BIBLIOGRAPHY OF COMPLIANCE AND ETHICS SOURCES



BIBLIOGRAPHY OF COMPLIANCE AND ETHICS SOURCES

INTRODUCTION

This bibliography is offered as a guide to compliance and ethics practitioners and those conducting research in this field. The intent is to create a useful starting point for finding valuable resources and references in the field of organizational compliance and ethics.

Contributions: Readers are invited to suggest additions to this bibliography. Our intent is to keep growing this resource over time.

Scope: This collection of sources relates only to organizational compliance and ethics. It does not deal with works relating to substantive law other than to note sections of any such works that relate to compliance. It also does not include works related to personal values and ethics; the focus is only on organizations. It does not include general works on enterprise risk management, corporate governance, the practice of corporate law, corporate social responsibility or other areas that may touch on compliance and ethics but have a different purpose and focus.

Does this bibliography include everything? No, this initial collection is offered as a starting point. The field has been growing rapidly, and this bibliography does not and cannot cover everything. But it is our expectation that through this gateway practitioners and researchers can go far in finding the materials they need.

GENERAL COMPLIANCE RESOURCES

BIBLIOGRAPHY OF BIBLIOGRAPHIES

This field has grown to such an extent that there are a number of bibliographies already available. None has the same scope as the SCCE bibliography, but each may provide valuable direction for the researcher.

“Corporate Compliance: An Opinionated Bibliography,” 2 Corporate Conduct Quarterly (now ethikos) 44 (Winter 1992).

Ethikos, past article by subject:

Kaplan, J., J. Murphy & W. Swenson, Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability, Appendix 11B (bibliography) (Thomson/West; 1993 & Ann. Supp.).

Murphy, J. & J. Leet, Working for Integrity: Finding the Perfect Job in the Rapidly-Growing Compliance and Ethics Field, Appendix 15D (Where Can I Get More Information and Advice); Appendix 15E (Compliance War Story Reading) (Society of Corporate Compliance & Ethics; 2006).

BOOKS/MAJOR REPORTS ON COMPLIANCE & ETHICS

Ad Hoc Advisory Group on the Organizational Sentencing Guidelines, Report (Oct. 7, 2003).

Banks, T. & F. Banks, Corporate Legal Compliance Handbook (Aspen Law & Business, 2002).

BNA/ACCA, Compliance Manual (two-volume updated manual)

Business Laws, Inc., Business Ethics Policies (BLI; 1991-2006)

Corporate Compliance Series (Clark Boardman Callaghan; 1993 & annual updates) (Multivolume set of manuals on 11 different compliance risk areas).

Crawford, D. B., C. Chaffin and S. Scarborough, Effective Compliance Systems: A Practical Guide for Educational Institutions (Institute of Internal Auditors Research Foundation; 2001).

Driscoll, D. & W.M. Hoffman, Ethics Matters: How to Implement Values-Driven Management (Center for Business Ethics; 2000).

Driscoll, D., W.M. Hoffman & E. Petry, The Organizational Edge: Tales of Organizations That Have Faced Moral Crises (MasterMedia; 1995).

Fiorelli, P. & C. Rooney, Federal Sentencing Guidelines: A Guide for Internal Auditors (Institute of Internal Auditors; 1996).

Gruner, R., Corporate Crime and Sentencing (Business Laws, Inc; 1997 2nd edition).

Kaplan, J., J. Murphy & W. Swenson, Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (Thompson/West; 1993 & Ann. Supp.)

Murphy, J. & J. Leet, Working for Integrity: Finding the Perfect Job in the Rapidly-Growing Compliance and Ethics Field (Society of Corporate Compliance & Ethics; 2006).

National Center for Preventive Law, Corporate Compliance Principles (NCLP; 1997).

Practising Law Institute, Corporate Compliance and Advanced Corporate Compliance Workshop, program books (PLI; annually since 1996)

Roach, Snell & Wollschlager, The Complete Compliance and Ethics Manual (SCCE 2004).

Sigler, J. & J. Murphy, Corporate Lawbreaking and Interactive Compliance: Resolving the Regulation-Deregulation Dichotomy (Greenwood Press; 1991).

Sigler, J. & J. Murphy, Interactive Corporate Compliance: An Alternative to Regulatory Compulsion (Greenwood Press; 1988).

Trevino, L. & K. Nelson, Managing Business Ethics (Wiley; 2004, 3rd Ed).

