What’s the Goal?

In organizations with High Quality Programs (HQPs), E&C is not just a function on a chart; it is widely considered to be central to business success.  Hear from winners of the Carol R. Marshall Award for Innovation in E&C about the ways they have embedded E&C in their organization and how they engaged leaders in the effort.

• Bobby Kipp, facilitator
• Previous Marshall Awardees
• 2019 Marshall Award winner

Integration of E&C Into Business Strategy:  Where Do We Stand?

During this session ECI will reveal the HQP Bench-Mark for comparison with each attendee’s HQP Assessment Tool results.

To What Extent is E&C Positioned for Success?

This session will focus on the steps practitioners take to make E&C more than just a function on their organizational chart.  Peer presenters will share insights from their organizational efforts, and in roundtable discussions participants will compare notes and additional benchmarks from the HQP Assessment Tool.

Peer Presenters & Facilitator:  Page Motes, Sr. Managing Director- Global Ethics & Compliance, Dell

TABLE DISCUSSION TOPICS

What Are Others Doing? Benchmarks to be Shared:

• Inclusion of E&C in company goals
• Representation of E&C in high-level teams
• Access to the board and/or its committees
• E&C involvement in organizational strategy
• Senior leaders’ relating E&C to their operations
• Efforts to continually improve the E&C program

Do We Have the Resources, Structure, Staff, and Relationships to Succeed?

Participants will discuss the resources E&C teams need to integrity into business operations.  Peer presenters will share insights from their experiences, and in roundtable discussions participants will discuss additional benchmarks from the HQP Assessment Tool.

Peer Presenters & Facilitators:  Michael Volkov, CEO, The Volkov Group

Roundtable Discussions

• Resources dedicated to the E&C function
• Scope of E&C program responsibilities
• Program structure
• Outreach to business leaders & managers
• Collaboration with other key functions (HR, audit, etc.)

During the networking break and throughout the happy hour reception, ECI’s “HQP Genius Bar” will be open to help attendees with their own HQP assessment, provide additional analysis and answer questions about the HQP Assessment process.

Measuring E&C Program Quality

Two years ago, several members of the ECI community formed a Working Group, and set about the creation of a roadmap for measuring the quality of an E&C program.  The members of the group will share insights from that process and their lessons learned about measuring the maturity of an E&C program.

• Compliance Week, facilitator
• Karen Clappsaddle, Ethics Director, Lockheed Martin
• Suzanne Milton, Vice President, US Food
• Steve Scarpino, Director, Ethics & Compliance, BP
• Paul Zikmund, Deputy Chief Compliance Officer, Bunge

This session will be broadcast live and available by Livestream.  Registration details coming soon.

During the break ECI’s “HQP Genius Bar” will be open to help attendees with their own HQP assessment, provide additional analysis and answer questions about the HQP Assessment process.

What’s the Goal?

An important characteristic of an HQP is that responsibility for risk identification and mitigation is shared across the organization, yet E&C program is a key component of the effort.  What should that look like?  Hear from a panel of experts with a unique perspective – independent monitors who have worked with organizations to review/refine their risk assessment processes in the wake of compliance failures.

• Jeremy Wilson, Conduct Risk Leader, Wells Fargo & Company, facilitator
• Eric Feldman, independent monitor for Booz Allen
• Scott Marrah, independent monitor for Volkswagen

Identification & Mitigation of E&C Risks:  Where Do We Stand?

ECI will reveal HQP Assessment averages and benchmarks from participation in the High Quality Program (HQP) Assessment Tool.

Are We Effectively Integrating E&C Into the Overall Risk Process?

The focus of this session will be the steps organizations take to integrate E&C into the enterprise-wide risk assessment process.  Peer presenters will share insights from their organizational efforts, and in roundtable discussions participants will compare notes and additional benchmarks from the HQP Assessment Tool.

Peer Presenters & Facilitators:

Steve Guymon, Senior Director, Ethics and Compliance, Eli Lilly

Roundtable Discussions:

• Involvement of E&C in enterprise-wide risk management
• Calibration of E&C program objectives to key risk areas
• Support & resources for employees exposed to E&C risks
• E&C involvement in third party due diligence
• Standards & monitoring third parties

Are We Doing Enough to Identify & Mitigate E&C Risks?

Participants will discuss what organizations are actually doing to identify and mitigate E&C related risks.  Peer presenters will share insights from their experiences, and in roundtable discussions participants will discuss additional benchmarks from the HQP Assessment Tool.

Peer Presenters and Facilitator:

David Bunker, Compliance Officer, Vulkan, Inc.

Roundtable Discussions:

• Leadership engagement in identifying & mitigating risks
• Defining/identifying E&C-related risks
• Helping leaders understand their E&C risks
• Helping employees understand E&C risks
• Monitoring the integrity of third-parties

During the break ECI’s “HQP Genius Bar” will be open to help attendees with their own HQP assessment, provide additional analysis and answer questions about the HQP Assessment process.

