Corporate Compliance Series

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Prevent and detect any possible violations of law with Corporate Compliance Series. This multivolume series offers step-by-step guidance for designing, implementing, and monitoring an effective compliance program and provides the expertise of noted practitioners from major companies and law firms, including O'Melveny and Myers, Brinks Hofer Gilson & Lione, John Deere, and Federal Express. The series covers both civil and criminal liability in heavily regulated and litigated practice areas, including:

Environmental Law
Equal Employment Opportunity (EEO)
Products Liability
Records Retention
Intellectual Property
Employment Retirement Income Security Act (ERISA)
Fair Hiring and Termination
Antitrust
The Foreign Corrupt Practices Act and Antibribery Provisions
Securities and Corporate Governance

You'll find examples of communication checklists, questionnaires, timetables, and charts, as well as sample program components, policy statements, forms, and exhibits to help you insulate corporations against civil and criminal liability.

Summary of contents
Replacement pages

Designing an Effective Product Liability Compliance Program - Volume 2
1. Necessity Of Product Liability Compliance Program
  1. Objectives Of Product Liability Compliance Program
  2. Corporation's Common-Law Liability For Defective Products
  3. Mergers And Acquisitions
  4. Corporation's Statutory Liability For Defective Products
  5. Industry Standards
2. Establishing And Monitoring Product Liability Compliance Program
  1. Presale Process
  2. Monitoring Product Performance
3. Remedial Action and Other Issues Related to Compliance Program
  1. Evaluation Of Need
  2. Mechanics And Logistics Of Recall
  3. Implementation Of Recall
  4. Audit Of Recall
  5. In-House Product Safety Seminars
  6. Lobbying And Monitoring Regulatory Efforts
  7. European Union (EU) Directives
4. Appendix Of Forms And Exhibits
- Table Of Statutes, Rules And Regulations
- Table Of Cases
- Index
Designing an Effective Records Retention Compliance Program - Volume 3
1. Necessity Of Records Retention Compliance Program
  1. Introduction
  2. Objectives Of Records Retention Compliance Program
  3. Overview Of Applicable Law
  4. Internal Departments And Personnel Involved
  5. Outside Agencies Involved
  6. Reports And Records Required
  7. Specific Records Retention Practices For Particular Preventive Law Subjects
  8. Other Legal Subjects Involving Records Keeping Issues
  9. Integrating Records Management And Information Management
  10. The Great Paradox Of The Information Economy
2. Establishing And Monitoring Records Retention Compliance Program
  1. Introduction
  2. Communication With Management
  3. Establishing Records Retention Compliance Committee Or Team
  4. Risk Assessment
  5. Dealing With And Confronting Change
  6. Evaluating Information Content Of Corporate Records
3. Components Of Records Retention Compliance Program
  1. The Internal Audit: Assessing Current Policies And Procedures
  2. Document Review
  3. Document Retention Program
  4. Compliance Timetables
  5. Developing Appropriate Communication With Outside Parties
  6. Company Education And Awareness
  7. Employee Communications Channels
  8. Special Needs In Mergers And Acquisitions
  9. Compliance Manual
  10. Computer Files
  11. Corporate Knowledge Management
4. Appendix Of Forms and Exhibits
- Table Of Statutes, Rules And Regulations
- Table Of Cases
- Index
Designing an Effective ERISA Compliance Program - Volume 5
1. Necessity Of ERISA Compliance Program
  1. Objectives of ERISA Compliance Program
  2. Overview of Applicable Law
  3. Internal Departments And Personnel Involved
  4. Outside Agencies and Vendors Involved
  5. Reports and Records Required
2. Establishing And Monitoring ERISA Compliance Program
  1. Communication with Management
  2. Establishing Compliance Team
  3. Risk Assessment
3. Components Of ERISA Compliance Program
  1. Audit: Assessing Current Policies and Procedures Under Applicable Laws and Regulations
  2. Document Review
