Workshop Slides Sht 02

8/10/2019 Workshop Slides Sht 02

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Implementing Ethics in theWorkplace:

Creating the Process(Abridged version) a program of theGreater Omaha !siness Ethics Consorti!mat Creighton "niversit#

$ponsored b#


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The Seven Sentencing Guidelines

%& 'aving $tandards& Assigned esponsibilit# * Ade+!ate

eso!rces,& -!e diligence in 'iring.& Comm!nications and /raining

0& 1onitoring2 A!diting2 eporting3& Promotion and Enforcement of EthicalCond!ct4& easonable $teps to Prevent 1iscond!ct


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/he Challenge is -oing 1ore 5ith 6ess%& 'ave a Plan * preferabl# a long range plan

& 'ave s!pport at the /op and an 7Ethics /eam8,& Get an Ethics9Compliance Committee Chartered.& P!t in place a 7Code of Cond!ct80& Get a 'elpline $et "p

3& Comm!nicate to 1anagers9Emplo#ees4& -o $ome /raining * E*1ail2Web2 ideo2;& Attend Other 1eetings or /raining $essions


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Ever# Compan# is "ni+!e6eadership

'istor#

C!lt!rePolicies

Practices

Peopleeg!lator# Environment


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Gall!p Organi ation ?indings /one at the /op

A6"E$

One of the$even -emands of 6eadership


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GO EC 555&omahaethics&org

Gall!p esearch ased ?indings

-!ring nearl# fort# #ears of research and tensof tho!sands of intervie5s2 Gall!p has

determined the$even -emands of 6eadership&

/hese are behaviors of individ!als 5hoare perceived as leaders 5ithin their

organi ations2 comm!nities andnations&


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W'A/ G EA/ 6EA-E $ -O 1O$/* the most commonl# e>pressed demands

Gall!p Organi ation

VISIONING

MENTORING

CHALLENGING EXPERIENCES

KNOWING SELF

MAKING SENSE OF EXPERIENCES

STABILIZING VALUES

BUILD A CONSTITUENCY

7

D

E

M

A

N

D

S


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Allocation of TimeFor Creating Alignment

Gallup Organization

Typical

Drafting & RedraftingStatements

IdentifyingCore Values

CreatingAlignment

Desired

IdentifyingCore Values

CreatingAlignment

Drafting &RedraftingStatements

0-5% 90-100% 0-5%

0-5%10-20% 80-90%


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Organi ation and Personnel


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'o5 to 1anageOrgani ational EthicsB

%& Create a formal program 59reso!rces

& P!t someone in charge of itGeneral Co!nsel' director Internal a!ditor


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eport toD

CEOoard of -irectors

Committee of the oard of -irectors$enior E>ec!tive


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$!pport for 1anagingOrgani ational Ethics Programs

Ethics and Compliance Officer Association

http:99555&theecoa&org9
http://www.theecoa.org/http://www.theecoa.org/


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Compliance and Ethics Program

Compliancewith Laws

EthicalBehavior SWEETSWEETSPOT SPOT


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C $@E Compliance Organi ation

Board of Directors

Audit & Compliance Committee

Corporate Compliance fficer !"P Level#

Compliance Department !with dedicated Staff#

Compliance Cross $unctional Team %em ers


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esponsibilities'( Provide Guidance and Answer )uestions

Create and Assist in Creating Policy & Procedure

Develop and Deliver Training

Foster Awareness & Encourage Ethical Behaviors

*( +espond to Auditors and +egulators

,( +espond to Complaints !+eceive-.nvestigate-Document-+esolve#

/( Liaison with the Board of Directors

isten

!eport

0( 1eep Current on and $acilitate Compliance with Laws and +egulations


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Comm!nication /raining

Getting the right message o!t


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1ethods of Comm!nication

Eval!ate c!rrent ethics comm!nication lines

?ormal and informal do5n5ard2 !p5ard2 and t5o 5a#

Clear2 consistent2 credible messages acrosscomm!nication lines


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1ore abo!t 1ethods ofComm!nication

'iring Anno!ncementsWebsiteEmail

roch!res1eetings ?ormal InformalOrientation sessions@e5sletters

1an!alsCode 'andbooks 59certificationsadges and Wallet Cards

He# ?obs


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Ethics /raining

-esign for individ!al gro!ps

Gro!ps: ne5 recr!its e>isting emplo#ees

top management local management


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Ethics /raining

6ive

Comp!ter based

/rainers

Certification


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'elplines9'otlines

Getting $tarted2 O!tso!rcing2 Case1anagement2 Operational ?lo52

Processes2 and more

?actors and ?eat!res


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Introd!ction3hat is a helpline9hotline and 5hat do #o! need to do toestablish oneB

3h4 set !p a helpline9hotlineB

3ho sho!ld ans5er the lineB

5ow does a helpline9hotline 5orkB

3hen can #o! e>pect to f!ll# implement ahelpline9hotlineB

$ree Advice 6 vendor selection 7positioning2 themes2+!estions


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WhatD& A 'elpline9'otline Is and$ome Alternative eporting

