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Internal Ethics Officer Training:: Agenda
Internal Ethics Officer Training:: Agenda
Internal Ethics Officer Training:
Driving Program Consistency
SCCE’s 11th
Compliance & Ethics Institute
Karen Clapsaddle
Jessica Hoffman
15 October 2012
Agenda
• Mitigating Ethics Risk
• Ethics Officer Role
• Role Based Training Objectives
• Setting Up the Curriculum
• Assessing, Assigning, and Tracking
• Summary
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Mitigating Ethics Risks
Xx
Source: 2011 NBES: 2011 NBES
Well‐Implemented Programs Drive Strong Culture
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Lockheed Martin Corporation
LMC Ethics Reach
Global Security &
Info Tech Company
120,000+ Emps
2011 Sales: $46.5B
46 States +
75 Countries
Ethics Team = 60
Ethics Program Features
Independent Structure
Code of Conduct &
Awareness Training
Outreach
Policies
Investigations & Guidance
Monitoring Compliance Training
Outreach
Employee Survey
Reporting Mechanisms
Key Program Components
• Code of Conduct • Program Assessments
• Ethics Awareness • Helpline
• Communications • Database & Metrics
• Employee Survey • Steering Committee
• Investigations • Compliance Training
• Risk Mitigation • Supplier Mentoring
Need For Consistent Program Implementation
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Ethics Officer Role
• Implement Ethics Program Elements
• Educate, Advocate & Offer Guidance
• Master Multiple, Complex Tasks
• Investigate Allegations
• Partner with Legal, HR, Audit, Finance, Security
• Be a Trusted Resource for Leaders & Employees
Small Team Implementing Critical Program
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Ethics Officer Training Program
Ethics
Representatives
various
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Role Based Training Objectives
Formalize Knowledge Transfer
Multiple Training Tracks Based on Role
Instruct Fundamental & Advanced Skills
Enlist Internal Subject Matter Experts
Utilize Low‐cost, Existing Technology
Design Courses with Interactive Elements
Track Training & Report Individual’s Record
Standard Test of Training Content
Care & Feeding of the Ethics Officer
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Setting Up the Curriculum
Multiple Tracks for Target Audiences:
Long Term Ethics Officer
Rotational Ethics Officer
Ethics Representatives
Key Course Groupings:
Program Basics – Ethics Officer Skills –
Investigations – Database – Survey
LMC Course Curriculum
Rotational Ethics Officers: 13 required
Long Term Ethics Officers: 10 required
Ethics Representatives: 3 required
Electives: 14 required
Plus: Mandatory Ethics Quiz: All
30 Total Course Offerings
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Course Catalog Example
Program Basics Database & Metrics
ETH 101: Ethics Officer Fundamental CMT 101: Database Case Entries
ETH 102: Ethics Officer Resources CMT: Database Reports & Metrics
ETH 103: Code of Conduct
ETH 104: Gifts and Courtesies
ETH 107: Policy Primer Investigations
INV 101: Report Writing
INV 102: Interview Techniques
Ethics Officer Skills
SKL 101: Business Writing
SKL 102: Active Listening Surveys
SKL 103: Building Trust SUR 101: Analyzing Results
VOV 101: Leading Ethics Training SUR 102: Action Planning
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Assessing, Assigning, Tracking
ETH 101
ETH 102
ETH 103
ETH 104
ETH 105
ETH 106
ETH 107
ETH 108
INV 101
INV 102
INV 103
INV 104
INV 105
INV 106
CMT 101
CMT 102
SUR 101
SUR 102
VOV 101
SPC 101
SPC 102
SPC 103
SPC 104
SKL 101
SKL 102
Long-Term EOs
Black, Ed` X X X X X X X
Mark, Bill X X X X X X X
Block, Betty X X X X X X X
ETH 101
ETH 102
ETH 103
ETH 104
ETH 105
ETH 106
ETH 107
ETH 108
INV 101
INV 102
INV 103
INV 104
INV 105
INV 106
CMT 101
CMT 102
SUR 101
SUR 102
VOV 101
SPC 101
SPC 102
SPC 103
SPC 104
SKL 101
SKL 102
Rotational EOs
Brown, Sally X X X X X X X X X X X X X
Smith, Tom X X X X X X X X X X X X X
Crowne, Mike X X X X X X X X X X X X X
ETH 101
ETH 102
ETH 103
ETH 104
ETH 105
ETH 106
ETH 107
ETH 108
INV 101
INV 102
INV 103
INV 104
INV 105
INV 106
CMT 101
CMT 102
SUR 101
SUR 102
VOV 101
SPC 101
SPC 102
SPC 103
SPC 104
SKL 101
SKL 102
Ethics Reps
West, Martha X X X X
Street, Jason X X X X
King, Mike X X X X
Customize to Meeting Needs & Affordability
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Course Elements
Instructors: Internal Subject Matter Experts
Time: 30‐60 minutes
Participants: 10‐15 per Class
Delivery: Telecon & Live Meeting
Interval: One year, Two year, Once
Tracking: Self‐Acknowledge in Database
Schedule: “Training Wednesdays” (10 am/2pm)
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Sample Session
Subject:
ETH 101: Ethics Officer Fundamentals
Instructor:
Long‐term Ethics Director
Audience:
Rotational Ethics Officers; Long Term > 1 yr
Classes:
One‐hour Sessions; 10‐12 Attendees
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Sample Course Content
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Participant Polling
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Class Interactivity‐ Example 1
Laurin Mathson
EO Craig Cash
Bethesda, MD ES
Moorestown, NJ
Jim Messina
MFC
Orlando, FL
Chris Killion
IS&GS
Gaithersburg, MD
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Class Interactivity‐ Example 2
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Summary
• Well implemented ethics program positively
impacts culture and bottom line.
• Ethics team with uniform knowledge of
program elements drives consistency and
performance.
• Existing tools and internal resources can be
utilized to customize an affordable training
program for your team.
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