OD Applications in Ethics and Compliance


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OD Applications in Ethics and Compliance

  1. 1. OD Applications in Ethics and Compliance ASTD Suncoast OD Sig April 3, 2009 Presented by: Celia Szelwach, CCEP OD/Learning and Ethics Professional [email_address] http://www.linkedin.com/in/celiaszelwach Cell: 941.545.6383 “ We must ultimately face the consequences of our choices” -- The Pocket Power Book of Integrity
  2. 2. Trends <ul><li>To have an effective ethics and compliance program, an org. shall: </li></ul><ul><ul><li>Exercise due diligence to prevent and detect criminal conduct (misconduct); and </li></ul></ul><ul><ul><li>Otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law. </li></ul></ul><ul><ul><li>Which guidelines establish this? ________________________ </li></ul></ul><ul><li>Government contractors must conduct themselves with the highest degree of integrity and honesty. For contract value more than $5mm and performance longer than 120 days in the U.S., they shall: </li></ul><ul><ul><li>Have and provide a written code of conduct (w/in 30 days) to ee’s. </li></ul></ul><ul><ul><li>Promote Code through ongoing training, awareness, and internal controls (w/in 90 days). </li></ul></ul><ul><ul><li>HelpLine posters for anonymous reporting/guidance. </li></ul></ul><ul><ul><li>Establish system of internal controls and review/audits of program. </li></ul></ul><ul><ul><li>Which regulations establish this? _________________________ </li></ul></ul>
  3. 3. Trends <ul><li>Sarbanes-Oxley Act (SOX) of 2002. </li></ul><ul><li>Ethics Resource Center 2007 National Business Ethics Survey (NBES): </li></ul><ul><ul><li>____% of companies have a well-implemented ethics and compliance program in place. </li></ul></ul><ul><ul><li>____% of companies have strong ethical cultures. </li></ul></ul><ul><li>SHRM “The Ethics Landscape in American Business” June 2008 Survey. </li></ul><ul><li>EEOC reports record-breaking job discrimination claims: 95,402 for FY2008, 15% increase from 2007. </li></ul><ul><li>Global interdependence—FCPA, OECD, etc. </li></ul>
  4. 4. The Ethics Iceberg* Below the waterline “ Influencing factors that may be tough to see” <ul><li>___________ </li></ul>“ May be observable” <ul><li>__________ </li></ul><ul><li>__________ </li></ul><ul><li>__________ </li></ul><ul><li>__________ </li></ul>* Adapted from IntegratedEthics, an initiative of the VA’s National Center for Ethics
  5. 5. OD Interventions (Solutions) <ul><li>Training and Communications (Values, Code, Policies) </li></ul><ul><ul><li>Newsletters, emails, online Code training and Ethical Moments ™ , Lunch and Learns, intranet site, job-aids; FAQs </li></ul></ul><ul><li>Ethical Leadership and Culture Building </li></ul><ul><ul><li>Leadership Development, Ethical DM (Case Studies); Project Mgr Webinars (COI) </li></ul></ul><ul><ul><li>Climate Survey (FY08 baseline) </li></ul></ul><ul><ul><li>Employee engagement; Trust </li></ul></ul><ul><li>Recognition and Incentives </li></ul><ul><ul><li>Annual Ethics Award (Individual or Team) </li></ul></ul><ul><ul><li>Letters of Appreciation </li></ul></ul><ul><ul><li>Framed Certificate </li></ul></ul>
  6. 6. OD Interventions (Solutions) <ul><li>Coaching, Consulting, and Guidance </li></ul><ul><ul><li>Interpret Code of Conduct, Policies, and Procedures </li></ul></ul><ul><ul><li>Coaching on ethical decisions and choices </li></ul></ul><ul><ul><li>Coaching on resolving conflicts—manager/employee, peer/peer </li></ul></ul><ul><li>Gap Analysis, Data Collection, Evaluation, and Feedback </li></ul><ul><ul><li>Oversee investigation teams and follow-up on HelpLine </li></ul></ul><ul><ul><li>Collect Levels 1, 2, 3, and 4 evaluations (Kirkpatrick’s 4 Levels) </li></ul></ul><ul><ul><li>Ethics and Compliance Scorecard </li></ul></ul><ul><li>Corporate Social Responsibility </li></ul><ul><ul><li>Corporate reputation, image, and branding </li></ul></ul><ul><ul><li>Commitment to Clients, Culture, Company, and Community </li></ul></ul><ul><ul><li>High School Leadership & Ethics Conference—curriculum </li></ul></ul>
  7. 7. Lessons Learned <ul><li>Communicate and shape perceptions of the business value of leading ethically . Align tone at the top and tone at the middle. </li></ul><ul><li>Emphasize the right behaviors rather than what to avoid </li></ul><ul><li>Engage managers and supervisors up front so they know their role in building an ethical culture and climate </li></ul><ul><li>Integrate the Core Values and ethical behaviors into all HR systems and people processes; Emplace consequences (positive/negative) </li></ul><ul><li>Culture “refinement” takes time, patience, and trust; Honor the past while creating the future </li></ul>“ Are we living the role we should be modeling?” --The Pocket Power Book of Integrity
  8. 8. Ethics Resources <ul><li>Ethics Resource Center (ERC) www.ethics.org </li></ul><ul><li>Ethics & Compliance Officer Association (ECOA) www.theecoa.org </li></ul><ul><li>Society of Corporate Compliance and Ethics (SCCE) www.corporatecompliance.org </li></ul><ul><li>Transparency International www.transparency.org </li></ul><ul><li>Compliance Week www.complianceweek.com </li></ul><ul><li>The Ethics and Compliance Handbook by Ethics and Compliance Officer Association </li></ul><ul><li>The Ethical Executive by Robert Hoyk and Paul Hersey </li></ul><ul><li>The Speed of Trust by Stephen M.R. Covey </li></ul><ul><li>Meeting the Ethical Challenges of Leadership by Craig Johnson </li></ul><ul><li>“ Moral Person and Moral Manager: How Executives Develop a Reputation for Ethical Leadership” by Trevino, Hartman, and Brown in California Management Review Vol 2 No 4 Sum 2000 </li></ul>