US Sentencing Commission, Corporate Crime in America: Strengthening the ‘Good Citizen’ Corporation (Sept. 7-8, 1995) (Proceedings of the Second Symposium on Crime and Punishment in the United States)

PERIODICALS ON COMPLIANCE & ETHICS

Compliance & Ethics, a quarterly newsletter, published by the Society of Corporate Compliance and Ethics.

Compliance Week, weekly publication. info@

Ethikos, published bi-monthly. Reports on practical approaches to compliance and ethics.

Prevention of Corporate Liability Current Report, BNA’s monthly news report on corporate compliance.

US GOVERNMENT DOCUMENTS

Department of Justice, Federal Prosecution of Business Organizations (Jan 20, 2003) (The “Thompson memo”).

Department of State, Fighting Global Corruption: Business Risk Management, Department of State Publication 10731, “General Elements of an Effective Corporate Compliance Program” (May 2000)

US Sentencing Commission, Guidelines Manual, Chapter 8.

STOCK EXCHANGE DOCUMENTS (US)

NYSE Listed Company Manual Section 303A.10 (Codes of Conduct required for NYSE listed companies).

CASES ON COMPLIANCE & ETHICS (US)

Burlington Industries, Inc. v. Ellerth, 524 US 742 (1998) (US Supreme Court recognized compliance efforts as defense to liability in certain types of harassment cases).

Caremark International, Inc., Derivative Litigation, In re, 698 A.2d 959 (Del. Ch.

1996).

Kolstad v. American Dental Ass’n, 527 US 526, (1999)(US Supreme Court recognized compliance efforts as defense to punitive damages in employment discrimination cases)

ARTICLES & PAPERS ON COMPLIANCE & ETHICS

Berenbeim, Company Programs for Resisting Corrupt Practices: A Global Study (New York: The Conference Board, 2000.)

Murphy, “Examining the Legal and Business Risks of Compliance Programs,” 13 ethikos 1 (Jan/Feb. 2000).

Walker, “What We Can Learn About Effective Compliance Policies From Recent Employment Discrimination Cases,” 14 ethikos 4 (July/Aug 2000).

COMPLIANCE RESOURCES BY FUNCTION

AUDITS & MONITORING

Brown, L., A. Kandel & R. Gruner, The Legal Audit: Corporate Internal Investigation (Thomson/West; 1991 & updates).

Murphy, “The Measurement Challenge (Part I): Introducing the Deep Dive,” 17 ethikos 7 (May/June 2004); Murphy, “The Measurement Challenge (Part II): Implementing the ‘Deep Dive,’” 18 ethikos 11 (July/Aug 2004); Murphy, “The Measurement Challenge (Part III): Results from the ‘Deep Dive,’” 18 ethikos 11 (Sept/Oct 2004).

BOARDS OF DIRECTORS

Kaplan, “The Board’s Role in Ethics Programs: A Global Study,” 17 ethikos 1 (Mar./Apr. 2004).

CODES OF CONDUCT

Murphy & Swenson, “20 Questions to Ask About Your Code of Conduct,” 17 ethikos 7 (July/Aug. 2003).

Singer, “Packaging an Ethics Code: Altria Learns That One Size Doesn’t Fit All,” 18 ethikos 4 (Jan/Feb 2005).

Singer, “UPS Translates and Transports An Ethics Code Overseas,” 14 ethikos 1 (May/June 2001).

COMMUNICATIONS

“Do Games and Humor Strengthen or Weaken Compliance Programs?” 12 ethikos 14 (March/April 1999).

Murphy, “Job Aides, Toys or “Tchatchkas:” Getting the Compliance Message to Employees,” 14 ethikos 8 (Mar/Apr 2001).

Singer, “Dupont’s Daring Communications Formula,” 17 ethikos 1 (Jan/Feb 2004).

Singer, “General Electric Company’s True Confessions Ethics Video,” 15 ethikos 5 (Sept/Oct 2001).

COMPLIANCE OFFICERS

Murphy, “Compliance Officers: One Part Ombudsman, Two Parts Watchdog,” 15 National Law Journal S2 (Dec. 14, 1992).

Murphy, “Enhancing the Compliance Officer’s Authority: Preparing an Employment Contract,” 11 ethikos 5 (May/June 1998)

“Should Your General Counsel Be Your Ethics/Compliance Officer?” 13 ethikos 12 (Jan/Feb 2000) & 13 ethikos 6 (May/June 2000).

