Podcasts about Compliance Week

In this week's special episode of Great Women in Compliance, Hemma interviews Ellen Hunt, a seasoned compliance professional and recent recipient of the Compliance Week Lifetime Achievement in Compliance Award. Ellen shares her journey from law to compliance, emphasizing the importance of organizational justice, psychological safety, and ethical decision-making. Listeners will gain insights into Ellen's approach to fostering a values-driven culture, her experiences and advice on ensuring transparency, the role of conflict in cultivating psychological safety, and her commitment to nurturing the compliance community. Highlights include:  Ellen Hunt's Career Journey and Recent Lifetime Achievement Award Organizational Justice and Compliance The Evolution of Ethics and Compliance The Role of Psychological Safety Ellen's Legacy in Elevating a Compliance Community Biography: Ellen is a lawyer, ethics and compliance professional, audit executive, and chief privacy officer. Before joining Spark Compliance Consulting, A Diligent Brand, Ellen was the Vice President of Compliance Program Operations, Chief Privacy Officer for LifePoint Health, and Senior Vice President of Audit, Ethics, and Compliance Officer for AARP. Ellen was named “Mentor of the Year” by Compliance Week in 2021 and the 2019 Not-For-Profit Compliance Officer of the Year by Women In Compliance. She received the Trust Across America Top Thought Leaders Lifetime Achievement Award in 2019 and was named a Top Mind by Compliance Week in 2016. Most recently, in April 2025, she was awarded a Lifetime Award for Compliance by Compliance Week. Ellen is an adjunct professor with the Fordham University School of Law, Program for Corporate Ethics and Compliance, teaching the Introduction to Compliance, Capstone, and Crisis Management courses. Ellen serves on the Advisory Boards for the Notre Dame Deloitte Center for Ethical Leadership, Loyola University Chicago School of Law-Compliance Studies, Compliance Week, and the Quorum Initiative. She is the co-founder of The Seven Elements Book Club, a book club devoted to ethics and compliance authors, and winner of the 2022 award for “Best New Idea” by the Great Women in Compliance podcast.

Fast-moving policy shifts in Washington are creating confusion for compliance teams. What's truly changing? What's political theater? And where is your real risk? In this episode, Matt Kelly, CEO of Radical Compliance and former Editor of Compliance Week, joins William Tyree, CMO of IntelligenceBank, to unpack the latest developments and cut through the noise. Together, they break down how political posturing, shifting enforcement priorities, and real regulatory threats are shaping the landscape for U.S. compliance leaders. You'll hear insights on whether compliance budgets and headcounts are at risk, if regulatory enforcement is easing or simply evolving, and which agencies continue to matter most as risk rises. If you oversee marketing compliance, this conversation will give your team the clarity it needs to stay proactive—not reactive. If you're a compliance, marketing or brand leader looking to improve campaign production, approvals, digital assets and brand governance, visit us at http://www.IntelligenceBank.com Learn more about Radical Compliance at https://www.radicalcompliance.com/  

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. Tom Fox is joined by Lisa Fine, Ellen Hunt, and Hemma Lomax from the Great Women in Compliance podcast for our annual GWIC/FCPA Compliance Report cross-post podcast. We recorded this at Compliance Week 2025. In this year of uncertainty and change in compliance, we discussed the need to revisit and emphasize foundational ethics amid the evolving compliance landscape, seeing uncertainty as a chance for professional growth and deeper ethical reflection. We also discussed integrating ethics into compliance functions and advocating for a community-oriented approach that respects diverse viewpoints and fosters global perspectives; highlighted the importance of innovative strategies and understanding human behavior, advocating for creative approaches like podcasts to foster a speak-up culture and stressing the use of technology and coaching to enhance ethical decision-making, ultimately contributing to a robust corporate culture capable of navigating international compliance challenges. Key highlights: Ethical Decision-Making in Times of Change and in a Global Business Arena Global Training Program for Anti-Corruption Enforcement Promoting Ethical Culture and Fair Treatment Harnessing Collective Energy for Compliance Excellence Resources: Lisa Fine on LinkedIn Ellen Hunt on LinkedIn Hemma Lomax on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Great Women in Compliance, we have a very special episode. Tom Fox joins Lisa Fine, Ellen Hunt and Hemma Lomax for our annual GWIC/FCPA Compliance Report cross-post podcast. We recorded this at Compliance Week 2025.   Our discussion centers around the current state of compliance, emphasizing the importance of community and collaboration. The panelists reflect on the vibe of Compliance Week 2025, highlighting keynotes and sessions that underscore the need for ethical decision-making, innovation, and professional growth amidst regulatory changes and uncertainties.  We took a deep dive into practical advice and creative ideas from the conference, such as compliance chronicles and internal podcasts, to foster a strong compliance culture. We discussed the global perspective on anti-corruption enforcement and the potential role of state attorneys general in the U.S. With a focus on community support and continuous improvement, this episode provides valuable insights and inspiration for compliance professionals.  Key Highlights ·      The Vibe at Compliance Week 2025 ·      Opportunities for Growth in Compliance ·      The Importance of Ethical Decision Making ·      Global Perspectives on Compliance ·      Practical Advice and Takeaways

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Ellen Hunt discusses her two presentations at Compliance Week 2025, “Culture Effectiveness and ROI: How to Move the Needle” and “Assessing Effectiveness: Do the 30-Year-Old Federal Sentencing Guidelines Still Work? “ In her first panel presentation, they will discuss the following: Demonstrate measurable and quantifiable ROI Build psychological safety that drives ethical decision-making and engagement. Navigate matrix environments to expand the influence. Use data to tell compelling compliance success stories. Partner with the C-suite to help them navigate disruptive changes, including deregulation and major economic geopolitical shifts. In her second presentation, she and Carrie Penman, the Chief Risk and Compliance Officer at Navex, will debate whether the US Sentencing Guidelines should be updated. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, Washington, D.C. The lineup is first-rate, with some top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Amanda Carty discusses her presentation at Compliance Week 2025, “Going Beyond Due Diligence in Risk Management.” Some of the issues she will discuss: Demonstrate measurable and quantifiable ROI Build psychological safety that drives ethical decision-making and engagement. Navigate matrix environments to expand the influence. Use data to tell compelling compliance success stories Partner with the C-suite to help them navigate disruptive changes, including deregulation and major economic geopolitical shifts. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, Washington, D.C. The lineup is first-rate, with some top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Kristy Grant-Hart discusses some of her panel at Compliance Week 2025, “A 360° Review of the Future of Compliance”. Some of the issues she and her panel will discuss: A comprehensive, forward-looking review of compliance across all roles within an organization. Emerging trends, critical challenges, and innovative strategies that compliance professionals need to navigate the future landscape successfully. Actionable recommendations on integrating compliance more deeply across organizational functions. I hope you can join us at Compliance Week's 20th Anniversary National Conference. This year's event will be held April 28-30 at The Mayflower Hotel, Autograph Collection, in Washington, D.C. The lineup is simply first-rate, with some of the top ethics and compliance practitioners around. Drop by the Diligent booth for some Compliance Podcast Network coffee to gain insights and make connections at the industry's premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 20th year, compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Learn more about your ad choices. Visit megaphone.fm/adchoices

