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. In this concluding episode Ronnie and Tom finish out their a five-part series on creative ideas you can use during the 2019 Corporate Compliance and Ethics Week, including using the Week as a stepping stone going forward.

In this Part 5, we wrap up our series on things you can do to foster greater communication for your compliance messaging. You should use compliance communications to educate and entertain. They should be designed to influence employee behavior. Tom and Ronnie both agree that Corporate Compliance and Ethics Week initiatives should only be seen as a starting point and must be followed up throughout the year.

Some of the ideas include:

  • Have Managers lead compliance related discussions; you can create toolkits for them with talking points.
  • Have senior management discuss an ethical dilemma they faced and how they resolved it.
  • Use real world examples to stress your company’s values.
  • Any initiatives you begin must be followed up throughout the year.

Resources:

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.

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. In this episode Ronnie and Tom continue their five-part series on creative ideas you can use during the 2019 Corporate Compliance and Ethics Week.

In this Part 4, we introduce the idea of bringing outside speakers and having them visit with your employees. You can expand this to a keynote talk, all of which is designed to help build your compliance brand within your organization. Tom and Ronnie both agree that Corporate Compliance and Ethics Week initiatives must be followed up throughout the year.

Some of the ideas include:

  • One of the ideas Ronnie put forward was to have an Art Show around compliance.
  • How about a nationally or even internationally famous Keynote Speaker around business ethics?
  • Someone from outside your organization might well have more credibility on overall ethics.
  • The speakers should give your employees pause to think more about business ethics and compliance.

Resources:

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.

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. In this episode, Matt Kelly and I go into the weeds on a recent academic paper by Stubben and Welch entitled, Are Secondhand Whistleblowing Reports More Credible. The authors reviewed data from the Navex Global data base of 2 million whistleblower reports from more than 1,000 companies from 2004 through 2017.  Their findings have significant implications for CCO, GCs and Boards of Directors.

Some of the highlights include:

  • Why is this the first international podcast of Compliance Into the Weeds?
  • What are the key differences between a first-hand whistleblower report and a secondhand report?
  • Why are over 47% more second-hand reports substantiated than first-hand reports?
  • Why do first-hand reports tend to be about actions against a person and secondhand reports be about things which happened to the organization?
  • What are the implications for triage/investigations of first and secondhand reports?
  • Is confirmation bias at work here?

For additional reading see the following:

Matt’s blog post, Study-Second Hand Reports More Reliable, on Radical Compliance.

Stubben and Welch, Are Secondhand Internal Whistleblowing Reports Credible?

As Tom recovers from the Astros loss to the Washington Nationals, two huge stories break, Unaoil guilty pleas and Jho Low agrees to forfeiture. He and Jay review them and reflect on some other of this week’s top compliance and ethics stories which caught their collective eyes.

  1. The Hoskins trial begins. Dylan Tokar reports in WSJ. Law360 has two reports: Daniel Seigel provides background and previews the case & Cara Salvatore on the DOJ Opening Statement.
  2. Jho Low agrees to forfeit all goods claimed by in US in its civil forfeiture actions. Byron Tau and Aruna Viswanathan report in the WSJ.
  3. Is the DFS about to bring the hammer down on cyber breaches? Davis Polk lawyers in NYU’s Compliance and Enforcement
  4. What are the stakes for corporate wrongdoers? Dan Portnoy in the Grand Jury Target.
  5. Unaoil CEO and COO, plus head of BD all plead guilty as pleas unsealed. Dick Cassin breaks the story in the FCPA Blog.
  6. Mattel announces material controls weakness. Jaclyn Jaeger reports in Compliance Week. (sub req’d)
  7. Should a merger partner be an ethical fit? Jay explores in his continuing series on CCI.
  8. What will the Crown Prosecution Service review of the SFO mean going forward? Sam Tate and Charlotte Thompson explains in the FCPA Blog.
  9. Quid Pro Quo-a Primer. Rick Messick in Global Anticorruption Blog.
  10. What are 5 steps you can engage in to improve BOD monitoring of compliance. Mike Volkov explains on Corruption, Crime and Compliance.
  11. Tom had a great group of top-notch podcasts, this week on the CPN. Check out the following lineup: FCPA Compliance Report– Steven Lofchie on the Cadwalader Cabinet; Innovation in Compliance-Thinkeen Law, a law firm that focuses on data and compliance; #GWIC with Part 1 of a 2-part podcast with Michelle Shapiro; 12 O’Clock High– Branding lessons from Count Dracula; Popcorn and Compliance-Jay and Tom consider the compliance angles from Star Trek II-The Wrath of Khan, Sunday Book Review-four books from the UNC Press. The podcasts are available on multiple sites: the FCPA Compliance Report, iTunes, JDSupra, Megaphone, YouTube,  Spotify and the Compliance Podcast Network.
  12. Check in next week where Ronnie Feldman and I have a 5-part podcast series on Creativity and Compliance celebrating Compliance Week 2019.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.

