Reading Time: 7 minutes

Leadership Professional in Ethics and Compliance Certification (LPEC)

Earn your compliance certification and position yourself as a dedicated E&C professional.

Leadership Professional in Ethics and Compliance Certification Logo
LPEC certified ethics & compliance practitioners have positioned themselves as experts in the field. LPEC certification shows that you have the requisite, working knowledge to build and sustain thriving E&C programs to the highest possible standard.

Leadership Professional in Ethics and Compliance Certification is:

  • Awarded to those who successfully pass the 100-question LPEC exam.
  • Based on deep-knowledge of our High-Quality Program principles.
  • Available to members and non-members.

Continue on your path of excellence. Contact us today by filling out the form on the right, or e-mailing us at certification@ethics.org

LPEC Certification is governed by the board of the Ethics & Compliance Certification Institute (ECCI), the certification arm of ECI.

New Training Courses are Starting Soon

Fall course begins September 15, 2020

Winter course begins December 8, 2020

Enroll Today

Contact Us Today and Become LPEC Certified

View Detailed Outline of the Elevating Ethics & Compliance (E2C) Course Work

Session 1 – Introduction (90 minutes)
  • Logistics
  • Organization of the content
    • Course overview
  • Introduction to ECI’s five principles of High Quality E&C Programs (HQP)
    • Understanding HQP’s link to the FSG and OCED and ISO standards
    • Applying the five HQP Principles1. E&C is central to business strategy – ability to make a business case utilizing the supporting objectives.2. E&C risks are identified, owned, managed and mitigated – understanding the tools and activities necessary to compete for executive and board attention3. Leaders at all levels across the organization build and sustain a culture of integrity – understanding, engaging and presenting the power of culture utilizing the C-suite, executives and managers.4. The organization encourages, protects and values the reporting of concerns and suspected wrongdoing – alignment of tone and policy; training and leveraging middle managers, developing consideration for all stakeholders (including third-parties) of the organization.5. The organization takes action and holds itself accountable when wrongdoing occurs – how to report, define, investigate, resolve and contain misconduct.
  • Discuss the Fundamental elements of an ethics and compliance program
    • How do I lead and interact and with these elements?
    • How do I evaluate the efficacy of my elements?
      • Benchmarking
      • KPI
      • Analysis
  • Communicating E&C’s value and promoting operational performance

HR, Legal, Privacy, Audit, Sales & Marketing, Procurement, Corporate Responsibility, Government Affairs, Finance & Accounting, Information Security / IT, Investor Relations, Line Management, Senior Management, Board of Directors

  • Impact of Effective E&C Programs (ECI Research)
  • Value of Effective CECO to Business
  • Scope of an effective CECO’s role & areas outside of E&C that are important to know about
  • Challenge of Building & Sustaining an HQP
  • Effective Leadership
    • Qualities of good leaders
    • Defining the role of the CECO (ECI Research findings)
Session 2 – Strategic E&C (60 minutes)
  • Overview of HQP Principle 1:E&C as central to business strategy

