Compliance in Whoville Dont Be a Grinch December 19, 2017 Does - PowerPoint PPT Presentation

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

You Already K y Know Potential Consequence Co ces • 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

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??!! Palmetier Law, LLC 12/19/2017

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 • Drug Free Workplace • International Trade • Code of Conduct • Safety & Health • Export Control • Conflicts of Interest • Counterfeit Parts • Improper Use of • Gifts/Bribes/Corrupti • Cybersecurity Resources on • Procurement • Protection of • Equal Employment Integrity Information Opportunity • Truth in Negotiations • Records Retention • Service Contract Act Act • Business Systems • Paid Sick Leave • Fraud • Antitrust • Harassment • Whistleblower • Antiboycott Prevention Protections • Human Trafficking • Time Charging 12/19/2017 Palmetier Law, LLC

Open Build a Culture Environment to Ask Questions Written Repetitive Direction Reminders Parts of a Program 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 Determine Set Company Decide Best Assess Implement Rules Expectations Method Training • Colorado Human No Indentured • • No • HR, Executives • Create Policy Trafficking (House Servitude, • Deploy and Managers Bill 14-1273) Slavery or • Educate • Employees - • The Victims of Trafficking Workforce Simple Sentence Trafficking and Suffices Violence Prevention Act (TVPA) at 22 U.S.C. Chapter 78 • FAR 52.222-50, Combatting Trafficking in Humans 12/19/2017 Palmetier Law, LLC

Drug – Free Workplace Determine Set Company Decide Best Assess Implement Rules Expectations Method Training • Safety • Will you test? • Written Policy • HR • Create Policy regulations for • When? • Initial • Managers • Deploy certain • What are Deployment • Employees • Educate industries and triggers? Workforce positions • Customer • FAR 52.223-6, Expectations Drug-Free • Marijuana is Still Workplace Illegal • DFARS 252.223- 7004, Drug-Free Workforce • Security Clearances 12/19/2017 Palmetier Law, LLC

Business Courtesies Determine Set Company Decide Best Assess Implement Rules Expectations Method Training • More • Code of Conduct • Highly • Create Policy • Is minimum complicated enough? • Written Policy Recommended • Deploy because • What standard • Regular • Required by • Educate encompasses do you want to Reinforcement some clauses Workforce bribery, graft, set? • In-House • Will need kickbacks, and Experts outside gifts to • Accounting resources to government • Contracts help interpret officials • Business • Will need to rely Development upon outside • Employees resources: consultants, industry groups, or lawyers 12/19/2017 Palmetier Law, LLC

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

QUESTIONS? 12/19/2017 Palmetier Law, LLC

Karri L. Palmetier Karri@palmetierlaw.com D: (303) 697-8914 C: (317) 397-7344 www.palmetierlaw.com 12/19/2017 Palmetier Law, LLC