1echanisms

'elplineD& a confidential toll*free telephone n!mber for emplo#ees orothers to report s!spected violations of la5 or compan# polic# and toans5er polic# +!estions

'otline foc!ses on the reporting of s!spected violations and

emergenciesConsider departmental needs9re+!irements ($afet#2 EEO2 A!dit2Environmental2 ' )

Evol!tion of reporting channels ?rom post office bo>es /o confidential fa>es /o voice mailbo>es /o confidential e*mails /o 5eb*based reporting s#stems


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What D& Fo! @eed to Establish a'elpline

$enior 1anagement $!pport and some 1one#

"nderstandable G!idelines for !sing the 'elpline that eflect #o!rOrgani ational al!es and Policies

1!lti*f!nction s!pport (Comm!nications2 ' 2 I/2 6a52 EEO2Operating2 A!dit2 etc&)

-esignated $!pport Personnel

Acco!ntabilit# and follo5*!p

Comm!nications and Emplo#ee A5areness


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"nion Pacific s al!es 6ineEstablished in %


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Wh#D&$et !p a 'elpline or'otlineB

"nderstand the obJectives

Increased emphasis on organi ational ethics and compliancecarrot and stick incentives

Establish formal monitoring2 a!diting and reporting s#stems

Provide anon#mo!s channel for reporting s!spected violations(5hich ma# other5ise be !nreported)

aise a5areness of commitment to ethical cond!ct

Establish a proven2 effective tool for protecting compan#


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Wh#D $et !p a 'elpline or 'otlineB6egal and eg!lator# e+!irements

?ederal $entencing g!idelines One of seven steps in an effectiveethics and compliance program

$EC implementing r!les

@e5 Fork $tock E>change proposed listing re+!irements

$arbanes*O>le# Act (enacted == ) $ections ,=% and ;=3


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Who D& sho!ld ans5er the lineB-ecision Process

E>ternal .949,30 Anon#mit# 1!ltiling!al

Perceived confidentialit# endor ?eat!res

Internal $taffing9b!dget /ime constraints

Emplo#ee tr!st Hno5ledge of Policies /ranslation servicesB /raining9/!rnover $oft5are


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WhoBD&Anal# ing endors

endor $election Process /alk 5ith people 5ho have lines

isit endor Websites

evie5 intake process9proced!res

e+!est proposals2 revie5 best practices

Incl!de #o!r I/ department

Perhaps absorb e>isting call s#stem(s)

Consider hidden costs2 e>tra reporting


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'o5D& -oes a report line 5orkB

* Call is placed to the "P al!es 6inedesignated toll*free n!mber (;==*


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Operational He# Points$pread O!t the WorkE>pect %* K of Emplo#ees to call9#r Who Calls the 6ineB/#pes of Calls2 Categories

Anon#mo!s vers!s Identified ( =9;=)$!fficient Investigation eso!rces@o etaliation for good faith reportingConfidentialit# to e>tent possible?ollo5 !p is essential


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L!estionsB

Cost M%20== to M,=2===N per #ear N #o!r time

eports see hando!ts

endors /he @et5ork2 EthicsPoint2 6ightho!se2 Allegiance2 and man# more& $ee hando!ts of hotline best practices

'elping to maintain a c!lt!re of integrit#


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EnforcementEns!ring ObservanceP!tting into practice

1aking it happen


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Enforcement

ealit#: Codes and r!les 5itho!tenforcement and adherence are !seless&

L!estion: 'o5 do 5e ens!re compliance5ith legal r!les and corporate policiesB


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Wh# sho!ld #o! enforceB

You have Two Choices :Corporate Enforcement

Government Enforcement

/he best enforcement is self*enforcement

etter #o!r compan# do it than the EEO2$EC2 I $2 co!rt2 etc&


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/#pes of Enforcement/he best polic# is to prevent 5rongdoing

%& Getting Compliance (preventative)/raining and Ed!cation ( I didn t kno5 )

evie5: A!dit for compliance and +!alit#

Incentives: compensation and recognition1odel: 6eadership talks2 and 5alks the talk

& P!nishment (responsive)Clear $anctions in placeEthics Committee (method in place)$omeone 5ith oversight responsibilit#


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Implementing Enforcement

Consistenc# is Important across ?irm Cross*check from ' for termination iss!es

Codified Polic# is helpf!lFet2 ?le>ibilit# is important also

eali e ?iring is sometimes correct action

for sake of firm&"nions !s!all# have process9e>pectations


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Correcting Problems

$entencing G!idelines also re+!ire that #o!have a method of remed#ing ethical problemareas in #o!r corporate c!lt!re

E>amples: Ethics committees Omb!dsman Ethics Officer $tated Corporate Polic# On Correction Proced!re


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The Seven Sentencing Guidelines

%& 'aving $tandards& Assigned esponsibilit# * Ade+!ate

eso!rces,& -!e diligence in 'iring.& Comm!nications and /raining0& 1onitoring2 A!diting2 eporting3& Promotion and Enforcement of EthicalCond!ct4& easonable $teps to Prevent 1iscond!ct


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Wrap "p -isc!ssion

Documents

Workshop Slides Sht 02