Designing an Effective Ethics and Compliance Program: Unit 3

2020 ◽  
pp. 577-612
Author(s):  
Eduardo Esteban Mariscotti
2004 ◽  
Author(s):  
Jesse L. Walker ◽  
Shilo H. Anders ◽  
Sarah J. Swierenga

Author(s):  
Christian Hauser

AbstractIn recent years, trade-control laws and regulations such as embargoes and sanctions have gained importance. However, there is limited empirical research on the ways in which small- and medium-sized enterprises (SMEs) respond to such coercive economic measures. Building on the literature on organizational responses to external demands and behavioral ethics, this study addresses this issue to better understand how external pressures and managerial decision-making are associated with the scope of trade-control compliance programs. Based on a sample of 289 SMEs, the findings show that the organizational responses of SMEs reflect proportionate adjustments to regulatory pressures but only if decision-makers are well informed and aware of the prevailing rules and regulations. Conversely, uninformed decision-making leads to a disproportionate response resulting in an inadequately reduced scope of the compliance program. In addition, the results indicate that SMEs that are highly integrated into supply chains are susceptible to passing-the-buck behavior.


Author(s):  
Andrew Celovsky ◽  
Randy Lesco ◽  
Brian Gale ◽  
Jeffrey Sypes

Ten years ago Atomic Energy of Canada developed a Type B(U)-85 shipping container for the global transport of highly radioactive materials. This paper reviews the development of the container, including a summary of the design requirements, a review of the selected materials and key design elements, and the results of the major qualification tests (drop testing, fire test, leak tightness testing, and shielding integrity tests). As a result of the testing, improvements to the structural, thermal and containment design were made. Such improvements, and reasons thereof, are noted. Also provided is a summary of the additional analysis work required to upgrade the package from a Type B(U) to a Type B(F), i.e. essentially upgrading the container to include fissile radioisotopes to the authorized radioactive contents list. Having a certified shipping container is only one aspect governing the global shipments of radioactive material. By necessity the shipment of radioactive material is a highly regulated environment. This paper also explores the experiences with other key aspects of radioactive shipments, including the service procedures used to maintain the container certification, the associated compliance program for radioactive material shipments, and the shipping logistics involved in the transport.


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