You get it. Being an ethical organization matters. A lot. But ethics isn’t just a quarterly HR campaign or a glossy conduct guide; in order to really have a bottom-line business impact, organizational ethics must function as an integral pillar of company culture over time. So, what are the best practices to make sure your organization is regularly thinking about ethics and including it in everyday decision making? What are some creative ways to bring focus to this vital but often overlooked function? And how can you most effectively deal with and investigate an incident or a breach when it occurs?

1. …and Expertly Responding to Incidents
5 Steps to Creating an
Ethical Work Culture
Sharlyn Lauby, “The HR Bartender”
Jakub Ficner, Director of Partnerships, i-Sight

2. Today’s Presenters
Sharlyn Lauby, SHRM-
SCP
President, ITM Group
Inc.
Author, HR Bartender
Jakub Ficner
Director of Partnerships,
i-Sight

3. • Why ethics should be promoted and not assumed at work.
• The business benefits of leading an ethical organization.
• 5 activities to create an awesome ethical culture.
• Tips for ongoing monitoring of ethics within your
organization.
• How to respond to—and quickly resolve—an ethics
breach.
Our Agenda

4. Organizations Can’t Take Ethics as a “Given”
• 95% of the Fortune U.S. 100
and Global 100 have a code
of ethics.
• That number drops to 86%
when you look at the Fortune
200.
• Only 40% of employees with
knowledge of unethical
behavior report it.

5. • Outperforming
competition
• More employee
engagement
• Higher productivity
• Stronger brand affinity
• Fewer incidents of
misconduct
• Less costly fraud losses
• Lower turnover
• Higher profits!
The Benefits of an Ethical Culture

6. 5 Activities
to Create
an
Awesome
Ethical
Culture
Create ethics
guidelines
Lead by
example
Provide
training
and refreshers
Monitor risk
Review and
update

7. Poll: Does your organization have an
ethics policy in place?
A. Yes, and it’s working well for us.
B. Yes, but we’re concerned it’s missing something.
C. Not yet, we’re working on it.
D. Not sure we really need one.

8. Create
Ethics
Guidelines
• Include zero tolerance for
retaliation
• Reporting procedures are key
Source Image: University of Central Florida (Go Knights!)

9. The Keys to Empowering
Whistleblowers
• Multiple reporting avenues encourage speak-ups.
• Anonymous 2-way communication builds trust.
• Follow a speedy—and consistent—triage process.
• Data analytics flags similar issues, drives prevention.

10. ACFE Report: Occupational Fraud 2022
What formal reporting mechanism did whistleblowers use?

11. Lead By
Example
Discuss common ethical
dilemmas:
• The salesperson who makes
tons of money for the company
but isn’t very nice.
• The manager who takes credit
for an employee’s idea.
• The accounting clerk who
bends the rules on approved
expenses.
• The director who hires their
nephew and says, “Just don’t
tell anyone we’re related.”
Reach consensus on how they
will be handled
Hold each other accountable

12. When a Breach Occurs:
Be proactive - Incident response plan checklist:
1.Incident triage
2.Contain the risk
3.Make a timeline
4.Activate roles and
responsibilities
5.Notify necessary parties
6.Investigate or otherwise
work toward resolution
7.Complete documentation
(incident log, incident
report, investigation
report, root cause
analysis)
8.Write corrective and
preventive action plans
9.Analyze the effects these
plans have had and
rework if necessary

13. ACFE: Report to the Nations 2022
To whom did whistleblowers initially report?

14. Poll: Does your organization conduct
ethics training?
A. Yes, and we’ve received positive feedback.
B. Yes, but we think we need more.
C. We’re considering it.
D. No, the policy is enough.

15. Provide
Training
and
Refreshers
Make sure that employees
know your organization’s
standards:
• Orientation / Onboarding
• What to do if they have
questions
or concerns
• Refresher training
Consider training for
contractors and consultants

16. Training Supports Ethics &
Compliance
Tracking and reporting
on training for more
than 450,000
independent
distributors in 24
countries.

17. • Harassment
• Discrimination
• Safety and security
• Corruption, fraud, bribery, and
theft
Have a clear policy in place
• Internal: for employees
• External: for contractors,
consultants, and vendors
Monitor
Risk

18. Use Data Trends to Drive Prevention
• Reports help you spot trends and risks so you can focus
on prevention and make better business decisions.
• Identify gaps or room for improvement within your
process.
• Track root causes, corrective actions, and outcomes
related to
your cases.
• Determine where and when corrective or preventive
action is required and provide real-time information on
overdue cases, missed deadlines, and incomplete tasks.
• Leverage different types of visualizations to provide
insight into your data, such as meaningful location
intelligence, geographic clusters, and outliers.

19. Regularly
Review
and
Update
Compliance
Debrief
• What did we do well?
• What could we do
differently next time?

20. Manage Incidents Efficiently for
Continuous Improvement
Los Angeles Metro’s
Office of Civil Rights
streamlines case
tracking and reduces
information retrieval
from days to minutes.

21. RECAP:
5 Activities
to Create
an
Awesome
Ethical
Culture
Create ethics
guidelines
Lead by
example
Provide
training
and refreshers
Monitor risk
Review and
update

22. • The conversation about ethics cannot be a “given”.
• Employees want to be proud of where they work.
• That means not having to compromise their ethics.
Wrap-Up

23. Thank You for
Participating
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@isightsoftware
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marketing@i-sight.com
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om
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@hrbartender
@Sharlyn_Lauby