Tag: ECI

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Compliance Into the Weeds

The ECI 2021 Global Business Ethics Survey


Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into findings, conclusions and recommendations in the ECI 2021 GBES.  Some of the issues we consider are:

  • What were the key findings of the GBES?
  • What pressure are employees under?
  • What were the findings on observed misconduct and the reported misconduct?
  • Troubling findings on retaliation.
  • What has been the impact of Covid-19 on compliance and ethics?
  • What were the conclusions and recommendations? 

Resources
Matt’s blog post on Radical Compliance:
Report: Ethics Pressures Mounting on Employees
ECI
2021 Global Business Ethics Survey
Next week, Tom will have a 5-part podcast series on the FCPA Compliance Report, featuring ECI President Pat Harned discussing the 2021 GBES.

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Creativity and Compliance

Earnie Broughton on Elevating Ethics & Compliance Certification


Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network to explore these issues. In today’s episode we are joined by Earnie Broughton, Senior Advisor at ECI. We visit with Earnie  about ECI’s recently published new, on-demand Elevating Ethics & Compliance Certification prep course and how ECI utilized some creative approaches to ensure the course is engaging and even a little fun.
Some of the highlights include:

  • The professional journey of Earnie Broughton.
  • How Earnie has used comedic training videos successfully in a corporate compliance function.
  • What is Elevating Ethics & Compliance or E2C?
  • The process which ECI used to create E2C and Ronnie’s involvement.
  • Who are Val and Reggie and what is there role in E2C?
  • How did Ronnie help to increase the engagement of the training with elements of fun?

Resources 
Ronnie Feldman
Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)
Learnings & Entertainments (Website)
60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.
Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.
Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.
ECI
For more information on ECI, click here.
For more information on ECI’s new and innovative E2C Training and certification, click here.

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FCPA Compliance Report

Pat Harned on ECI’s IMPACT 2020

In the Episode, I visit with Pat Harned, President of the Ethics & Compliance Initiative (ECI). We discuss ECI’s upcoming virtual conference IMPACT 2020. As the first major compliance annual conference to go virtual, ECI faced unique challenges to bring the top speakers and thought leaders to this event. Find out how they did so as Harned and Tom Fox discuss some of the highlights of this most unique event.
Some of the highlights include:

  • Keynotes speeches include Sally Yates, Anita Hill, David Rock and Jan Schwartz.
  • Earn up to 15 CEUs – Participate in, view and earn CEUs for every session, even those happening concurrently!
  • On-Demand Access – Watch and participate in exceptional keynotes and benchmarking sessions live as well as on-demand through the event library for up to one year.
  • Assess Your Program – Register for the event and you will be provided access to ECI’s High-Quality Program (HQP) Assessment. Take the survey and gauge the maturity of your E&C program prior to the event. This assessment is valued at $500 for individual users but is included in IMPACT registration!
  • Get Valuable Benchmarks – Throughout the conference we will be sharing metrics from the HQP and compare your results with your peers.

 Resources
It’s not too late to register for IMPACT 2020. Conference information and registration available here. For more information on ECI, click here.

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FCPA Compliance Report

FCPA Compliance Report-Episode 431, Pat Harned with Impact 2019 Wrap Up

In this episode I visit with Pat Harned, CEO at the Ethics and Compliance Initiative. We discuss the ECI’s recently concluded annual conference, Impact and some of the highlights for both Pat and myself. The theme of the event was ECI’s High Quality Program (HQP) Framework Assessment. Some of the highlights from the podcast include:

  1. The key theme was the HQP Framework Assessment tool. How did the genius bar facilitate discussions around the tool?
  2. How the physical layout of the event facilitated the thorough discussions at Impact 2019.
  3. How ECI will use the momentum from this event going forward.
  4. Some of the working groups which have come out of this event and will working to enhance the HQP.
  5. What is next for the High-Quality Program and Framework Assessment?
  6. A preview of some of the upcoming ECI events people can look forward to in the summer and fall, 2019.