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly take a deep dive into the intricate future of corporate compliance amidst changes brought by the presidential executive order suspending FCPA investigation and enforcement. Matt shares insights from a recent Compliance Week event in Boston, highlighting concerns among compliance professionals about the potential obsolescence of their roles. The discussion covers two primary scenarios: regulatory relaxation, making dedicated compliance roles redundant, and technological advancements, particularly AI, potentially replacing human compliance officers. However, both agree on the enduring importance of robust compliance functions integrated within corporate structures, emphasizing the strategic value of compliance in risk management and business operations. They explore the dual excitement and anxiety surrounding AI's role in compliance. Matt and Tom caution against shortsighted management decisions to decentralize compliance functions and highlight how AI can be harnessed to enhance rather than replace human oversight. They argue for proactive measures from compliance officers to demonstrate their value and leverage AI to improve compliance programs. As Matt eloquently puts it, this is a challenging yet opportune time for compliance professionals to up their game and secure their vital role in ensuring corporate integrity and efficiency. Key highlights: The Future of Compliance Post-Executive Order The Role of Technology in Compliance AI's Impact on Compliance Officers Strategic Imperatives for Compliance Resources: Matt in Radical Compliance Tom in the FCPA Compliance and Ethics Blog Hui Chen A Pause in FCPA Enforcement: Crisis or Opportunity Tom Instagram Facebook YouTube Twitter LinkedIn Compliance into the Weeds was recently honored as one of a Top 25 Regulatory Compliance Podcast Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of The Ethics Experts, Nick and Gio welcome Andrew McBride. Andrew McBride is the CEO of Integrity Bridge LLC, a consulting practice offering strategic & operational compliance support for companies. Andrew has over 25 years of compliance experience, at an international law firm and several multinational companies in the Americas, Europe and Australasia. In his most recent role as Chief Risk & Compliance Officer at Albemarle Corporation, he built a new ethics and compliance program, and recruited a new team, against the backdrop of an FCPA investigation. The investigation was resolved by way of a Non-Prosecution Agreement with the U.S. Department of Justice and Cease & Desist Order with the U.S. Securities and Exchange Commission. As part of the resolution, Albemarle secured a 45% reduction in penalty due to its co-operation with the investigation and the compliance program that was built, the largest FCPA % penalty reduction to date. In recognition of these efforts Albemarle was awarded Compliance Program of the Year by Compliance Week in May 2024. In parallel to the FCPA investigation and business ethics efforts, Andrew played a key role supporting Albemarle's commitment to sustainability including UN Global Compact membership, management of the company's human rights framework and support for the company's successful efforts to achieve certification against the Initiative of Responsible Mining Assurance (IRMA)'s Mining Standard. Prior to Albemarle, Andrew was Associate General Counsel Compliance at BHP, Senior Antitrust Counsel at BP and Managing Associate at Linklaters. Andrew is admitted to practice law in England, Western Australia & California. He is also a Certified Fraud Examiner.

In today's episode, Lisa speaks with a Great Gentleman in Compliance, Andrew McBride, the CEO and founder of Integrity Bridge. Andrew shares his journey in the compliance field from private practice, to becoming Chief Compliance Officer at Albemarle, to starting Integrity Bridge. At Albemarle, Andrew built a new ethics and compliance program against the backdrop of an FCPA investigation.  The work of Andrew and his team and their cooperation with the US Department of Justice, led to a decrease of 45% penalty reduction.  The program was also awarded Compliance Week's “Program of the Year” award. He highlights the importance of having a multifunctional approach to building compliance programs, working closely with various departments such as sales, procurement, and finance.  He also emphasizes how ethics and compliance teams are best positioned to succeed if they have different backgrounds and skill sets.   Andrew shares his experience in building Integrity Bridge, a consultancy focused on helping companies design and implement holistic compliance programs to proactively use technology and address risks which are constantly evolving.

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 award-winning Compliance Podcast Network.  Ronnie's company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies and resources more accessible. In this episode of Creativity and Compliance, hosts Tom Fox and Ronnie Feldman discuss the upcoming Corporate Compliance Week.  In this episode, Tom and Ronnie discusses the value of incorporating fun and interesting elements into compliance efforts, particularly during the dedicated week of Corporate Compliance Week in November. They highlight the success metrics such as increased policy access, video views, game participation, and swag distribution. The speaker suggests leveraging these successes to enhance business strategies and emphasizes the importance of engaging approaches throughout the year. Key Highlights ·      Embracing Fun and Interesting Activities ·      Measuring Success: Metrics and Engagement ·      Leveraging Success: Business Applications Resources: Ronnie Ronnie Feldman (LinkedIn) Learnings & Entertainments (LinkedIn)  Ronnie Feldman (Twitter) Learnings & Entertainments (Website) Compliance Confessions - inspired by "Mean Tweets" these 90-second commercials address misconceptions and excuses to promote speak up culture and the E&C team as positive and helpful.  E&C Training Jams - a soulful singer banters with ethics & compliance explaining policies, sharing examples and debunking excuses.  Tales from the Hotline – Real speak up-themed stories about workplace behavior gone wrong. Workplace Tonight Show! – E&C meets SNL Weekend Update explaining corporate risk topics and why employees should care. 60-Second Communication & Awareness Shorts – A variety of short, customizable, music and multimedia, quick-hitter “commercials” promoting integrity, compliance, speaking up and the E&C team as helpful advisors and coaches. Custom Live & Digital Programing – Custom creative programming that balances the seriousness of the subject matter with a more engaging delivery. After all, you can't bore people into learning. Tom Instagram Facebook YouTube Twitter LinkedIn For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Compliance Week's Aaron Nicodemus spoke with Hanjo Seibert, Managing Director and Partner at Boston Consulting Group, to chat about using data and technology in anti-money laundering and countering the finance of terrorism. 