The Role of the Chief Ethics & Compliance Officer

  • Defining the organization’s compliance vision and strategy
  • Assessing a Code of Conduct
    • Developing consistency with the letter and spirit of law, organization’s core values, and universal ethical principles
    • Relevance to employees’ jobs
    • Clarity about what employees should do in specific situations
    • Readability and cultural-appropriateness
  • Relationship between Ethics & Compliance and function that manages policies
    • Which policies are “owned” by E&C?
    • Which policies apply only to employees and which apply to everyone (e.g., contractors, agents)?
    • Readability and cultural-appropriateness
  • Assisting senior management in its oversight of the organization’s compliance program
  • Monitoring and evaluating the proper functioning and effectiveness of the compliance program
  • Understanding business strategy
    • Positioning E&C inside the mind of the C-Suite
    • Connecting E&C to the business
    • Strategic Planning
    • Key business documents & C-suite activities every CECO should pay attention to
  • Establishing and Maintaining Critical CECO Internal Relationships
    • The CECO’s relationships to peer functions within the organization
    • The CECO’s relationships with the business units & divisions
    • The CECO’s relationship with business staff: sales, development, R&D, etc.
    • The CECO’s relationship with the governing bodies (C-Suite, board)
Session 3 – Identifying & Mitigating Risk
  • Overview of HQP Principle 2: E&C risks are identified, owned, managed and mitigated
  • Components and tactical understanding of the ERM process
    • Understanding the basic elements of ERM programs
    • Assessing risk and developing a repeatable process to establish risk levels
    • Identifying, analyzing and prioritizing risks
    • Defining the necessary countermeasures to mitigate risk
    • Understanding the cost/benefit analysis of countermeasures
    • Devising a governance structure for oversight – with responsibility for escalation
    • Review of information systems to support decisions, monitoring and communication
    • Understanding how an organization’s culture affects its risk profile
  • Understanding the factors that affect risk
    • Industry dynamics
    • Business structure
    • Size of the business in $$
    • Size of the business in EE
    • Products and services
    • Geographies served/Location of the operations
    • Size of the third-party or external stakeholder network
    • Controls already in place and mitigation history
    • Mission, vision, and values (espoused and lived)
  • Risk taxonomy of Key Indicators
    • KRIs (Key Risk Indicators)
    • KPIs (Key Performance Indicators)
    • KCI (Key Control Indicators)
    • BEICFs (Business Environment (BE) and Internal Control Factors (ICF))
  • Aligning to business activities and conditions, how to:
    • Determining whether any additional E&C communications (training or other) should be targeted systemically or by operating group on any given topic
    • Developing/enhancing E&C audit protocols, monitoring tools and other approaches to “checking” on both an enterprise-wide, local “level” and with “third-parties”
    • Identifying E&C risks and if additional controls are warranted
    • Establishing additional E&C oversight/reporting responsibilities for high-risk areas
    • Assessing whether incentives in any part of the Company pose an undue risk from a E&C perspective
    • Importance of metrics for measuring the effectiveness of E&C efforts
    • Identifying cultural or geographic E&C risks
    • Reporting program review and oversight to the Board
  • Understanding and utilization of the tools and methodologies for understanding ERM results
    • Radar Map
    • Heat Map
    • Risk Ranking
    • Venn Diagram
Session 4 – Leadership & Culture
  • Overview of HQP Principle 3:Leaders at all levels across the organization build and sustain a culture of integrity
  • Understanding Culture
    • Impact on employee behavior
    • Why the view is rosier at the top (ECI research)
    • Drivers of culture (ECI research)
    • Enforcement attitudes about the role of culture
  • Getting buy-in on the importance of culture
    • Ethical leadership in setting tone (ECI’s research)
    • Connecting and evangelizing E&C to business leaders
    • Performance metrics for leaders (ECI ERAs)
  • Strong cultures have two primary drivers:how do you develop them
  • Exploring what and how organizations find themselves in serious ethics and compliance trouble
  • Creating and Measuring Culture:
    • Communications
    • Tone at the Top
    • “Mood in the Middle”
    • Recruiting
    • Socialization and Training
    • Global Considerations
    • Third Parties (Vendor, Supplier, Agent)
    • Maintaining an Evolving Culture
    • Appraisal, Discipline and Reward Systems
  • Utilizing measurement tools and math
Session 5 – Encouraging Reporting
  • Overview of HQP Principle 4:The organization encourages, protects and values the reporting of concerns and suspected wrongdoing
  • Understanding Retaliation
    • Top 10 Forms of Retaliation (Perceived by Reporters of Misconduct)
    • NBES Research on Retaliation
  • 7 Keys to Open and Non-Retaliatory Environments
    • Developing clear and effective code standards
    • Fostering a culture that values communication and admitting mistakes
    • Creating and advertising multiple communication channel
  • Understanding how and where incidents are reported
    EE Reporting, Direct manager or another member of management, Ethics and Compliance Office (or Ombudsman), Local/Regional designates, Functional department (e.g., Finance, HR, Legal), Audit, Helpline/Hotline, Board Audit or Compliance Committee, Real time/near time Observation, Technology
  • Developing a consistent, repeatable review, triage and follow-up process for all reports and inquiries
  • Despite the SOX emphasis, most reports or allegations of misconduct go to managers
    • Training managers to understand the how and why of report intake
    • Best Practice Incident Helpline Reporting Flow Chart
    • Training managers to understand reporting triage steps
    • Training employees and other stakeholders how, what and where to communicate their feedback and concerns
  • Reasons for considering an outsourced helpline/hotline
    • Tracking Internal Reporting and Helpline/Hotline Metrics
    • Using internal reporting data to evaluate many areas of E&C programs and culture
    • Defining Reporting KPI and Metrics
  • Implementing a problem focused investigation process
Session 6 – Accountability & Continuous Improvement
  • Overview of Principle 5: The organization takes action and holds itself accountable when wrongdoing occurs
  • Interpreting the importance of accountability
    • Views about accountability by level (ECI research)
    • Procedural justice
    • Communicating disciplinary actions
  • Internal Investigations -- How E&C Leaders control, execute and manage investigations of misconduct
    • How/when to bring in 3rd parties
  • Applying root cause analysis to understand what led to misconduct and prevent recurrence
  • Protecting whistleblowers and others participating in the investigation of misconduct from retaliation
  • Developing continuous program improvement
    • Reasons to evaluate program elements
    • Measuring the effectiveness of program activities
    • Providing evidence that the program is working and improving
      • Benchmarking – internal, nationwide surveys, industry data
      • Using Employee Surveys
      • Assessing compliance with policies and the law
      • Adjusting to changing economic and regulatory environment
      • Identifying training needs
    • E&C Standards used to Evaluate Programs
      • Steps for Effective Measurement (ECI Research)
      • Growing recognition of culture as a measure of program effectiveness
      • Using ROI as a measure for E&C function