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Episode 146 — A Deep Dive into DOJ’s Indictment of Four Executives for Chicken Industry Price-Fixing Conspiracy

The Justice Department’s Antitrust Division recently announced the indictment in Colorado federal court of four executives from two chicken producer companies for participation in a long-running price-fixing and bid-rigging conspiracy in the sale of broiler chickens to grocers, fast-food companies and other sellers of chicken products. In this episode, Michael Volkov reviews the indictment, the factual allegations and reviews antitrust compliance lessons learned.

The Fish Rots from its Head Down – Review of Criminal Charges Against Blue Bell’s Former CEO Paul Kruse

We all use dramatic language to present important ideas – and one that I always cite – “A fish rots from its head down.”  The meaning of this well-known phrase is clear in the corporate culture context – an organization with “rotten” leadership will inevitably perform poorly and managers and employees will likely engage in misconduct.  The often-used phrase of “tone at the top” is...

DOJ’s Compliance Message: Implement Technology Solutions

DOJ’s revised Evaluation of Corporate Compliance Program Guidance (“DOJ Guidance”) is yet another reminder on how far compliance has evolved and the path forward.  Compliance programs have to incorporate real-time monitoring, rapid data analysis, emphasis on corporate culture and organizational justice build on employee engagement, prompt investigations and consistent discipline.  A compliance program is like a shark – it has to keep moving and evolving. ...

DOJ Plays Catch Up in Revised Compliance Program Guidance

Let’s face it – DOJ’s revised Evaluation of Corporate Compliance Program Guidance reflects an attempt (although an important one) by DOJ’s leadership to catch up with the compliance industry.  In recent years, I have argued that the compliance industry is rapidly eclipsing DOJ Guidance and expectations for the compliance industry. As more professionals enter the compliance industry, and as spending by companies increase on compliance...

The Five Most Important Issues in DOJ’s Revised Compliance Program Guidance

The Justice Department’s revised Evaluation of Corporate Compliance Program Guidance (“DOJ Guidance”) was released with little fanfare.  It is difficult to find the press release that accompanied the release.  No one at DOJ flagged the issue in advance of the release.  No speech or event accompanied the release.  All was relatively quiet from the DOJ front. Do not be fooled by the relative silence of...

Episode 145 — DOJ Revises its Corporate Compliance Program Guidance

The Department of Justice quietly issued revisions to its Corporate Compliance Program Guidance.  DOJ’s revisions underscore important new trends in corporate compliance — the importance of resources and empowerment, continuous monitoring, proactive strategies, access to and use of data, consistent discipline and new, training strategies. In this episode, Michael Volkov reviews DOJ’s changes to its Corporate Compliance Guidance and puts the changes in perspective to...

DOJ Revisions to Corporate Compliance Guidance: Training, Third-Party Risk Management, Mergers/Acquisitions and Data (Part II of II)

DOJ is catching up to compliance officers and evolving best practices.  Say what you want, DOJ is behind the curve of the compliance industry.  But you have to give DOJ credit – they are moving quickly to update its Guidance.  Compliance is a fast-moving profession – innovation and technology continue to define the industry.  Compliance officers are willing to embrace change and the industry is...

DOJ Revises its Corporate Compliance Guidance (Part I of II)

If anyone thought that DOJ was planning to relax its expectations regarding corporate compliance programs, forget it – DOJ has removed all doubt.  In an announcement on Monday, June 1, 2020, DOJ released revised guidance, Evaluation of Corporate Compliance Programs, June 2020. DOJ issued the new guidance to reflect its own experiences and feedback from the compliance and business community.  According to Assistant Attorney General...

Drug and Medical Device Fraud Risks Increase in Pandemic Era

The drug and medical device/testing industry is under significant pressure to develop new products to address the COVID-19 pandemic.  The federal government is increasing spending and support of drug and device companies in anticipation of developing a new vaccine, treatment products and testing.  As a result, pharmaceutical, medical device and diagnostic and laboratory tests will be subject to federal scrutiny and monitoring for proper use...

Episode 144: A Review of Criminal Charges Against Paul Kruse, the Former CEO of Blue Bell Ice Cream

Paul Kruse, former CEO of Blue Bell Ice Cream, was recently charged with criminal charges stemming from the sale of contaminated ice cream, resulting in the death of three persons.  Kruse was aware of serious safety and contamination issues arising from the production of Blue Bell ice cream.  Notwithstanding his knowledge, Kruse ignored safety concerns and withheld critical information from its customers and consumers. In...