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Assessing Your Compliance and Ethics Program

Recorded on: Oct. 5, 2018
Running Time: 01:05:24
Taken from the Audio-only Briefing Assessing Your Compliance and Ethics Program Recorded September 2018 in New York

Assessing Your Compliance and Ethics Program [01:05:24]

Under applicable government standards and best practices, expectations regarding compliance & ethics (C&E) program assessments have never been higher.  In this Briefing, Jeffrey M. Kaplan and Rebecca Walker of Kaplan & Walker LLP will discuss government expectations and practical tools to help you conduct an effective assessment of your program.  They will cover the following key topics:
  • Official requirements for conducting C&E program assessments and business-related reasons to do so
  • The various tools used in conducting assessments: interviews, document review, surveys, focus groups, benchmarking, maturity models, etc.
  • When and how to conduct an assessment under the attorney-client privilege and related matters of confidentiality
  • The size, scope and frequency of assessments
  • What to know and to look out for in formulating findings and recommendations, and in drafting and disseminating an assessment report
  • The role of the board of directors and of senior management
  • For each of the major elements and sub-elements of a C&E program –  risk assessment, program management and oversight, policies, training, auditing, helplines, incentives, etc. – what to look for both in terms of efficacy and opportunities for improvement
  • Assessing the characteristics of an effective C&E program, such as independence, clout, reach and sufficiency of resources
  • “Deep dives” into areas of high risk – such as anti-corruption and antitrust compliance
  • The hallmarks of an ethical organizational culture
  • Use of “behavioral ethics” ideas and information in C&E program assessments

The program will provide practical advice to in-house lawyers with C&E program related responsibilities and to other attorneys who counsel organizations on C&E matters.

Please note that “ethics” in the program title refers to the “Compliance and Ethics Program” used in Federal Sentencing Guidelines for Organizations.  It does not specifically refer to legal ethics.  Please check the credit calculator to the right for credit information for your jurisdiction.

Presentation Material
  • Assessing Your Compliance & Ethics Program
    Jeffrey M. Kaplan, Rebecca Walker
  • General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

    PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


    U.S. MCLE States

    Alabama:  PLI’s on-demand one-hour briefings qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

    Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Arizona:  PLI’s on-demand one-hour briefings qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

    Arkansas:  PLI’s on-demand one-hour briefings are not approved for Arkansas CLE credit.

    California:  PLI’s on-demand one-hour briefings qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

    Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Delaware:  PLI’s on-demand one-hour briefings qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

    Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Georgia:  PLI’s on-demand one-hour briefings qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

    Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Idaho:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

    Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

    Indiana:  PLI’s on-demand one-hour briefings qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

    Iowa:  PLI’s on-demand one-hour briefings qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

    Kansas:  PLI’s on-demand one-hour briefings qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

    Kentucky:  PLI’s on-demand one-hour briefings qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

    Louisiana:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

    Maine:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

    Minnesota:  PLI’s on-demand one-hour briefings qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

    Mississippi:  PLI’s on-demand one-hour briefings qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

    Missouri:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

    Montana:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

    Nebraska:  PLI’s on-demand one-hour briefings qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

    Nevada:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

    New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    New Jersey:  PLI’s on-demand one-hour briefings qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

    New Mexico:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

    New York

    Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

    Newly Admitted Attorneys:  PLI’s transitional on-demand one-hour briefings can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand one-hour briefings. Ethics and skills credits may not be earned via on-demand one-hour briefings.

    North Carolina:  PLI’s on-demand one-hour briefings qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

    North Dakota:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

    Ohio:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

    Oklahoma:  PLI’s on-demand one-hour briefings qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

    Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Pennsylvania:  PLI’s on-demand one-hour briefings qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

    Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Rhode Island:  PLI’s on-demand one-hour briefings qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

    South Carolina:  PLI’s on-demand one-hour briefings qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

    Tennessee:  PLI’s on-demand one-hour briefings qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

    Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Utah:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

    Vermont:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

    Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Virginia:  PLI’s on-demand one-hour briefings qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

    Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    West Virginia:  PLI’s on-demand one-hour briefings qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

    Wisconsin:  PLI’s on-demand one-hour briefings qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand one-hour briefings.

    Wyoming:  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


    CPD Jurisdictions

    British Columbia (CPD-BC):  PLI’s on-demand one-hour briefings are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

    Ontario (CPD-ON):  PLI’s on-demand one-hour briefings qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

    Quebec (CPD-QC):  PLI’s on-demand one-hour briefings can fulfill Quebec’s CPD requirements.

    Hong Kong (CPD-HK):  PLI’s on-demand one-hour briefings are not approved for CPD-HK credit.

    United Kingdom (CPD-UK):  PLI’s on-demand one-hour briefings can fulfill the United Kingdom’s CPD requirements.

    Australia (CPD-AUS):  PLI’s on-demand one-hour briefings may fulfill Australia’s CPD requirements. Credit limits for on-demand one-hour briefings vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

    Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Dubai (CLPD-DUBAI):  PLI’s on-demand one-hour briefings may fulfill CLPD credit requirements.


    Other Credit Types

    CPE Credit (NASBA):  Select on-demand one-hour briefings qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

    IRS Continuing Education (IRS-CE):  PLI’s on-demand one-hour briefings may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

    Certified Fraud Examiner CPE:  PLI’s on-demand one-hour briefings may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

    IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand one-hour briefings may fulfill Privacy CPE credit requirements.

    HR Recertification (HRCI):  PLI’s on-demand one-hour briefings may fulfill HR credit requirements.

    SHRM Recertification (SHRM):  PLI’s on-demand one-hour briefings qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

    Compliance Certification Board (CCB):  PLI’s on-demand one-hour briefings qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

    Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand one-hour briefings are not approved for CAMS credit.

    New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand one-hour briefings are not approved for SW CPE credit.

    American Bankers Association Professional Certification (ABA):  PLI’s on-demand one-hour briefings may fulfill ABA credit requirements.

    Certified Financial Planners (CFP):  PLI’s on-demand one-hour briefings are not approved for CFP credit.

     

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