  3. Document Retention Program
  4. Compliance Timetable
  5. Developing Appropriate Communications With Outside Parties
  6. Company Education And Awareness
  7. Employee Communication Channels
  8. Special Needs in Mergers and Acquisitions
  9. Compliance Manual
4. Appendix Of Forms and Exhibits
- Table of Statutes, Rules and Regulations
- Table of Cases
- Index
Designing an Effective Environmental Complance Program - Volume 6
1. Necessity Of Environmental Compliance Program
  1. Introduction
  2. Common Environmental Requirements
  3. Storage And Use Of Hazardous Or Toxic Materials
  4. Air Pollution
  5. Water Pollution
  6. Waste Management
  7. Interaction With Regulatory Agencies
  8. Enforcement
  9. Miscellaneous Issues Related to Maintaining “Environmental Compliance”
2. Establishing And Monitoring Environmental Compliance Program
  1. Documentation and Disclosure
  2. Internal Communications
  3. Participants Involved
  4. Preparation Of Program
  5. Compliance Procedures
  6. Risk Assessment
  7. Planning For The Future
  8. Transactional Issues
3. Components Of Environmental Compliance Program
  1. Education and Awareness
  2. Documentation
  3. Audit Procedures
  4. Assessment of Results
  5. Acting on Audit Results
  6. Keeping Current
  7. Components Of Environmental Compliance Program
4. Appendix Of Forms and Exhibits
- Table Of Statutes, Rules and Regulations
- Table Of Cases
- Index
Designing and Effective Equal Employment Opportunity Compliance Program - Volume 7
1. Necessity Of Equal Employment Opportunity Compliance Program
  1. In General
  2. Equal Pay Act Of 1963
  3. Title Vii Of Civil Rights Act Of 1964
  4. Executive Order 11,246
  5. Age Discrimination in Employment Act Of 1967
  6. Americans with Disabilities Act
  7. Family and Medical Leave Act of 1993
2. Establishing and Monitoring Equal Employment Opportunity Compliance Program
  1. Importance Of Commitment By Management
  2. Internal Departments and Personnel Involved
  3. Outside Parties Involved
  4. Assessing Current Policies and Procedures: Initial Audit
  5. Periodic Audits and Compliance Reviews
  6. Conducting Internal Investigations
3. Components Of Equal Employment Opportunity Compliance Program
  1. Establishing Policies and Procedures
  2. Corporate Policy Manuals and Employee Handbooks
  3. Affirmative Action Programs and Affirmative Action Plans
  4. Document Retention Program
  5. External And Internal Communications
4. Appendix Of Forms And Exhibits
- Table Of Statutes, Rules and Regulations
- Table Of Cases
- Index
Designing an Effective Intellectual Property Compliance Program - Volume 8
1. Necessity Of Intellectual Property Compliance Program
  1. Overview
    1. Introduction
    2. Identification, Protection and Maintenance Of Corporate Intellectual Property Rights
    3. Enforcement And Exploitation Of Corporate Intellectual Property Rights
    4. Avoidance Of Liability For Infringement Of Others' Intellectual Property Rights
    5. Applicable Statutes And Regulations
    6. Governing Outside Agencies
    7. Government Internet Resources
  2. Fundamentals Of Intellectual Property Law
    1. Patents
    2. Trademarks
    3. Copyrights
    4. Trade Secrets
  3. Violation Of Intellectual Property Rights
    1. Patent Infringement
    2. Trademark Infringement And Dilution
    3. Copyright Infringement
    4. Trade Secret Misappropriation
2. Establishing And Monitoring Intellectual Property Compliance Program
  1. Departments and Personnel Involved
  2. Establishing Compliance Committee
  3. The Audit: Inventorying Assets and Evaluating Current Practices and Procedures
3. Components Of Intellectual Property Compliance Program
  1. Introduction
  2. Establishing Corporate Ownership Rights In Protectible Intellectual Property
  3. Agreements with Parties Outside Corporation
  4. Submission Procedures
  5. Evaluation Of Potential Intellectual Property Rights
  6. Obtaining Intellectual Property Rights
  7. Maintaining Intellectual Property Rights
  8. Exploiting Intellectual Property Rights
  9. Enforcing Intellectual Property Rights