DISCIPLINE

Murphy, “Taking a Disciplined Approach To Discipline: Enforcing Compliance Standards,” 13 ethikos 4 (Mar/Apr 2000).

EXIT INTERVIEWS

Sherwood, “The Exit Interview: A Final Compliance Check,” 18 ethikos 13 (May/June 2005).

HELPLINES, HOTLINES & REPORTING SYSTEMS

DiSanto & Hengesbaugh, “US Helplines Raise EU Privacy Concerns,” 19 ethikos 1 (Sept./Oct. 2005)

Sharpe, “The Value of a Complaints System in Effective Legal Compliance Systems,” 18 Ethikos 11 (Nov/Dec 2004)

Singer, “Developing Effective Helplines: Shell Oil and Lubrizol,” 19 ethikos 5 (Sept./Oct. 2005).

INCENTIVES

Murphy & Vigale, “The Role of Incentives in Compliance Programs,” 18 ethikos 8 (May/June 2005),

Singer, “Lights! Camera! Action! Lockheed Martin’s Ethics Film Festival,” 17 ethikos 8 (Jan/Feb 2004).

INDUSTRY PRACTICES GROUPS

Murphy, “Industry Practices Groups: Why and How,” 20 ethikos 12 (July/Aug. 2006).

INVESTIGATIONS

Bavuso & Murphy, “The Compliance Investigation: How to Conduct Effective Interviews,” 11 Prevention Of Corporate Liability Current Report 72 (July 21, 2003).

Singer, “How Dow Chemical Centralized Its Investigations Process,” 19 ethikos 1 (July/Aug. 2005).

OMBUDS

Singer, “AllianceBernstein Invests In New Ombuds Office,” 19 ethikos 12 (May/June 2006).

Redmond & Williams, “Three Chief Compliance Officers’ Points of View on the Value of an Ombudsman Program,” 2 Compliance & Ethics 30 (May 2005).

PEER REVIEWS

Crawford, “Using Peer Reviews To Assess Your Compliance Program,” 18 ethikos 12 (Mar/Apr 2005).

TRAINING

Harris, Judy L., Ready, Set, Comply! Games, Quizzes, and Emails for Fun and Easy Compliance Training (Opus Communications; 2002).

Jordan, “Compliance Training Is Increasingly Interactive,” National Law Journal B13 (March 9, 1998).

Merchasin, Carol M., Chapman, Mindy H., & Polisky, Jeff, Case Dismissed! Taking Your Harassment Prevention Training to Trial (American Bar Association; 2005 2nd Edition).

“Sexual Harassment Training Program Goes High Tech,” 4 Corporate Legal Times 38 (August 1994).

Singer, “Granite Construction Adds “Land Mines” to its Antitrust Compliance Training,” 18 ethikos 15 (May/June 2005).

COMPLIANCE RESOURCES BY RISK AREA

ANTITRUST

ABA Section of Antitrust Law, Antitrust Compliance: Perspectives and Resources for Corporate Counselors, Chicago, IL, American Bar Association, 2005.

Comegys, Antitrust Compliance Manual: A Guide for Counsel and Executives of Businesses and Professions (PLI; 1992; 2nd Ed.)

Murphy, “Surviving the Antitrust Compliance Audit,” 59 Antitrust Law Journal 953 (1991).

Office of Fair Trading (UK), “How your business can achieve compliance: A guide to achieving compliance with competition law” (March 2005).

Singer, “Granite Construction Adds “Land Mines” to its Antitrust Compliance Training,” 18 ethikos 15 (May/June 2005).

CONFLICTS OF INTEREST

Kaplan, Murphy & Swenson, “Are Conflicts Of Interest Your Program’s Achilles Heel?” 15 ethikos 1 (Sept./Oct. 2001).

Walker, R., Conflicts of Interest in Business and the Professions: Law and Compliance, Chapters 8-14 (“Conflicts of Interest and Compliance Programs”) (Thomson/West; 2006).

EMPLOYMENT DISCRIMINATION

Kolstad v. American Dental Ass’n, 527 US 526 (1999)(US Supreme Court recognized compliance efforts as defense to punitive damages in employment discrimination cases)

Walker, “What We Can Learn About Effective Compliance Policies From Recent Employment Discrimination Cases,” 14 ethikos 4 (July/Aug 2000).