Resources: For more information on ECI, click here. For information on the High-Quality Program, click here. For information on the HQP Framework Assessment, click here.

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FCPA Compliance Report

IMPACT2019, Amy Edmondson on Creating a Safe Workspace

In this episode I visit with Amy Edmondson about her upcoming keynote speech at IMPACT2019, entitled “The Fearless Organization: Creating Psychological Safety for Learning, Innovation, and Growth”. Some of the highlights from the podcast include:

  1. Beginning in the 1990s Edmondson began research how organizations are made better by creating safe spaces for employees to speak up.
  2. Why listening is the key trait for every leader.
  3. Your organization can have stretch goals but you must have open ears.
  4. How failure to listen to employees who speak up can cause business losses.
  5. Information on why you should attend ECI’s IMPACT2019.

Resources:
Amy Edmondson LinkedIn profile
Registration and Information on IMPACT2019 here.

Categories
FCPA Compliance Report

FCPA Compliance Report-Episode 424, David Childers on the New ECI Self-Assessment Tool

In this episode I visit with David Childers, the Senior Vice President at Ethics & Compliance Initiative (ECI). We discuss ECI’s High-Quality Ethics & Compliance Program (HQP) Self-Assessment Tool.

Some of the highlights from the podcast include:
What are the 5 Principals of a HQP? They include: Strategy, Risk Management, Culture, Speaking Up and Accountability.
What are the 5 operational areas of an E&C program? They include:

  • E&C is central to business strategy
  • E&C risks are identified, owned, managed and mitigated
  • Leaders at all levels across the organization build and sustain a culture of integrity
  • The organization encourages, protects and values the reporting of concerns and suspected wrongdoing
  • The organization takes action and holds itself accountable when wrongdoing occurs

What is the design of the Self-Assessment tool? While the methodology is fairly complex, for the participant it is only 107 multiple choice questions and it takes less than 30 minutes to complete.
What is it designed to measure? The HQP Assessment measures program maturity based on a combination of questions regarding 27 operating components and more than 100 program practices.
What are the four categories of reporting information for each principal? They include:(1) What to measure/review; (2) Questions to consider ; (3) Potential sources of information and (4) Leading practices illustrative of HQPs.
What are the five-point scale for program maturity? Program maturity is based on five levels, which are represented on a 0-100 scale.

  • UNDERDEVELOPED
  • DEFINING
  • ADAPTING
  • MANAGING
  • OPTIMIZING

The HQP Assessment tool is a measure of where an organization believes their E&C program operates based on the five principles.   The assessment can be used in several ways.  We have organizations that are looking for program improvement. The assessment can be a baseline for measured improvement.   It can also be a qualification.  As we said this isn’t about a score.  In some industries, being at the managing level of maturity may be sufficient for their risk.  Most of all it is a great way to create dialog and discussion with your leadership using a definitive measure of your program.
How will ECI use this information going forward? We are already seeing important trend and insights from the data. We will introduce many of these findings are our Annual Conference in Dallas, and we are developing working groups within our membership to explore some the findings to refine best practices and guidelines for program improvement.
For more information on the ECI Self-Assessment Tool, go to www.ethics.org
Registration and Information on IMPACT2019 here.

Categories
FCPA Compliance Report

IMPACT 2019- Sam Silverstein on Accountability

In this episode I visit with Sam Silverstein about his upcoming keynote speech at IMPACT 2019, entitled “Inspiring Accountability at Every Level”. Some of the highlights from the podcast include:

  1. Why Silverstein believes that “Accountability is the Highest Form of Leadership”.
  2. The problems he sees with the way companies talk about “accountability”.
  3. How accountability can create impact and influence for your organization through a leader’s values.
  4. How accountability enhances corporate culture and improves the organization.
  5. Information on why you should attend ECI’s IMPACT 2019.

Resources:
Sam Silverstein bio here
Sam Silverstein website, on how to lead with accountability here
Registration and Information on IMPACT 2019 here.