Gaming the 7 Elements

Transcription

1 Gaming the 7 Elements Barbara Harmon, CCEP Compliance and Ethics Program Lead, Alyeska Pipeline Service Co SCCE Compliance and Ethics Regional Conference, Anchorage, AK 1 Overview Network with local compliance and ethics colleagues while reviewing the seven elements of an effective compliance program Explore subliminal messaging techniques to communicate compliance and ethics expectations Move your compliance program from check the box to think outside of the box 2 1

2 Who Are You? ( Who Who. Who Who. ) A. Health B. Government C. Finances/Banking D. Oil/Gas/Energy E. Engineering/Construction F. Other 0% 0% 0% 0% 0% 0% Health Government Finances/Banking Oil/Gas/Energy Engineering/Construction Other 3 Who Are You? Department = A. Compliance / Ethics B. Law C. Financial Controls D. Contracts/ Supply Chain Management E. Human Resources F. Other 0% 0% 0% 0% 0% 0% A. B. C. D. E. F. 4 2

3 Who Are You? Experience with SCCE/ HCCA conferences A. First time attendee B. 2 nd time attendee C. 3 or more times; no certification D. Certified Compliance & Ethics Professional (or similar certification) A. B. C. D. 5 Formal Compliance & Ethics Programs began as a result of? A. Enron B. The Federal Sentencing Guidelines C. The Vietnam War 6 3

4 Will the Real 7 Elements Please Stand Up? A B C Standards & Procedures Standards, Policies & Procedures Standards, Policies & Procedures Oversight Designation of a Chief Oversight & Accountability Compliance Officer Due Diligence Reporting Process for Complaints Delegation of Authority Communication & Training Education & Training Education, Communication & Awareness Monitor, Audit, Evaluate and Have a Reporting System Enforcement, Discipline, & Incentives Audit & Evaluate to Monitor Disciplinary Mechanism Monitoring, Auditing, & Risk Assessment Enforcement, Discipline, & Incentives Response & Preventive Actions Investigate and Remediate Ongoing Program Improvements 7 1. Standards of Conduct, Policies & Procedures An organization shall establish standards of conduct, policies and procedures to prevent and detect criminal conduct and promote a organization culture that encourages ethical conduct. YOUR MUST HAVE DOCUMENT: CODE OF CONDUCT 8 4

5 Vote for your top five most important policy/procedures for an organization to establish. 9 Table Team Feud Pick your top five most important policy/procedure for an organization to establish. A. Anti Discrimination/ Diversity policy B. Auditing & Monitoring practices F. Non retaliation policy G. Records Management policy C. Conflict of Interest policy H. Substance Abuse policy D. Fraud & Abuse Prevention practices E. Information Privacy/Security policies I. Supplier/Vendor Due Diligence policies J. Reporting Concerns Procedure 10 5

6 2. Oversight Peer to Peer Social Collaboration Wants a Coach, Not a Manager Seeks Stimulation & Engagement An organization s governing authority and organizational leadership shall be Independent, knowledgeable Resourceful, Self Sufficient, Flexible about the content and operation Appreciates of the Having compliance Fun at Work and ethics program, and specific high level individual(s) shall be assigned direct, overall responsibility to ensure the effectiveness of the program. Uncomfortable promoting knowledge sharing Age + Tenure = Experience Defer to hierarchy Oversight Peer to Peer Social Collaboration Wants a Coach, Not a Manager Seeks Stimulation & Engagement Uncomfortable promoting knowledge sharing Age + Tenure = Experience Defer to hierarchy 12 6

7 3. Due Diligence The organization shall use reasonable efforts to not give substantial authority to any individual who they knew/should have known had illegal conduct or other conduct inconsistent with an effective compliance and ethics program. (i.e. Don t hire or promote crooks). 13 BLUFF THE COMPLIANCE OFFICER 14 7

8 4. Communication & Training The organization shall take reasonable steps to communicate its compliance standards and procedures. 5. Monitoring, Auditing and Evaluation The organization (must use) monitoring and auditing to detect criminal conduct and have in place & publicizing a reporting system whereby employees can report (misconduct) without fear of retribution

9 6. Enforcement, Discipline, Incentives The organization s compliance and ethics program shall be enforced consistently through appropriate incentives and appropriate disciplinary measures. 17 SCAVENGER HUNT 18 9

10 7. Response & Prevention The organization shall take reasonable steps to respond appropriately to misconduct, prevent further similar misconduct, and make any necessary compliance and ethics program improvements. 19 YOU MAKE THE CALL 20 10

11 Key Points Doesn t matter what order or how you title the elements just make sure your Compliance & Ethics program has: Policies & Procedures Oversight/Compliance Officer Background Checks/Pre promotion Reviews Communication/Training Monitoring, Auditing, Risk Assessments Enforcement & Incentives Reporting Process for Concerns Investigation/Response/Prevention Think outside the box. Doing an activity or repackaging a concept in a different way is an effective method of gaining employee s attention long enough to sneak your message into their (unsuspecting?) consciousness. 21 Questions ~ Comments If plan A doesn't work, remember the alphabet has 25 more letters Claire Cook 22 11