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a very special group of guest panelists and one special guest host; some of the great women in compliance. In this special episode, Everything Compliance is by Kristy Grant-Hart, and the guest panelists include Karen Woody, Karen Moore, Lisa Fine and Hemma Lomax.  1. Karen Woody takes a deep dive into the current evolution of Caremark in Delaware. She raves about her alma mater UVA making the college baseball World Series and for this special GWIC-inspired edition of Everything Compliance. 2. Host Kristy Grant-Hart shouts out to Rachel Rogers, author of We Should All Be Millionaires and her call to action for women to lead more in politics, in business and in entrepreneurship.  3. Karen Moore explores whether Boeing will be prosecuted under its current DPA. She sends sympathies to the family of John Burnett, the Boeing whistleblower who died.  4. Lisa Fine takes a deep dive into the recent acquittal of Mike Lynch in his criminal case for the sale of Autonomy to HP. In her Raves and Rants segment, she has two raves. First to all the Dads out there, Happy Father's Day.  Her second is to Compliance Week retiring EIC Kyle Brasseur for his tenure at Compliance Week. 5. Hemma Lomax goes into a deep rant about compliance training. She raves about Everything Compliance for its first Great Women podcast and to Jiminy Cricket, whose signature phrase is “Let your conscience be your guide.” The members of this special episode of Everything Compliance are: •       Karen Woody – Is one of the top academic experts on the SEC. She is also the co-host of the award-winning podcast, The Woody Report.  •       Karen Moore is an Adjunct Law professor at the Fordham School of Law.  •       Lisa Fine – is a co-host of the award-winning Great Women in Compliance.  •       Hemma Lomax- is a co-host of the award-winning Great Women in Compliance.  The host of this special episode of Everything Compliance is Kristy Grant-Hart, founder of Spark Compliance and co-host of the award-winning podcast 2 Gurus Talk Compliance.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we have a very special group of raves and rantors; some of the great women in compliance. Hosted by Kristy Grant-Hart, they include Karen Woody, Karen Moore, Lisa Fine, and Hemma Lomax. Karen Woody raves about her alma mater, UVA, making the college baseball World Series and for this special GWIC-inspired edition of Everything Compliance. Karen Moore sends sympathies to the family of John Barnett, the Boeing whistleblower who died. Lisa Fine has two raves. First to all the Dads out there, Happy Father's Day! Her second is Compliance Week, retiring EIC Kyle Brasseur for his tenure at Compliance Week. Hemma Lomax raves about Everything Compliance for its first Great Women podcast and Jiminy Cricket, whose signature phrase is “Let your conscience be your guide.” Host Kristy Grant-Hart raves about Rachel Rodgers, author of We Should All Be Millionaires, and her call to action for women to lead more in politics, business, and entrepreneurship. The members of this special episode of Everything Compliance are: Karen Woody – is one of the top academic experts on the SEC. She is also the co-host of the award-winning podcast, The Woody Report. Karen Moore – is an Adjunct Law professor at the Fordham School of Law. Lisa Fine – is a co-host of the award-winning Great Women in Compliance. Hemma Lomax – is a co-host of the award-winning Great Women in Compliance. The host of this special episode of Everything Compliance is Kristy Grant-Hart, founder of Spark Compliance and co-host of the award-winning podcast 2 Gurus Talk Compliance.

In this special episode of ‘From the Editor's Desk,' host Tom Fox interviews Kyle Brasseur, who recently announced his retirement from Compliance Week, where he served as Editor-in-Chief. Kyle shares his journey from working in sports journalism to his pivot into the compliance field. He discusses his professional growth, the challenges and opportunities he faced, and the important stories covered during his tenure. The episode also explores the critical role of journalism in the compliance sector and delves into some of Kyle's most memorable moments, including his first published story and the development of the ‘Inside the Mind of the CCO' survey. To round off, the discussion shifts to sports, particularly the performance and expectations of the Boston Celtics. Kyle reflects on his experiences and shares his thoughts on the future, expressing gratitude towards the compliance community for their unparalleled support. Highlights Include: Kyle's Journey to Compliance Week Transition from Sports Journalism to Compliance Growth and Opportunities at Compliance Week Importance of Compliance Journalism Differences Between Sports and Compliance Journalism Becoming Editor-in-Chief Significant Stories and Editorial Changes Inside the Mind of the CCO Survey Final Thoughts and Farewell Resources: Kyle Brasseur on LinkedIn Compliance Week

Compliance Week's Aaron Nicodemus sat down for an exclusive chat with SEC Commissioner Hester Peirce covering the flood of new regulation emanating from the agency, stresses on compliance at smaller firms, CCO liability, and more.

Welcome to From the Editor's Desk, a podcast where co-hosts Tom Fox and Kyle Brasseur, EIC at Compliance Week, unpack some of the top stories that have appeared in Compliance Week over the past month, look at the top compliance stories upcoming for the next month, talk about some sports and generally try to solve the world's problems. Tom Fox and Kyle Brasseur are back, recapping highlights from Compliance Week 2024, focusing on core compliance topics taking center stage, notable panels, and the emphasis on learning from fellow compliance officers. They also share insights on the powerful role of AI and regulatory policies, reflecting on discussions with industry leaders and experts on managing AI as a tool within compliance frameworks. Additionally, the conversation turns to recent articles in Compliance Week, covering topics like regulatory agencies' need for CCOs, financial crimes, third-party risk management, and upcoming conferences. The hosts also touch upon sports, sharing their thoughts on the NBA playoffs and concluding with a discussion on the impact of a Netflix roast of Tom Brady, viewing it from a compliance and personal perspective. Highlights Include: Recapping Compliance Week 2024 Highlights The FDIC's Toxic Culture and the Need for CCOs in Regulatory Agencies Deep Dive into Compliance and AI at Compliance Week 2024 Exploring Recent Compliance Week Articles Previewing Upcoming Articles and Compliance Events Sports Segment: NBA and NHL Playoffs Insights The Roast of Tom Brady: A Compliance Perspective Resources: Kyle Brasseur on LinkedIn Compliance Week

Three experts join the Compliance Week podcast to discuss opportunities and risks posed by artificial intelligence, as well as governance frameworks your organization can implement to ensure AI tools are utilized safely and ethically.

Welcome to the Great Women in Compliance Podcast. We are back and excited for the next set of podcasts.  We kick off with a discussion between #teamgwic – Hemma Lomax, Ellen Hunt, Sarah Hadden and Lisa Fine to talk about the recent Compliance Week 2024 conference and the upcoming podcast episodes.  Compliance Week started with the Women in Compliance brunch, where Ellen spoke and Lisa moderated. The focus of the brunch was on Board Service, and started a week of knowledge sharing, best practices, lessons learned, and building community in our profession   It was a great week in D.C. with phenomenal speakers and information sharing. Most of all there was a positive energy from being surrounded by so many smart, dedicated, and hard working compliance professionals who are creating ethical cultures where people can speak up and be heard. Other key highlights included:  Key Highlights It was a great week in D.C. with phenomenal speakers and information sharing. Most of all there was a positive energy from being surrounded by so many smart, dedicated, and hard working compliance professionals who are creating ethical cultures where people can speak up and be heard. Other key highlights included:  ·      Empowering Women and Compliance Professionals for Board Positions  ·      Ethical Empowerment for Compliance Culture Transformation ·      Empowering Ethical Decision-Making in Compliance Programs ·      Collaborative Experience: Compliance Professionals Uniting to Support Each Other   The #GWIC podcasts thanks #ComplianceWeek, all of the speakers, attendees, and all of the #Ethics and #Compliance Community for making this profession such a fulfilling career.   Resources Join the Great Women in Compliance community on LinkedIn here. 

Andrew McBride, former chief risk and compliance officer at chemical company Albemarle Corp., joins the Compliance Week podcast with Aaron Nicodemus to preview his session at CW's 2024 National Conference in Washington, D.C.

