Compliance Manual Research Articles

Corporate Ethics as a Pillar for Strengthening Compliance Programs: A Brief Analysis of the Interplay between Ethics, Integrity, and Compliance

The objective of this study is to investigate the concepts of business ethics, integrity, and compliance and their relationship and distinctions, with a focus on US and Brazilian legislation, principles, and experiences. The study also provides a brief history of the origin of these institutes. A critical analysis of the US Department of Justice's Compliance Manual and Law no. 13,467/2017 is conducted, with consideration of their effects on the economic, social, and business environment. The research methodology adopted is qualitative, exploratory, and based on bibliographic and documentary analysis. The investigation is conducted through a hypothetical-deductive approach, utilizing a dogmatic analysis of the concepts of business ethics, integrity, and compliance. The results of the research indicate that ethics and compliance are different sides of the same coin, with compliance aiming for the accomplishment of the law and ethics requiring doing what is right, regardless of what the law says. The study concludes that the ethical context is the basis for the compliance program, and that the compliance system will only work if there is a strong ethical culture. This study provides a contribution to the understanding of the relationship between business ethics, integrity, and compliance, and sheds light on the two theories that underlie compliance, the rationalist and normative theories, as well as clarifying concepts and definitions that may confuse professionals in the compliance area.

Comments on EEOC Proposed Updates to Compliance Manual on Religious Discrimination

The National Right to Work Legal Defense and Education Foundation, Inc. submits these comments supporting the Equal Employment Opportunity Commission’s proposed updates to its Compliance Manual on Religious Discrimination, along with recommended modifications. These modifications specifically apply to the issues of employee religious objections to supporting labor unions, adverse action, undue hardship, and privacy of the religious beliefs of employees.

Innovation versus Replication: Some Notes on the Approaches in Defining Shariah Compliance in Islamic Finance

Shariah contains the principles and foundations upon which financial system from an Islamic perspective is established and acts as guidance and framework on which the direction of the industry is set. This would include the whole processes from product conceptual inception of developing shariah product compliance manual, developing product structure, reviewing the legal documentation, and producing report or opinion on the product application in the market. Islamic finance is expected to offer something new to the market instead of a mere replication and modification of conventional practices in Islamic forms. The paper attempts to survey the approach in developing Islamic finance, including the debate on replication and innovation in a product to the structure as well as the gaps between ideals and practices. [Keuangan Islam dikembangkan berdasarkan atas semangat, filosofi dan prinsip-prinsip hukum Islam sebagaimana terangkum dalam ekonomi shariah. Makalah ini berusaha mengamati berbagai pendekatan dalam mengembangkan keuangan Islam, perdebatan mengenai replikasi ekonomi konvensional, dan inovasi dalam produk hingga struktur maupun kesenjangan antara yang ideal dengan kenyataannya. ]

Faculty Attestation Statements for Resident-Generated Radiology Reports

Teaching physicians are paid by Medicare Part B on a fee-for-service basis, but if a teaching physician does not participate in a given patient service or document this participation properly, the teaching physician cannot legally bill Medicare for these services. In fact, Medicare has severely fined academic practice plans that lacked such documentation [ 1 University of North Carolina HospitalsCoding and compliance. http://www.med.unc.edu/credentialing/OnlineCredentialingRadiology.ppt Google Scholar ]. Such documentation is also felt to be a requirement for other federal and state agencies as well as private insurance companies and other payers, and it is a common practice for academic medical centers across the country to require such documentation from their teaching physicians [ 2 Centers for Medicare and Medicaid ServicesPub 100-04 Medicare claims processing: transmittal 811. http://www.cms.gov/transmittals/downloads/R811CP.pdf Google Scholar , 3 University of North Texas Health Science Center, Office of Regulatory ComplianceClinical documentation & compliance manual: a guide to documentation, coding, and billing of medical services for compliance. http://www.hsc.unt.edu/policies/QuAssure/Clinical%20Documentation&ComplianceManual042704.pdf Google Scholar ].