What’s the Goal?

What does it look like when every employee lives by the core values?  Organizational accountability is more than just disciplining wrongdoers; it is creating an environment where everyone understands and accepts their role in holding themselves accountable for their behavior.  Sam Silverstein, CEO of a think tank dedicated to the advancement of organizational accountability, will share insights and suggestions for “building a culture of accountability.”

• Sam Silverstein, Author of No Matter What: The 10 Commandments of Accountability

Taking Action & Holding Ourselves Accountable:  Where Do We Stand?

ECI will reveal the industry average for from the High Quality Program (HQP) Assessment.

How Well Do We Set the Expectation that Employees Will Be Held Accountable?

The focus of this session will be the steps organizations take to create a shared understanding that employees will be held accountable for wrongdoing.  Peer presenters will share insights from their organizational efforts, and in roundtable discussions participants will compare notes and additional benchmarks from the HQP Assessment Tool.

Peer Presenters and Facilitator:

TBD, The Boeing Company

Roundtable Discussions:

• Promotion of organizational values & standards
• Communication that violations will not be tolerated
• E&C in incentive programs and performance reviews
• Leadership accountability for ethical conduct
• Getting leaders/managers to hold people accountable

Do We Have the Resources, Processes and Follow-Through to Hold People Accountable?

Participants will discuss what organizations do to actually hold violators accountable when violations occur.  Peer presenters will share insights from their experiences, and in roundtable discussions participants will discuss additional benchmarks from the HQP Assessment Tool.

Peer Presenters and Facilitator:

• Wendy Evans, Senior Corporate Ethics Investigator, Lockheed Martin
• Roxane MacGillivray, Senior Corporate Ethics Investigator, Lockheed Martin

Roundtable Discussions:

• Policies and procedures for reporting misconduct
• Communication of reporting channels
• Systems for escalating significant reports
• Maintaining investigative excellence
• Case tracking and management
• Disciplinary procedures
• Review processes & continuous improvement

During the networking break and throughout the happy hour reception, ECI’s “HQP Genius Bar” will be open to help attendees with their own HQP assessment, provide additional analysis and answer questions about the HQP Assessment process.

Presentation of the 2019 Marshall Award

Patricia Harned, CEO, ECI

Creating an Ethical Speak-Up Culture

 What’s the Goal?

A critical element in the effort to create a high quality E&C program is the perceived ability – by everyone – to speak up with questions and concerns, and to catch and correct deviations quickly.  The foremost scholar on “psychological safety” in the workplace will share tips and tools to help employees feel safe in speaking up.

• Amy Edmondson, Novartis Professor of Leadership and Management, Harvard Business School

Building A Strong, Ethical, Speak-Up Culture:  Where Do We Stand?

ECI will reveal the industry average for from the High Quality Program (HQP) Assessment

To What Extent Does Our Culture Encourage Ethical Behavior?

The focus of this session will be the steps organizations take to build and sustain a strong culture of integrity.  Peer presenters will share insights from their organizational efforts, and in roundtable discussions participants will compare notes and additional benchmarks from the HQP Assessment Tool.

Peer Presenters and Facilitator:

Keturah Pestel, Program Maters and Facilitator:nager, Business Ethics Office, Thrivent

• Myra Dingman, Global Ethics Learning Leader, Deloitte Touche Tohmatsu

Roundtable Discussions:

• Incentivizing leaders to act with integrity
• Promoting organizational values
• Enlisting leaders in the effort to build culture
• Enlisting employees in the effort to build culture
• Encouraging employees to raise concerns

How Well Do We Protect People Who Come Forward to Raise Concerns?

Participants will discuss they ways organizations encourage, protect, and value the reporting of suspected misconduct.  Peer presenters will share insights from their experiences, and in roundtable discussions participants will discuss additional benchmarks from the HQP Assessment Tool.

Peer Presenters and Facilitator:

• Victoria Sweeney, Principal, KPMG
• Kaia Samson, Risk & Compliance Manager, Valiant Integrated

Roundtable Discussions:

• Empowering employees to raise concerns
• Mechanisms for reporting
• Tracking and escalating reports that are received
• Ensuring consistent and fair treatment of reporters
• Anti-retaliation strategies
• Communication with employees about reports received & disciplinary action taken

Who says that E&C can’t be fun? 

For years, Tony Brigmon was Ambassador of Fun and “the face” for organizational values at Southwest Airlines.  Join us for a lighthearted closing session, and learn how to create a FUNOMENAL workplace.

Tony Brigmon, Former Ambassador of FUN, Southwest Airlines

Closing Remarks: Patricia J. Harned, Ph.D., CEO and Cindy Moehring, Chair, ECA Board of Directors