  10. Avoiding Liability For Infringing or Misappropriating Intellectual Property Rights of Others
  11. Special Needs in Mergers and Acquisitions Involving Intellectual Property Rights
  12. Compliance Manuals
4. Appendix Of Forms and Exhibits
  1. Patent Forms
  2. Trademark Forms
  3. Copyright Forms
  4. Trade Secret Forms
  5. General Forms
- Table of Statutes, Rules and Regulations
- Table of Cases
- Index
Designing an Effective Fair Hiring and Termination Compliance Program - Volume 9
1. Necessity Of Fair Hiring and Termination Compliance Program
  1. Objectives of Compliance Program
  2. Overview of Applicable Laws
  3. Internal Departments and Personnel Involved
  4. Outside Parties Involved
  5. Reports And Records Required
2. Establishing and Monitoring Fair Hiring and Termination Compliance Program
  1. Communicating with Management
  2. Establishing Compliance Committee or Team
  3. Risk Assessment
3. Components Of Fair Hiring and Termination Compliance Program
  1. Audit: Assessing Current Policies and Procedures Under Applicable Laws and Regulations
  2. Document Review and Retention
  3. Compliance Timetables
  4. Developing Appropriate Communications with Outside Parties
  5. Company Education and Awareness
  6. Employee Communication Channels
  7. Special Compliance Needs in Mergers and Acquisitions
  8. Compliance Manual
4. Appendix Of Forms And Exhibits
  1. Introduction
  2. Corporate Compliance Materials For Fair Hiring And Termination Law
  3. Other Human Resource Material Related To Fair Hiring And Termination Law
- Table Of Statutes, Rules And Regulations
- Table Of Cases
- Index
Designing an Effective Securities Compliance Program - Volume 10
1. Necessity Of Securities Compliance Program
  1. Introduction
  2. Objectives Of Compliance Program
  3. Overview Of Applicable Law
  4. Industry Self-Regulation
  5. Liability And Enforcement
2. Establishing And Monitoring Securities Compliance Program
  1. Educating And Communicating With Management
  2. Establishing Compliance Team And Disclosure Committee
  3. Risk Assessment
3. Components Of Securities Compliance Program
  1. Assessing Current Policies And Procedures
  2. Document Review And Retention
  3. Compliance Timetables
  4. Developing Appropriate Communications With Outside Parties
  5. Company Education And Awareness
  6. Special Needs In Mergers And Acquisitions
  7. Derivatives
4. Appendix Of Forms And Exhibits
  1. Government Forms
  2. Requirements And Schedules
  3. Questionnaires
  4. Memoranda
  5. Board Of Director Materials
  6. Miscellaneous Materials
- Table Of Statutes, Rules And Regulations
- Table Of Cases
- Index
Designing an Effective Antitrust Complance Program - Volume 11
1. Necessity Of An Antitrust Compliance Program
  1. Objectives Of Compliance Program
  2. Overview Of Applicable Law
  3. Areas Of Particular Compliance Concern
  4. Enforcement Of Federal Antitrust Laws
  5. European Union Competition Law
2. Establishing And Monitoring Antitrust Compliance Program
  1. Getting Started
  2. Risk Assessment And Cost Assessment
  3. Sentencing Guidelines As Motivation Model
3. Components Of Antitrust Compliance Program
  1. Written Compliance Materials
  2. Employee Education And Training
  3. Program Monitoring And Implementation
  4. Program Audits, Formal Audits And Internal Investigations
  5. Conducting Internal Investigation
  6. Document Retention Programs
  7. Auditing Participation In Trade Associations
4. Appendix Of Forms And Exhibits
- Table Of Statutes, Rules And Regulations
- Table Of Cases
- Index
Designing an Effective FCPA and Anti-Bribery Compliance Program - volume 12
1. The Necessity for Anti-Bribery Compliance
2. Establishing and Monitoring an Anti-Bribery Compliance Program
3. Components of an Effective Anti-Bribery Compliance Program
  1. Overview
  2. Written Compliance Materials
  3. Employee Education and Training
  4. Program Monitoring and Implementation
  5. Document-Retention Programs
4. Conducting an Internal FCPA Investigation
5. Appendix of Forms and Exhibits
- Table of Laws and Rules
- Table of Cases
- Index

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