Community News and Interviews for the Catskills & Northeast Pennsylvania

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 award-winning Compliance Podcast Network.  Ronnie's company, Learnings and Entertainment, utilizes the entertainment devices that people use to consume information in their everyday, non-work lives, and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies and resources more accessible. Today Ronnie and Tom discuss the philosophy behind Corporate Compliance and Ethics Week and using it as a jumping off point to discuss compliance year round.  Promoting corporate ethics is not a one-time event, but a year-round commitment that can be made engaging and interesting through creative activities. Tom believes that while Compliance and Ethics Week is a great initiative, the philosophy behind it should be applied throughout the year. He suggests using the momentum built during this week to engage employees in ethical discussions and training through creative methods like interviews, art exhibits, and game shows. Similarly, Ronnie believes that the philosophy behind Compliance Week should be a year-round commitment. He suggests implementing creative initiatives like talk shows, workshops, and repurposing fun games to address ethical subjects. Join Tom Fox and Ronnie Feldman as they delve deeper into this topic in this episode of the Creativity and Compliance podcast. Key Highlights ·      Promoting Year-Round Compliance and Ethics Engagement ·      Creating Engaging Compliance Apps for Millennials ·      Engaging and Memorable Compliance Activities ·      Exploring Ethics and Integrity Through Art Resources: Ronnie Ronnie Feldman (LinkedIn) Learnings & Entertainments (LinkedIn)  Ronnie Feldman (Twitter) Learnings & Entertainments (Website) Compliance Confessions - inspired by "Mean Tweets" these 90-second commercials address misconceptions and excuses to promote speak up culture and the E&C team as positive and helpful.  E&C Training Jams - a soulful singer banters with ethics & compliance explaining policies, sharing examples and debunking excuses.  Tales from the Hotline – Real speak up-themed stories about workplace behavior gone wrong. Workplace Tonight Show! – E&C meets SNL Weekend Update explaining corporate risk topics and why employees should care. 60-Second Communication & Awareness Shorts – A variety of short, customizable, music and multimedia, quick-hitter “commercials” promoting integrity, compliance, speaking up and the E&C team as helpful advisors and coaches. Custom Live & Digital Programing – Custom creative programming that balances the seriousness of the subject matter with a more engaging delivery. After all, you can't bore people into learning. Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Keeping the focus on the human element of ethics and compliance can help E&C programs move from “cop” to “coach.” But what does that look like in practice? In this episode of the Principled Podcast, host Susan Divers talks about the importance of humanizing ethics and compliance with Adam Balfour, the author of Ethics & Compliance for Humans. Listen in as the two discuss best practices that Adam has used over the course of his E&C career, managing regional and global ethics and compliance programs as well as leading areas of global risk management and privacy.  For a full transcript of this podcast, visit the episode page at LRN.com.   Guest: Adam Balfour Adam Balfour is on a mission to help make ethics and compliance more relatable and relevant for his fellow human beings. He likes to design ethics and compliance programs that employees can actually relate to, engage with and find useful. Originally from Scotland, Adam worked for a number of years as an attorney for two international law firms in New York before moving to Nashville, Tennessee to work for Bridgestone. He is an active member in the ethics and compliance community, a co-editor of the "Compliance and Ethics: Ideas & Answers" newsletter together with Joe Murphy, Jeff Kaplan, and Rebecca Walker, and CCEP certified. His first book, Ethics & Compliance for Humans, was published by CCI Press and is available now.      Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

The US Department of Justice Criminal Division has been increasingly vocal about what makes organizations' ethics and compliance programs effective. This input on program effectiveness takes the form of guidance to prosecutors about what questions to ask when companies negotiate to resolve DOJ investigations into corporate wrongdoing on favorable terms. What does this guidance on program effectiveness mean in practice for E&C professionals? In the season 10 premiere of LRN's Principled Podcast, host Susan Divers speaks with John Michelich, who retired last November after 35 years as a federal prosecutor with the Department of Justice's Criminal Division. Listen in as they explore how the DOJ evaluates E&C programs, as well as best practices for companies settling misconduct investigations.  For a full transcript of this podcast, visit the episode page at LRN.com   Guest: John Michelich John Michelich is a retired career prosecutor, who has served at the state, federal, and international levels for 45 years. A native of Illinois, John received his undergraduate education at Illinois Wesleyan University and then attended Drake University Law School in Des Moines, Iowa. For 10 years, John served as Assistant State's Attorney and First Assistant State's Attorney in Springfield, Illinois, where he prosecuted all types of state criminal felony violations including armed robbery, aggravated sexual assault and capital murder.    In 1988, John moved to Washington, DC where he began his 35-year career as a prosecutor with the US Department of Justice, Criminal Division. As a federal prosecutor, John has handled a wide variety of cases including child pornography and obscenity, narcotics distribution and all types of white-collar criminal cases. John served for 30 years as a prosecutor with the Fraud Section of the Criminal Division where he handled numerous cases including health care fraud, bank fraud, telemarketing fraud, commodities and securities fraud and violations of the Foreign Corrupt Practices Act. Because Washington DOJ lawyers are traveling prosecutors, John has handled grand jury proceedings or jury trials in more than two dozen federal districts nationwide from Guam and Hawaii to Puerto Rico, and California to New York. Over his long career, John has tried dozens of jury trials to verdict.   In 1998, the Justice Department sent John on loan to the United Nations' International Criminal Tribunal for the Former Yugoslavia, also known as the War Crimes Tribunal, in the Hague, Netherlands, where he handled investigations and Tribunal proceedings involving crimes against humanity and serious breaches of the Geneva Convention that occurred during the Yugoslavian civil war.    For over 40 years, John has been an active instructor of Trial Advocacy and has appeared regularly on the faculty of the NITA Trial Practice course offered at Georgetown University Law Center. In addition, John has served as an Adjunct Professor at Georgetown, teaching Trial Practice courses to third-year law students. In his retirement, John is available as a legal consultant to trial lawyers to advise them in preparation for jury trials and to consult with corporate counsel concerning internal investigations and to advise them on how to approach the government when there are allegations of wrongdoing, especially foreign bribery.  John is licensed to practice in the states of Illinois and Iowa, and several federal courts, and is a licensed Solicitor of the Senior Courts of England and Wales.      Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.  

Engagement is a hot topic in the ethics and compliance space—it impacts training, communications, and overall program effectiveness. But driving engagement gets tricky when you have a global presence or employee populations with different working conditions and technologies. How can E&C professionals foster engagement in a way that resonates with everyone—and even makes it fun? In this episode of LRN's Principled Podcast, host Dave Hansen talks with Kerry Ferwerda, the ethics and compliance manager for Europe at NSG Group, about how to plan a successful corporate ethics and compliance week. Listen in as the two discuss ideas and best practices around event content, communication, and participation.  For a transcript of this podcast, visit the episode page at LRN.com. Want to connect with your E&C peers? Apply here to join LRN co:lab, our award-winning community of ethics, compliance, legal, HR, and L&D professionals.   Guest: Kerry Ferwerda Kerry Ferwerda is the ethics and compliance manager for Europe at NSG Group, one of the world's largest manufacturers of glass and glazing products for architectural and automotive. it is also a leading supplier of technical glass products within its Creative Technology division. NSG has principal operations around the world with sales in over 100 countries.  A passionate advocate for doing business the right way, Kerry has worked within ethics and compliance for the past 10 years. During this time, Kerry has led E&C education initiatives across the group, operating across the business lines to develop and implement education programs that deliver value and embed a strong company culture.  Prior to joining ethics and compliance, Kerry worked within the group's Automotive Glass Replacement business unit for 12 years, gaining a wealth of experience in roles across multiple departments and functional disciplines—including Finance, Operations, Supply Chain, IS, and Customer Service.   Kerry holds a BSc (Hons) in Information Technology for Business from Aston University, Birmingham, UK. Host: Dave Hansen Dave Hansen is the global advocacy marketing director at LRN, an organization focused on ethics and compliance solutions that help people around the world do the right thing. His team drives LRN's customer obsession by building community, deepening customer engagement, and finding meaningful opportunities for collaboration. Dave is passionate about learning, having spent most of his career within higher education or training. He loves sharing customer stories and best practices in the name of continuous improvement. Dave is a proud dad, coffee enthusiast, drummer, and scuba diver. In his spare time, he enjoys cooking and reading!