Antitrust Screening: Making Compliance Programs Robust

One of the prime issues in the antitrust and competition law1 compliance field is how to deal with the risk of collusive or cartel behavior which involves willful violations of the law. In the past much of antitrust compliance work has focused on training, perhaps accompanied by an antitrust compliance manual. But regardless of the amount of employee training they conduct and the existence of written materials, it is likely that most practitioners feel they do not have a handle on this area of risk. In this paper we discuss the role that empirical screens for conspiracies and manipulations can play in assisting compliance programs, by looking at certain quantifiable red flags and applying statistical analysis to determine priority areas which merit further focus.

Lomanto v. NLRB, No. 05-4541, 2006 U.S. App. LEXIS 23255 (3d Cir. Sept. 11, 2006).

Gaming Law ReviewVol. 10, No. 6 Full-Text CasesLomanto v. NLRB, No. 05-4541, 2006 U.S. App. LEXIS 23255 (3d Cir. Sept. 11, 2006).Published Online:7 Dec 2006https://doi.org/10.1089/glr.2006.10.571AboutSectionsPDF/EPUB Permissions & CitationsPermissionsDownload CitationsTrack CitationsAdd to favorites Back To Publication ShareShare onFacebookTwitterLinked InRedditEmail FiguresReferencesRelatedDetailsCited byComments on EEOC Proposed Updates to Compliance Manual on Religious DiscriminationSSRN Electronic Journal, Vol. 313Gregory N. Bell v. United States of America, Brief of National Association of Criminal Defense Lawyers as Amicus Curiae in Support of PetitionerSSRN Electronic JournalFrom Hierarchies to Markets: FedEx Drivers and the Work Contract as Institutional MarkerSSRN Electronic JournalCorporate Lawmaking Influence and the Role of Political Capital: The FedEx StorySSRN Electronic JournalAfter 'Hiding the Ball' is Over: How the NLRB Must Change its Approach to Decision-MakingSSRN Electronic Journal Volume 10Issue 6Dec 2006 InformationCopyright 2006, Mary Ann Liebert, Inc.To cite this article:Lomanto v. NLRB, No. 05-4541, 2006 U.S. App. LEXIS 23255 (3d Cir. Sept. 11, 2006)..Gaming Law Review.Dec 2006.571-573.http://doi.org/10.1089/glr.2006.10.571Published in Volume: 10 Issue 6: December 7, 2006PDF download

Indoor Air Quality in Energy Efficient Housing

Over the past decade, there has been an increasing effort to reduce leakage and air infiltration in new residential construction in order to improve energy efficiency. For example, California's Title 24 Residential Compliance Manual For California's 2005 Energy Efficiency Standards, which went into effect in October 2005, recognizes that air infiltration (leakage) is a “major component of heating and cooling loads,” and section 3 addresses measures to reduce infiltration, such as sealing around penetrations, installing air-retarding wrap, and meeting window performance standards. While reducing infiltration has a positive effect on energy efficiency, a lack of adequate ventilation can lead to poor indoor air quality. Airtight residences need to balance the desire for energy conservation with the need for high quality indoor air. Doing this requires an understanding of the factors which affect air quality in homes.

Investment Adviser Compliance Requirements for Managers of Hedge Funds

One of the more significant aspects of registration is a rule that requires investment advisers to 1) implement written compliance policies and procedures designed to prevent, detect, and correct violations of the Advisers Act by the investment adviser and its supervised persons; 2) review these policies and procedures at least annually for adequacy and effectiveness; and 3) designate a chief compliance officer who is responsible for administering these policies and procedures (the “Compliance Rule”). The various compliance policies and procedures are usually compiled and maintained by investment advisers in a “compliance manual.” Prior to the adoption of the Compliance Rule, the Advisers Act required specific written policies in only a few particular areas. This article examines issues in the context of designing the compliance manual. These include among others portfolio management processes and trading practices including personal trading activities of supervised persons and soft dollar benefits.

