1st Edition

Occupational Crime Deterrence, Investigation, and Reporting in Compliance with Federal Guidelines

By Ernest C. Blount Copyright 2002
    256 Pages 17 B/W Illustrations
    by Routledge


    While organizational entities cannot be sent to prison, they can be heavily fined, ordered to make restitution, placed on probation, forced to forfeit property, suffer public and stakeholder recriminations, and can be forced out of business. Avoid these unnecessary repercussions with Occupational Crime: Deterrence, Investigation, and Reporting in Compliance with Federal Guidelines. Whether you are starting from scratch or you wish to benchmark an existing program against another framework, this book takes you from legal mandates and program design to implementation and maintenance to help you develop an effective Employee Security-Awareness Program that accommodates the compliance needs specific to your organization.


    We all watched it happen: the demise of a powerhouse corporation caused by the irreverent and illegal actions of a handful of employees and executives. If it wasn't clear before the Enron/Arthur Andersen fiasco, it's painfully obvious now: Not only do we have to worry about our employees committing crimes against us as employers, we may even be held accountable for their actions! From governmental entities to partnerships to non-profit establishments - organizations can be indicted, criminally charged, prosecuted, and found guilty of criminal conduct. If you haven't yet heard of the US Sentencing Commission, and more specifically Chapter Eight, Sentencing of Organizations, of the United States Sentencing Guidelines, it's time to learn.

    Occupational Crime: Deterrence, Investigation, and Reporting in Compliance with Federal Guidelines clearly explains how Chapter Eight sets forth punishment for organizations convicted of federal crimes, including felonies and Class A misdemeanors, and describes an effective compliance program and other incentives that can mitigate sanctions. It begins by defining the problem of organizational crime and puts into perspective the abusive employee behavior problem. Then the book examines the price that businesses, institutions, individuals, and the nation pays for organizational crime and shows how to calculate those costs. Thirdly, it provides the tools for the solution of the problem - through the implementation and maintenance of a customized Employee Security-Awareness Program. Finally, the book provides supplemental materials you can use for program planning, records, and communications media.

    In every venue, societal and governmental, abusive employee behavior and occupational crime is a costly and intricate issue demanding vigilant management attention and diverse remedies. Considering the uniqueness of each company, there is no "one size fits all" formula for an effective compliance program. Written by a 25-year veteran of corporate internal security and a certified fraud examiner, Occupational Crime helps you customize, no matter the size or type of company, a compliance program that will meet and exceed federal guidelines. With its step-by-step presentation, you will learn how to prevent, detect, and report crimes committed by employees on behalf of or against your organization.


    What Is Abusive Employee Behavior
    The Threat Among Us
    Management's Contribution
    Management Attitudes and Practices
    Crime Causation and The Criminal Personality
    Ethical Considerations

    The Bottom Line
    The Personal Cost
    Calculating The Cost in Dollars
    Essentials of Data Collection
    Problematic Issues

    The Big Picture
    Key Components of Loss-Prevention
    The Importance of Management Commitment
    The Employee Security-Awareness Program
    Program Benefits
    Program Philosophy
    Program Goals
    The Employee Security Orientation
    The Importance of Employee Involvement
    Personal Safety and Security
    Communicate the Loss-Prevention Message
    Security Policies and Procedures
    Pre-Employment Screening
    Security Committees
    Discipline, Prosecution and Recovery of Losses
    The Integrity Line
    Security Related Exit Interviews

    Policy Development, Evaluation and Maintenance Cycle
    CEO Program Kick-Off Letter
    Customer Security Letter
    Vendor Security Letter
    Employee Security-Awareness Pamphlet Sample
    Cover-Jacket for Loss-Prevention Kit
    Employee Security Responsibilities
    Acknowledgment of Individual Security Responsibilities
    Instructions for Reporting Abusive Behavior
    Ideas for Corporate Security Themes
    Do-it-yourself Security Poster Ideas
    Sample Security Poster
    Security Telephone Sticker Reminders
    Security Hard-hat Sticker Reminders
    Security Paycheck Reminders
    Security Wallet-Card Reminder
    Security Newsletter Article
    Security Incident/Loss Report


    Ernest C. Blount

    "As an accountant in the security profession, [the author has] opened my eyes to areas I find relevant, currently topical and appropriate … captured my attention … aided me with understanding the impact occupational crime has on my staff, myself and the organization I am employed to support and protect. [The book] does a succinct job of outlining the problems, the costs, and the solutions. …provides well-researched and practical support materials to assist the proactive security conscious individual with development of a security awareness/loss contingency program."

    - Paul P. Donahue, CMA, CBM, ACFE

    "A well written eye opener, the subject of which is very timely and definitely needed in the current economic turmoil we are in. A 'must read' for all business management and auditors."

    - Richard J. Kamentz, CIA

    "The compelling insight [the author has] provided regarding the development of a culture for ethical corporate behavior transcends various diverse industries. I found this book to be an excellent resource for anyone who cares about the conduct and survival of their business. [It] not only provided great insight as to 'why' anyone in today's business environment would need to develop a meaningful corporate compliance program, but also a demystified and commonsense 'how to' approach."

    - Steven Mellion, MBA, MHA, CNHA