In this episode of Excellence in Training, Shawn Rogers provides some thoughts on how training frequency and the amount of training can positively or negatively impact an overall training strategy.

In our previous podcast, we talked about how compliance training is like a car’s windshield wiper system. That podcast was about measuring training effectiveness. In this episode, we extend the analogy of the windshield wipers and discuss how frequently compliance training should be administered. Often, companies have been conditioned to think that compliance training needs to be conducted very frequently, even if it means repeating the same training courses every year.

Today, we challenge that mindset, starting with the windshield wipers. Typically, you only turn on your windshield wipers when it is actually raining. Anytime you drive the vehicle, you know that the wiper system is in place. It’s always ready to be used if needed.

It would not make any sense to run your wipers constantly, even when it is not raining. First, it would be extremely annoying to the passengers if the wipers were always running. And second, eventually it would wear out both the wiper blades and the wiper motor. It would simply be nonsensical. Compliance training should be applied in a similar way. It should be available and ready to be used when the risks are present, and it should be applied in such a way so that it directly addresses those risks. In other words, before a company deploys its compliance training, it needs to know what the risks are, and the training program should be designed (“tailored”) to mitigate those specific risks (“risk-based”).

Requiring overly repetitive training is like running your windshield wipers in clear weather. The learners are going to be annoyed (rightfully), the training will be viewed as a waste of time and energy (which it would be), and the learners won’t take training as seriously when it is really needed to address a specific situation (because it is viewed as a check-the-box exercise).

There is a situation when you use your wipers during clear weather. This is when you want to clean — or “refresh” — your windshield. Over time, dirt can accumulate on the windshield and a little squirt of wiper fluid and a few swipes of the wipers will instantly clean the windshield and clear the driver’s view.

It be fantastic if we viewed compliance training in the same way instead of giving an hour-long course on a topic they have heard before, what if instead employees received a 10-minute “refresher” training just to maintain their awareness and get the message that they should constantly be vigilant?

There are some compliance topics that are so important to a company that training needs to be required fairly regularly, maybe even annually. For instance, at GM, we have decided that it is important to provide reminder training annually on a few topics:

  • The importance of our Code of Conduct;
  • The importance of speaking up when a concern is observed, and how to report the concern;
  • An understanding of the company’s non-retaliation policy;
  • The importance of workplace and vehicle safety; and
  • The requirement to disclose conflicts of interest.

At GM, we are moving towards a less frequent repetition of lengthy training courses for our current employees, and more frequent “refresher” or “reminder” training modules that keep the risk top-of-mind without assuming that lengthy courses need to be repeated every year. It is a very common sense and defensible approach to compliance training.

New GM employees are required to take more detailed courses during their first year so that they are exposed to the key risks in detail. After that, full-length courses are staggered in a three-year interval so we can keep the courses updated and to avoid over-training.

Disclaimer-As a company, GM uses many training vendors. GM’s compliance function primarily uses two vendors. Rogers has worked with other good vendors that currently do not work with GM. Rogers is not promoting any specific vendors, nor is he disparaging any specific vendors in this podcast. And, of course, these opinions are Roger’s alone and opinions that  developed over almost 15 years. He is not speaking on behalf of GM in any way.