SCCE
Compliance R!sk Assessments: An Introduction is written by Judith W. Spain, JD, CCEP.
Risk assessments are the heart of an effective compliance and ethics program. They help build the framework around which your compliance program will operate. With them, you can create a system that not only finds compliance issues, but also works to keep those issues from happening. Without them, you'll only be reactive.
With the Compliance Risk Assessments book, you'll learn about the nature of risk and how compliance risk management differs from other forms of risk management. You'll learn to define your organization's compliance risk universe and how to assess and address those risks. This book covers each step of the process and how they feed into a functioning compliance and ethics program. It also outlines common pitfalls and ways to build toward continuous improvement.
In this podcast we review the changing importance of the concept of risk and risk management, which Judy argues, has moved from an insurance-based approach for mitigating damage after an event to a more proactive one designed to prevent the problem in the first place.
SCCE Intellectual Contributions
Books
Spain, J.W., (Contributor), Complete Healthcare Compliance Manual, Health Care Compliance Association, Minneapolis, MN (2021).
Spain, J.W., Compliance Risk Assessments: An Introduction, Society for Corporate Compliance and Ethics (2020).
Professional Publications
Spain, J.W. & Belluscio T., Animals in Interviews? Don’t Get Bit by Noncompliance, Compliance & Ethics Professional Journal, Society for Corporate Compliance and Ethics. (pp. 63-68, February 2017).
Spain, J.W. & Davis, T. Academic probation: Could UNC’s sanctions happen at your university? Compliance & Ethics Professionals Journal, Society for Corporate Compliance and Ethics. (pp 65-58, November 2016)
National Audio Webinars
Spain, J.W. &; Strauel, J. Journey Together to DEI Success with the Dynamic Duo: HR and Compliance”, Society for Corporation Compliance and Ethics, Member Exclusive Webinar (December 2022).
Spain, J.W., Risk Assessment: Foundation for Building an Effective Ethics & Compliance Program, Society for Corporate Compliance and Ethics, Member Exclusive Webinar (August 2021)
Spain, J.W., Risk Assessment: Foundation for Building an Effective Ethics & Compliance Program, Society for Corporate Compliance and Ethics, Member Exclusive Webinar (August 2020)
Spain, J.W., &; Davis, T., Athletics v. Academics: UNC’s Sanctions at your University?, Society for Corporate Compliance and Ethics Professional (December 3, 2015).
Professional Presentations
Spain, J.W. &; Strauel, J. Journey Together to DEI Success with the Dynamic Duo: HR and Compliance”, Society for Corporation Compliance and Ethics, 21st Annual Compliance & Ethics Institute, Phoenix, AZ. (October 2022).
Spain, J. & Macke, L., Think Outside the Box, Society for Corporation Compliance and Ethics Higher Education Compliance Conference, Orlando, FL (June 2019).
Spain, J.W., Participating, Developing, Leading, and Nurturing Lean-In Circles for Fellow Compliance Officers and Members of Your Organization, Higher Education Compliance Conference, Society for Corporate Compliance and Ethics, Austin, TX. (June 2018).
Spain, J.W. &; Barnes, A. Service Animals and Emotional Support Animals (ESAs): Increasing Complexities in Developing an Effective Policy and Process to Withstand Legal and Public Relations Scrutiny. Higher Education Compliance Conference, Society for Corporate Compliance and Ethics, Austin, TX. (June 2018).
Spain, J.W. &; Belluscio, T., Don’t Get Bitten by the Snake in Your Residence Hall: Using Best Practices to Build a Solid Assistive Animal Process and Policy, Higher Education Compliance Conference, Society for Corporate Compliance and Ethics, Baltimore, MD. (June 2017)