Does learning actually occur as a result of ethics and compliance training, or are employees just paying lip service when they take courses? How can you tell the difference? Today, the E&C community is focused on program impact and effectiveness rather than checking boxes—in part because regulators have made it clear that E&C programs must show impact from their activities. On the season 9 finale of the Principled Podcast, Susan Divers discusses how compliance teams can ensure they're getting the right insights to improve their programs with Kristi Kevern, the senior managing director at Dell Technologies. Listen in as Kristi shares how her team collects and analyzes data to better manage and enhance Dell's E&C program—particularly in the training area.  For a transcript of this podcast, visit the episode page at LRN.com.   Guest: Kristi Kevern Kristi Kevern is an innovative thought leader with 20+ years of experience in internal controls design, implementation, management, and assurance. At Dell Technologies, Kristi drives enterprise-wide risk management and governance activities, conceptualizes and implements global programs aimed at mitigating FCPA, AML, SOX, ESG and other key risks, turns findings into fixes with post-investigation remediation, and experiments with AI/ML for further prevention and insights using data. Prior to Dell, Kristi served as a founding member of the Coca-Cola Company's Ethics Office, where she investigated allegations of fraud and served as ethics advisor to the credit union. As a former Big 4 manager at PricewaterhouseCoopers LLP, Kristi led assurance and attestation engagements for Fortune 500+ clients. Kristi is a recipient of TRACE International's Innovation Award, and she has led Dell Technologies to an Ethisphere World's Most Ethical Company designation 10 times. She is membership chair of the Conference Board's Global Business Conduct Council and a frequent speaker at conferences and universities. Kristi graduated with honors from Auburn University and is a Certified Public Accountant residing in Austin, Texas. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

As the regulatory environment continues to evolve and organizations adapt, it is becoming increasingly important for ethics and compliance professionals to break down department silos.  But how do you do that effectively when there are so many stakeholders involved? How do you develop a stronger network of assurance partners inside your organization? On this episode of LRN's Principled Podcast, host Dave Hansen talks about the impact of cross-functional collaboration on program effectiveness with Tony Tocco, the chief ethics and compliance officer and assistant corporate secretary of DT Midstream. For a transcript of this podcast, visit the episode page at LRN.com.   Guest: Tony Tocco Anthony M. Tocco (Tony) is the chief ethics and compliance officer and assistant corporate secretary at DT Midstream. He is responsible for overseeing the development and implementation of effective programs and processes to promote an ethical culture and compliance with applicable laws and regulations. He also provides board governance and support responsibilities as the assistant corporate secretary.   Tony joined DT Midstream as part of the business unit spin from DTE where he began as the manager of Audit Services in 2001 as a result of the merger with MCN Energy Group.  In 2002, he was promoted to assistant general auditor and subsequently performed as interim general auditor for a period. During this time, Tony directed the development and implementation of the independent centralized testing center for Sarbanes-Oxley Act compliance and supporting corporate governance policies and procedures.  Prior to joining DTE Energy, Tony held leadership positions in the MCN Energy Internal Audit department and Michigan Consolidated Gas Company's Corporate Security & Investigations department. In total, Tony has approximately 30 years of compliance related experience in the utility and energy industry. Tony also has four additional years of compliance experience working for the Department of Defense in reviewing and auditing defense contracts and also established the internal audit department for a major Michigan public university.  Tony earned a Bachelor of Science degree in accounting from Detroit College of Business, an MBA from Wayne State University, and a Master of Science degree in security administration from the University of Detroit-Mercy. Tony is a Certified Compliance and Ethics Professional (CCEP), a Certified Internal Auditor (CIA) and a Certified Fraud Examiner (CFE).    Tony is a member of the Ethics and Compliance Institute (ECI), the Society for Corporate Compliance and Ethics (SCCE), the Institute of Internal Auditors (IIA), the Association of Certified Fraud Examiners (ACFE) and the Society for Corporate Governance.    Tony also has lectured for the Institute of Internal Auditors, the Society for Corporate Compliance and Ethics, the Compliance and Ethics Officer Association, Compliance Week and the University of Detroit-Mercy. Tony is a former chairperson for the Ethics and Compliance Officer Association Utility Industry Group, which is comprised of approximately 70 utility companies. Tony serves on the CCEP Exam Writing Committee and is on the Board of Big Brothers Big Sisters of Metropolitan Detroit as development committee chair.    Host: Dave Hansen Dave Hansen is the global advocacy marketing director at LRN, an organization focused on ethics and compliance solutions that help people around the world do the right thing. His team drives LRN's customer obsession by building community, deepening customer engagement, and finding meaningful opportunities for collaboration. Dave is passionate about learning, having spent most of his career within higher education or training. He loves sharing customer stories and best practices in the name of continuous improvement. Dave is a proud dad, coffee enthusiast, drummer, and scuba diver. In his spare time, he enjoys cooking and reading!  

The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, going into the weeds to explore a subject more fully and looking for some hard-hitting insights on sanctions compliance. Look no further than Compliance into the Weeds! Join Tom Fox and Matt Kelly on “Compliance into the Weeds” as they delve into the recent SEC crackdown on messaging apps and improper employee use. The hosts explore the challenges of regulating messaging app use and provide solutions emphasizing the importance of corporate culture and risk management strategies. Hear from experts like the DOJ representative who spoke at Compliance Week 2023 and a defense contractor who offers tech solutions to monitor messaging apps on employees' phones. With GDPR and FINRA regulations to consider, the podcast presents a comprehensive plan for compliance officers that focuses on effective controls, processes, and consequences for policy infractions. Don't miss out on this informative podcast highlighting the importance of cultivating relationships with internal audit teams, IT teams, and other control departments to ensure proper compliance measures.  Key Highlights:  Risk management of employee messaging app usage Tech solution for monitoring employees' messaging Corporate Culture Approach to Compliance in Financial Firms Compliance Challenges in Monitoring Employee Communications Building Relationships for Effective Compliance Management  Notable Quotes: “Assess your risks, put a risk management strategy in place, execute that strategy, train your employees, monitor the effectiveness, and remediate as appropriate.” “And the tech company CEO said it is in his mind, People the policies, procedures, people and processes a more culture compliance strategy could work, but you would need to convince employees.” “If they are also violating the policy, that's bad. And that shows you have a corporate culture problem.” “If it's corporate culture, how is this any different than any difficult issue we've seen in compliance over the past 15 years?” Resources Matt  LinkedIn Blog Post in Radical Compliance Tom  Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Do hotlines really work? According to the 2019 Global Business Survey conducted by the Ethics and Compliance Initiative, only 6% of E&C complaints went to hotlines, compared to 51% to direct supervisors and the remainder to higher management or human resources. So why are so many E&C programs—not to mention boards of directors—relying principally on hotline data to assess company culture and compliance? In this episode of LRN's Principled Podcast, Susan Divers talks about reimagining hotlines with Scott Sullivan, the chief integrity and compliance officer at Newmont Corporation. Listen in as Scott shares how his team reinvented Newmont's hotline channel and reporting process to separate the wheat from the chaff and gain meaningful information.  For a transcript of this podcast, please visit the episode page at LRN.com. Guest: Scott Sullivan Scott Sullivan is the Chief Integrity & Compliance Officer of Newmont Corporation, the world's leading gold company. Newmont has approximately 15,000 employees and 15,000 contractors and has 12 operating mines and 2 non-operated JVs in 9 countries. Mr. Sullivan oversees, develops, implements, and manages Newmont's integrity and compliance program including ethics, anti-bribery, corporate investigations, and global trade compliance. Previously, Mr. Sullivan was the Chief Ethics & Compliance Officer of a global manufacturer of fluid motion and control products with approximately 17,000 employees operating in 55 countries. Mr. Sullivan has written and contributed numerous articles on compliance programs, anti-bribery/FCPA, export controls, economic sanctions, and other ethics and compliance topics to a variety of publications. Mr. Sullivan is also a frequent local, national, and international speaker, moderator, and conference organizer on compliance, anti-bribery/FCPA, export controls, and economic sanctions.   Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