ENVIRONMENTAL

US Department of Justice, “Factors in Decisions on Criminal Prosecutions for Environmental Violations in the Context of Significant Voluntary Compliance or Disclosure Efforts by the Violator” (July 1, 1991).

Environmental Protection Agency, “Final Policy Statement on Incentives for Self-policing: Discovery, Disclosure, Correction and Prevention of Violations,” section IIB, definition of Compliance Management System (Mar. 30, 2000).

Environmental Protection Agency, Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations; Notice, 60 Fed. Reg. 66711 (Dec. 22, 1995)

FCPA

Department of State, Fighting Global Corruption: Business Risk Management, Department of State Publication 10731, “General Elements of an Effective Corporate Compliance Program” (May 2000).

United States v. Metcalf & Eddy, Inc., CA No. 99CV-12566-NG (D Mass., Dec. 14, 1999)(consent decree in FCPA case imposing compliance program)

.

HARASSMENT

Burlington Industries, Inc. v. Ellerth, 524 US 742 (1998) (US Supreme Court recognized compliance efforts as defense to liability in certain types of harassment cases).

Merchasin, Carol M., Chapman, Mindy H., & Polisky, Jeff, Case Dismissed! Taking Your Harassment Prevention Training to Trial (American Bar Association; 2005 2nd Edition).

“Sexual Harassment Training Program Goes High Tech,” 4 Corporate Legal Times 38 (August 1994).

HEALTHCARE

Harris, Judy L., Ready, Set, Comply! Games, Quizzes, and Emails for Fun and Easy Compliance Training (Opus Communications; 2002).

Health Care Compliance Association, Code of Ethics for Health Care Compliance Professionals (HCCA; 1999)

Health Care Compliance Association, Compliance Today (monthly)

Heller, J., J. Murphy & M. Meaney, Guide To Professional Development in Compliance (Aspen Publishers: 2001).

Josephs, A., S. Ortquist, B. Saunders, R. Snell & D. Troklus, The Health Care Compliance Professional’s Manual (HCCA; 2005)

Steiner, Monitoring & Auditing Practices for Effective Compliance (HCCA; 2002)

Troklus & Warner, Compliance 101 (HCCA; 2006)

PHARMACEUTICAL INDUSTRY

California SB 1765, section 2, Chapter 8, section 129400(c)(requiring pharmaceutical companies in California to have compliance programs)

Department of Health and Human Services, Office of Inspector General, “OIG Compliance Program Guidance for Pharmaceutical Manufacturers,” 68 Fed. Reg. 23731 (May 5, 2003)

“New California Law Mandating Pharma Compliance Programs Riddled with Unanswered Questions,” 3 Rx Compliance Report 1 (Dec 3, 2004).

PRIVACY

Canadian Personal Information Protection and Electronic Documents Act, Bill C-6, 48-49 ELIZABETH II, CHAPTER 5 (requiring privacy compliance programs in Canada)

COMPLIANCE RESOURCES BY NATION

AUSTRALIA

Australian Standards 3806-2006

Dee, “Australia Sets New Standards for Compliance Programs,” 12 ethikos 11 (Mar/Apr 1999)

Fels, “Launch of the Australian Standards on Compliance Programs (AS 3806-1998),” 5 Compliance News (Australia) 8 (March 1998)

Murphy, “Australia: A Fertile Source of Ideas in the World of Compliance,” 17 ethikos 12 (Jan/Feb 2004).

Sharpe, Making Legal Compliance Work (CCH Australia; 1996).

Sharpe, Management Beats Mystique: Comprehensive Due Diligence

CANADA

Canadian Personal Information Protection and Electronic Documents Act, Bill C-6, 48-49 ELIZABETH II, CHAPTER 5 (requiring privacy compliance programs in Canada)

Competition Bureau, Industry Canada, “Corporate Compliance Programs” (1997).

FRANCE

CNIL, “FAQs on Whistleblowing Systems,”

CNIL, “Single Authorization Decision,”

INDIA

Securities Exchange Board of India, Listing Agreement, Clause 49

SOUTH AFRICA

Painter-Morland, “South Africa Puts Ethics and Social Responsibility on the Business Agenda,” 18 ethikos 11 (Jan/Feb 2005).

UNITED KINGDOM

Compliance Institute, Gazette

Office of Fair Trading, “How your business can achieve compliance: A guide to achieving compliance with competition law” (March 2005).

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