Home Care Compliance Manual: Accreditation and Legal Requirements

Home Care Compliance Manual: Accreditation and Legal Requirements

Book Review Section

Books reviewed in this article:Richard Bernstein. Dictatorship of Virtue: Multiculturalism and the Battle for America's Future.Linda L. Murphy, Jane Close Conoley, and James C. Impara (Eds.). Tests in Print IV.Benjamin Schneider and David E. Bowen. Winning the Service Game.David Dorsey. The Force.Frank Pacetta with Roger Gittines. Don't Fire Them, Fire Them Up: A Maverick's Guide to Motivating Yourself and Your Team.John F. Fielder, Mental Disabilities and the Americans with Disabilities Act: A Concise Compliance Manual for Executives.Pierce J. Howard. The Owner's Manual for the Brain: Everyday Applications from Mind‐Brain Research.Richard S. Wellins, William C. Byham, and George R. Dixon. Inside Teams: How 20 World‐Class Organizations Are Winning Through Teamwork.Kimball Fisher, Steven Raper, William Belgard, and the Belgard‐Fisher‐Rayner Team. Tips for Teams: A Ready Reference for Solving Common Team Problems.Charles Heckscher and Anne Donnellon (Eds.). The Post‐Bureaucratic Organization: New Perspectives on Organizational Change.Eileen Appelbaum and Rosemary Batt. The New American Workplace: Transforming Work Systems in the United States.Gerard Egan. Walking the Shadow Side: A Guide to Positive Behind‐the‐Scenes Management.Lawrence G. Hrebiniak. The We‐Force in Management: How to Build and Sustain Cooperation.Charles D. Winslow and William L. Bramer. Future Work: Putting Knowledge to Work in the Knowledge Economy.The Price Waterhouse Change Integration Team. Better Change: Best Practices for Transforming Your Organization.Cynthia D. McCauley and Martha W. Hughes‐James. An Evaluation of the Outcomes of a Leadership Development Program.Elaine Biech. TQM for Training.Sheila Ostrander and Lynn Schroeder with Nancy Ostrander. Superlearning 2000.Arthur R. Pell. The Supervisor's Infobank: 1000 Quick Answers to Your Toughest Problems.R. Bruce McAfee and Paul J. Champagne, Effectively Managing Roublesome Employees.Frank E. Saal and Patrick A. Knight. Industrial/Organizational Psychology: Science and Practice (2nd ed.). Performance Now! (version 2.01). The Negotiator.Janet T. Spence, John M. Darley, and Donald J. Foss (Eds.). Annual Review of Psychology, Volume 46, 1995. A CHANCE ENCOUNTER HERBERT H. MEYER

Tractor Noise Exposure Levels for Bean-bar Riders

Tractor noise exposure levels were measured for bystanders as described by the Nebraska Tractor Test Laboratory and for bean-bar riders on ground surfaces of concrete, grass, and bean field. The influence of ground configurations, engine speeds, and gear selections on noise exposure levels were determined. The average sound level decreased as the ground cover changed from concrete to grass and then to bean field. An increase of 3 dBA was measured for engine speed changes from 1200 to 1500 rev/min and 1500 to 2000 rev/min. Gear selection was determined not to be significant for bystander exposures but bean-bar exposures increased as gear selection changed from first to fourth. Noise exposure levels experienced at the bean-bar position were, on average, 10 dBA higher than those measured at the bystander position. Results of the noise exposure measurements indicate that a hearing conservation program according to the Occupational Safety and Health Administration Compliance Manual (Petersen, 1979) should be established for bean-bar riders.

BETWEEN THE BOOKENDS

Book reviewed in this article:Fitting Equations to Data, by Cuthbert Daniel and Fred S. WoodThe OSHA Compliance Manual, by Dan PetersenStructural Engineering Handbook, 2nd. Edition, by Charles N. Gaylord and Edwin H. Gaylord, Jr.Seawater Corrosion Handbook, Edited by M. Schumacher