When it comes to driving ethical behavior in organizations, many ethics and compliance programs are beginning to focus more on leveraging company values than relying primarily on rules. But what does taking a values-based approach look like in practice, especially if you're a multinational organization? How do talk about it with a wide range of employee populations? In this episode of LRN's Principled Podcast, Susan Divers is joined by Gabriela Del Castillo, the chief ethics and compliance officer at Arca Continental, to discuss the importance of creating a respectful workplace and the role that E&C plays in developing ethical culture.  For a transcript of this podcast, please visit the episode page at LRN.com.   Guest: Gabriela Del Castillo Gabriela Del Castillo is the global chief ethics and compliance officer of Arca Continental, the second-largest Coca-Cola bottler in Latin America—and one of the largest in the world. She leads the construction of the company's corporate sustainability through the management of ethical and compliance risks. In addition, she designs mitigation strategies—including policies, controls, and procedures—as well as communication and training initiatives for Arca's ethics and compliance program. Gabriela also serves as the secretary of the Audit and Corporate Practices Committee for the organization's board of directors.  Prior to joining Arca, Gabriela was the regulatory affairs corporate manager at the food and beverage services company Empresas Polar. In this role, she helped the organization adopt risk management and compliance processes to anticipate risks and opportunities in the regulatory and legal fields. She also designed strategies to minimize costs or capture savings, based on a deep understanding of the company's operations and stakeholders. Before that, Gabriela worked as a legal analyst for Siderúrgica del Orinoco, C.A. SIDOR, a Venezuelan steel corporation.  Gabriela earned a master's degree in international legal studies from Georgetown University and graduated magna cum laude from Universidad Central de Venezuela. She also received a marketing and innovation diploma from Instituto de Estudios Superiores de Administración IESA in 2017.    Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

Engagement is a hot topic in the ethics and compliance space—it impacts training, communications, and overall program effectiveness. But driving engagement gets tricky when you have a global presence or employee populations with different working conditions and technologies. How can E&C professionals foster engagement in a way that resonates with everyone—and even makes it fun? In this episode of LRN's Principled Podcast, host Dave Hansen talks with Kerry Ferwerda, the ethics and compliance manager for Europe at NSG Group, about how to plan a successful corporate ethics and compliance week. Listen in as the two discuss ideas and best practices around event content, communication, and participation.   Guest: Kerry Ferwerda Kerry Ferwerda is the ethics and compliance manager for Europe at NSG Group, one of the world's largest manufacturers of glass and glazing products for architectural and automotive. it is also a leading supplier of technical glass products within its Creative Technology division. NSG has principal operations around the world with sales in over 100 countries.  A passionate advocate for doing business the right way, Kerry has worked within ethics and compliance for the past 10 years. During this time, Kerry has led E&C education initiatives across the group, operating across the business lines to develop and implement education programs that deliver value and embed a strong company culture.  Prior to joining ethics and compliance, Kerry worked within the group's Automotive Glass Replacement business unit for 12 years, gaining a wealth of experience in roles across multiple departments and functional disciplines—including Finance, Operations, Supply Chain, IS, and Customer Service.   Kerry holds a BSc (Hons) in Information Technology for Business from Aston University, Birmingham, UK.    Host: Dave Hansen Dave Hansen is the global advocacy marketing director at LRN, an organization focused on ethics and compliance solutions that help people around the world do the right thing. His team drives LRN's customer obsession by building community, deepening customer engagement, and finding meaningful opportunities for collaboration. Dave is passionate about learning, having spent most of his career within higher education or training. He loves sharing customer stories and best practices in the name of continuous improvement. Dave is a proud dad, coffee enthusiast, drummer, and scuba diver. In his spare time, he enjoys cooking and reading!   For a transcript of this podcast, please visit the episode page at LRN.com.  

Welcome to the Great Women in Compliance Podcast, hosted by Mary Shirley and Lisa Fine. The Great Women in Compliance podcast's guest for this week is Julie Bregnard, a Compliance professional who is relatively early into her career and going places fast.  Mary interviews Julie with a special focus on the job search, as Julie has just moved into a new role after five years at her first “real” job.  As discussed in the GWIC New Year episode several weeks ago to kick off 2023, the market for certain levels of Compliance staff is extremely favorable now.  Julie and Mary share some tips for further increasing job hunter success in the search.  Julie also reflects on her time as a new graduate looking for her first job after university.  Mary asked Julie to give some tips on subject as she received a request to do an episode that is helpful to students.  Though further back in time, Mary still remembers how painful and demoralizing the search for your first professional full-time role can be and with this in mind, asked Julie to share some advice and encouragement for students on how to best stay motivated and on task throughout this time.  As a Compliance practitioner who has been instrumental in strategizing on and delivering multiple Compliance Week events to her internal stakeholders, Julie provides some insights on what she thinks makes for a good Compliance Week and takes a broader view on how you can leverage them for ongoing dialogue in an organization. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020).  If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here. 

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 Corporate Compliance and Ethics Week 2022. 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. Learn more about your ad choices. Visit megaphone.fm/adchoices

Bill Coffin is Editor in Chief of Ethisphere. Ethisphere is dedicated to promoting standards of ethical business practice, specifically those which encourage marketplace trust and business success and is known for its annual report on the World's Most Ethical Companies, and its 100 Most Influential People in Business Ethics.Bill was previously Editor in Chief of Compliance Week and has a special understanding of finance having worked for some of the largest insurance companies in the world.His writing has appeared in all the major financial publications, including the Wall Street Journal, Forbes, and Fortune, and he has received an arm load of journalistic awards, but intriguingly Bill also has a second career - he's a successful fantasy author, most notably of the Dark Britannia Trilogy and is the creator of a number of fantasy role play games.On this episode of Outside In, Bill talks with Jon about compliance and the science of ethics, his double life as a successful fantasy author, his marvellous gesture for an injured comic book writer and role-playing the impossible moments that we face in life. They also discuss the cross pollination between the fantasy role-playing worlds and morals, ethics and power in the real world.

