Law 794:  Organizational Compliance and Ethics

Compliance and ethics programs are an integral part of organizational effectiveness, and legal expertise in this area is in high demand.  With increasing frequency, lawyers are tasked with drafting, implementing, and managing compliance and ethics programs in and for organizations of all kinds and sizes.  This class will explore the reasons for as well as the structure, design, implementation, and evaluation of such programs. We will focus on the roles in-house and law firm lawyers play in compliance and ethics risk assessment as well as in designing, implementing, and evaluating effective global ethics and compliance programs that align with Chapter 8 of the United Stated Federal Sentencing Guidelines for Corporations,  Department of Justice guidance, and the legal and regulatory expectations of many countries as well. We’ll also look at how the U.S. Department of Justice evaluates these programs in the context of criminal investigations. Topics vary, though typically cover issue-raising (a/k/a whistleblowing),  global anti-bribery and corruption, privacy, conflicts of interest, and human rights/modern slavery.

Students will examine and discuss a variety of readings and related materials, including news reports of current compliance challenges and failures. The class will include live and video lectures by academics, corporate counsel, senior ethics and compliance officers, and business executives to provide students with a better understanding of the challenges of developing and implementing an effective global compliance program.

Course Materials:  Course materials will consist of topical books and white papers/reports, relevant statutes and regulations, scholarly articles, cases, government enforcement guidance, corporate codes of conduct and related materials, and news articles covering timely compliance, ethics, and professional responsibility topics.

 Sequence and Prerequisites: None

 Evaluation: Short responsive papers and written assignments;  class presence, participation, and presentation; and a final project that challenges students to design a comprehensive organizational ethics and compliance program. There will not be a final examination