

    Hugh (whose name has been changed to protect his identity) was employed as a manager for a San Francisco nonprofit—until he reported negligence and theft on part of his supervisor and co-workers. Shortly after, he was laid off as “a cost-saving measure due to the charity’s sudden loss of an income stream,” although he believes he was retailed against by his employer.

  • July 22, 2015
    Bozeman Daily Chronicle

    How does Bozeman’s 350-employee city government do when it comes to ethical conduct?

    A study by a Montana State University researcher seeking to answer that question, presented to city commissioners this week, turned up some good news — and also some findings that city leaders say shows there’s room for improvement.

  • April 21, 2015

    Financial reporting fraud is relatively rare, but it remains a serious challenge. Research from the Committee of Sponsoring Organizations of the Treadway Commission (COSO) has indicated that the median cumulative monetary loss resulting from instances of this type of fraud is around $12 million.[1]

  • March 12, 2015

    It might seem as though what you do outside the office doesn't affect how people in the firm see you as a leader. But it turns out your personal character plays a huge role in your ability to lead an organization with integrity. 

  • February 20, 2015
    Washington Post

    According to the Ethics Resource Center, each year almost half of U.S. employees report witnessing unethical or illegal behaviors in their workplaces. The costs of these lapses in ethics can be costly both in terms of financial metrics (fines for fraud, bankruptcies, etc.) and employee morale. Also, according to the Great Place to Work Institute report in 2012, the stock price growth of the 100 firms with the most ethical cultures outperformed stock market and peer measures by almost 300 percent.

  • February 20, 2015

    What do employees, in the aggregate, think about the ethics of business leaders?  As a former executive, I always felt, when I was in the corporate world, that this question was an intriguing one.  A reasonably perceptive observer couldn’t help but notice that while many leaders were exemplary role models that employees naturally wanted to follow, others took advantage of their positional power and seemed to be chronically above the rules they asked others to play by.

  • February 9, 2015
    International Business Times

    For seven years, Hervé Falciani was on the lam, playing cat-and-mouse with Swiss police as he hopped surreptitiously across European borders. He drove rented cars and wore eccentric disguises, fancying himself a sort of James Bond-style operative. He found strategic allies among French and Spanish authorities and reportedly courted the U.S. Department of Justice before being arrested in Barcelona in 2012.

  • August 15, 2014
    Inside Counsel

    Some 21 percent of employees who reported misconduct faced retaliation

    There is a renewed effort to clarify the protections given to corporate whistleblowers by the Government Accountability Project (GAP) and the Labaton Sucharow law firm.

    The project has asked the Securities and Exchange Commission (SEC) to clarify rules on how corporations could silence whistleblowers via confidentiality agreements and other methods.

  • August 7, 2014
    JDSupra Business Advisors

    A recent blog post by Ethics Resource Center  President Pat Harned, reported on findings from the ERC 2013 National Business Ethics Survey (NBES) of significantly more observed misconduct in companies that are under stress during mergers, acquisitions and organizational restructurings. The survey found that companies undergoing change, on average, had a 21.5 percent increase in observed misconduct.

  • August 4, 2014

    On July 30, 2014, David W. Ogden, former Deputy Attorney General of the United States and current partner with WilmerHale, urged Congress to amend the False Claims Act while testifying before the U.S.


    Risky Business: Millennials At Work

    August 1, 2014
    Chief Learning Officer

    I’m a rule follower. I color between the lines, follow a schedule, know my boundaries. But that’s unusual for my generation. An Ethics Resource Center report on generational differences in workplace ethics found that millennials are the most at-risk generation in today’s workplace. I believe it. Gen Y take big risks in their personal and professional lives (but not financially). They’re entrepreneurial daredevils.



    4 ways to stop whistleblowers before they become whistleblowers
    As the government makes it easier for hospital employees to report fraud and quality issues, and social media gives disgruntled employees an outlet to air dirty laundry, hospitals must work with employees to make them feel comfortable addressing concerns internally, Hospitals & Health Networks reported.