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. With this episode Ronnie and Tom begin a five-part series on creative ideas you can use during the 2022 Corporate Compliance and Ethics Week. In this Part 1, we discuss what we will communicate in the series. In our first Siskel and Ebert Point/Counter-Point, Ronnie comes in smoking on what he thinks about Compliance Week and Tom has a more lawyerly, measured approach.  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: §  You should promote your compliance program and its resources. §  Endeavor to be welcoming and positive and approachable. §  Demonstrate how compliance integrates and embeds into the business. §  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

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. With this episode Ronnie and Tom begin a five-part series on creative ideas you can use during the 2022 Corporate Compliance and Ethics Week. In this Part 1, we discuss what we will communicate in the series. In our first Siskel and Ebert Point/Counter-Point, Ronnie comes in smoking on what he thinks about Compliance Week and Tom has a more lawyerly, measured approach.  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: §  You should promote your compliance program and its resources. §  Endeavor to be welcoming and positive and approachable. §  Demonstrate how compliance integrates and embeds into the business. §  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. Learn more about your ad choices. Visit megaphone.fm/adchoices

In September, the Department of Justice Fraud Section announced a new policy direction on corporate misconduct, clearly stating that personal accountability for employees, executives, and directors was their number one priority. The revised DOJ policy clearly states that an organization's compensation and benefits program must be aligned to its values and ethical culture. So, what does this mean for compliance? In this episode of the Principled Podcast, host Susan Divers discusses how to implement a meaningful performance management system that meets DOJ objectives with Stephanie Ragan, a Certified Compliance and Ethics Professional (recently of SOFEC) and now solo practitioner after 14 years as a compliance specialist and manager in the oil and gas industry.    Featured guest: Stephanie Ragan As an experienced, well-rounded compliance and ethics specialist, Stephanie has recently struck out on her own by launching Ragan Export Compliance, a consulting company focused on providing services and guidance for regulatory compliance. A subject matter expert in trade compliance for the past 10 years, she holds both a Masters of Science in Regulatory Trade Compliance and a degree in International Trade Management. Her credentials include special certifications as a Certified United States Export Compliance Officer (CUSECO), a Certified Compliance & Ethics Professional (CCEP) and an FCPA Expert (FCPA Blog).With a passion for developing efficient, integrated and automated compliance systems and programs, Stephanie's philosophy is that the intentional integration of compliance and ethics elements within an organization is at the core of every successful business model; and through making compliance accessible and approachable to all stakeholders, the value of a company's culture is significantly increased.   Featured host: Susan Divers Susan Divers is the director of thought leadership and best practices with LRN Corporation. She brings 30+ years' accomplishments and experience in the ethics and compliance arena to LRN clients and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.  Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics.    Principled Podcast Transcript Intro: Welcome to the Principled Podcast, brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers. Susan Divers: Last September, the Department of Justice Fraud Section announced a new policy direction on corporate misconduct. And they clearly stated that personal accountability for employees, executives, and directors was the department's number one priority. And as part of that, the revised policy that DAG, Lisa Monaco put out that day makes clear that an organization's compensation and benefits program must be aligned to its values and ethical culture. That means that positive behavior, for example, turning down a tainted business opportunity should be an essential factor in evaluating performance. And that there should be financial penalties, real financial penalties for misconduct. So what does that mean for compliance professionals? Hello, and welcome to another episode of LRN's DAG, Lisa Monaco. I'm your host, Susan Divers, director of thought leadership and best practices at LRN. Today I'm joined by Stephanie Ragan, a certified compliance and ethics professional, and most recently of Sofec, an oil and gas provider that's global in its operations. Stephanie has just left Sofec and is now consulting on her own after 14 years of a compliance specialist and a manager in the oil and gas industry. We're going to be talking about implementing a meaningful performance management system that meets DOJ objectives and how you go about that. Stephanie, thanks for joining me on Principled Podcast. Stephanie Ragan: Thanks for having me, Susan. Susan Divers: It's my pleasure. Interestingly, one of the questions we ask in LRN's annual program effectiveness survey is about organizations using ethical behavior as a significant factor in compensation, bonuses, hiring and promotion. And last year 69% of the over, I think it was about 1200 ENC programs that we surveyed, indicated that they required that an employee's ethical behavior be evaluated as part of their annual performance review. And we found that top rated programs were much more likely with 88% including such criteria. But Stephanie, as you know, with all things compliance, the devil is in the details. So I'd really like to hear about how you implemented your program that does just that at Sofec. And I'm sure our listeners would love to profit from your experience and your wisdom on this subject. So let's start at the beginning, how did you start this initiative or how did it start and how did you get support for it? Stephanie Ragan: Well, sure. So coming from a company like Sofec, we just celebrated our 50th year and we have a lot of mature programs and some that are still coming along. And our compliance program was one of our newer initiatives. We started it in about 2011. And it was interesting to see that when we formalized that department and all of our programs, policies, everything that helped sustain it, there was a need to measure it against other overhead type departments like HR, HSE and quality. So looking toward those types of departments for direction to see how we could measure effectiveness of programs and tie that back to our professional performance goal setting efforts that we do on an annual basis was a challenge for us. And we decided that as the new kid on the block, we could look at what worked for everybody and what didn't. And we decided that it would be necessary to look at what weight we needed to hold within the organization for each of our compliance initiatives. So for a starting point for our listeners, I would suggest that you look at the way your organizations measure performance. And if there is already an existing HSSEQ component or HR component, that you should also be including a compliance and ethics representation. And that should be a key area of focus for your personnel to align with your company culture and your company code and business operations. Susan Divers: That makes a great deal of sense. And I want to pick up on one thing you said in particular, which is that the ENC program needs to have equal status and weight with other similar programs, whether it's HR or audit or security or health and safety. And that's actually in the 2020 guidance from the Department of Justice as well. Because one of the questions prosecutors will ask or are told to ask companies accused of misconduct is, "Does your ENC program have equal status and resources?" So the approach you took fits very nicely with that. Let's talk about how you actually went about it. How did you enlist support? How long did it take? And what did you do in the end to get it up and running? Stephanie Ragan: Well, you know it takes a village to have any kind of success. And our compliance and ethics global team really took on this call to bring compliance and ethics to the forefront, it having an equal say in the performance measurements that we do in the company. And we were able to within the last few years, convince our management that along with performance measurement, which was a key area of concern, we needed to have regular meetings, at least an annual meeting, to be able to confer as a team globally and to discuss ideas, work on program development and get training initiatives ironed out. Kind of plan out our year as a whole so that globally we could have a cohesive plan that aligned everyone, didn't leave anyone behind from a planning standpoint for all of our entities, and made sure all personnel were covered by local compliance and ethics designees that could administrate and cover those programs as we rolled them out. So this was very well taken on. And again, we leaned back into HR and HSE were having these types of annual meetings and conferences internally in the company. So we wanted to say, again, we need to make sure compliance and ethics is represented. It was well received and management was very supportive. So in 2019, we had our first global gathering. And at that point, we all discussed how we measured and where we had gaps in measuring those compliance and ethics performance areas. And we figured that the global initiative of tying it into your bonus, your compensation that's measured annually by HR, that we needed to partner with them as well. So we were able to utilize the great guidelines that were out by the Department of Justice that came out in 2018, 2020. And then similarly, we had more guidelines come out again this September. These types of guidelines were helpful in getting the highest levels of buy-in. So using that as leverage, we were able to place value on measuring those individual participation to show evidence of a effective compliance program. And we were able to also work with legal. And I think that that's something that anyone who's struggling with finding a way to tie their individual performance metrics for users to compliance and ethics, that having your legal team work with you, if that's not already part of your compliance and ethics team and working with HR to jointly explain to senior management why the Department of Justice guidelines are so helpful and necessary to pay attention to. No one wants to have those types of individual penalties pointed back toward them. And letting them know what the enforcement and penalty details could entail, it can be a little scary and overwhelming for them, but it lets them know the weight of importance. So moving on, our CNE team wanted to then, after we had our senior buy-in, determine specific ways to quantify a compliance and ethics participation that was acceptable. So we developed a way to be able to measure and do a cumulative total for each employee throughout the year. And with the help and guidance of our compliance council, our general compliance council, which oversees all of our compliance and ethics initiatives from a senior level, and our chief compliance officer who's over our entire group, performance matrix was developed. So we determined what KPIs and metrics were most valuable to our company and also how participating in training and completing mandatory training assigned on time or early would be a key indicator that our personnel were engaged in in meeting their CNE goals. Now that was our initial concern that the training and focusing on training, on time training completion wouldn't be enough, but that's a great baseline. So if you are not measuring that, start there. And we also decided though that's a minimum expectation, that other avenues of participation engagement could then be easily added. This was a chance also for our CNE team to promote all of the tools and the outreach that we had been developing to engage individuals in our annual Compliance Week program, our local newsletters, which we could insert quizzes and different activities for them to complete, optional live and virtual training sessions, surveys, quizzes, and use of compliance videos and slides in their operational meetings and team meetings. And then it gave us an opportunity also for people that really went above and beyond to be recognized and have that tied back into their performance goals as a metric to, so our compliance champions who always went above and beyond, or personnel who brought forward potential compliance and ethics issues that were helping make formative changes to our program could also be recognized. That sounds like a lot to keep track of and could be really overwhelming for our listeners that have a new compliance program, limited resources, budget constraints, but there are a lot of great tools and support out there like LRN that is a great content provider and provides support with measuring that on time participation and a lot of other value that you can add into your program. Let's face it, at a minimum, any functioning compliance program is at least checking the box with mandatory compliance and ethics training like anti-corruption or your company code training, general CNE program awareness. So if you start with training as your first building block to measurement, it'll be less of a shock and easily accepted because your population and your personnel are already participating in those training initiatives. Susan Divers: That's a great story. And the way that you worked with other people in the company to identify where you were going to start with the criteria I think is very powerful for people who are grappling with this subject. And I know it's not just companies that are new or small, it's an area that I think a lot of people are still trying to chart their way. And also using the Department of Justice guidance strategically to help management understand why this is a risk that really needs to be managed. I think there is emphasis when you look at the guidance, it's important to realize that it's out there in part to help people like you and your team actually implement it by putting it under an official seal, if you will. So well done. Hey, tell us now, how is it working and are there any tweaks that you would make at this stage? Stephanie Ragan: Well, the great news is we've certainly seen improvement. So we've seen results of greater participation across the board in all of our areas. So whether it's people participating in Compliance Week because they know it ties back to their performance or they attend training that they would've otherwise blown off or not considered taking because it wasn't mandatory. And that is really energizing us to continue to grow the program and continue to find ways to reach people. And we've seen a lot of participation because of this initiative of tying it to performance goals in areas and regions where maybe culturally it wasn't important before to participate in compliance and ethics initiatives. But now they understand because they have something that's tangible material that ties back to their actual individual performance and they want to succeed in that area. So in general, it's helped us create different types of communications. We've been able to go and create management reports to provide managers live specific data on how each of their team members are performing throughout the year. Some managers reach out for that quarterly or semi-annually, but everyone reaches out for it toward the end of the year when they're wrapping up their performance evaluations. And it's great to have that kind of tool. So I do recommend that you work on creating something as simple as an Excel spreadsheet that can start capturing data to keep good records regarding the performance of your personnel. And also, if ever you are audited by a government authority, it's a great tool to provide your training records and say, "We're not just checking the box, we are going above and beyond by tracking every engagement with compliance and ethics." So also following that, we're able to use those participation records to quantify a score for each person. Now, it doesn't necessarily have to be a numeric score. Some companies may want to do it that way. We aligned with what our HR teams were already using, which is kind of a scale one to five, either unsatisfactory and then failed to meet expectations. You either met expectations, exceeded expectations, or you did outstanding work. So because that was already in use in our system, it was a language everybody understood and we created what fell into each category for our measurements on the compliance and ethics side. And again, we don't have to reinvent the wheel, you can use what you have and work smarter, not harder. But tracking the progress is really important. So if you can assign something that you can put a value against, then you can develop statistics over time and track trends within the organization. We did have a lot of discussion across the board about how much weight should be given to compliance and ethics performance compared to HSE or HR. So again, we fought to have equal footing because we preach in our company code of, we have a culture of compliance, we have our compliance code that gives guidelines on how to operate in every aspect and provides best business practices for everyone. So there was no reason to sell ourselves short or give ourselves a discount and say, "We don't want to be considered equally." Even though some companies may need to tweak that based on what their own business practices are, it should have some alignment with your culture and your code. And that way people understand it and can buy into it on an individual basis and an organizational basis. So looking forward in 2023, and this is largely in response to the new DOJ guidelines that you mentioned earlier, which came out September 15th, that does focus a lot on enforcement. So again, we have that leverage to push and say, "This is important. You don't want to be in trouble because this is how it can affect you as an individual." And that does garner a lot of attention and response from senior management, which is great. We don't want to scare anyone, but we want to make sure they understand the weight of their actions or inactions. But our tweaks moving forward would include tiered measurements, and that aligns with the Department of Justice newest guidelines so that you have different measurements and expectations for managers and supervisors and executives. And I think you should really look at that as three different categories, general personnel, people who have an influence over them, managers and supervisors, and then the people at the top. So your executives are going to be viewed differently if enforcement actions are ever taken. So you might as well prepare and have your program mirror that type of focus internally. We also have a lot of questions that come up then from managers that say, "What are my roles? What do I need to do to earn my points or to get a good rating?" And we always encourage them to infuse and integrate compliance and ethics into their team talks, their safety minutes that they have at a beginning of a meeting, replace some of those with compliance moments. And we make those tools available easily so that they can download it from our [inaudible 00:19:23] and they have full access to short videos, to content that we can pull from different training providers or that we've developed internally. That just makes it easier if they have one stop shopping, they can go to your compliance site. And if you don't have that type of setup, don't worry. Companies can always make it available by emailing that out to managers and just having kind of the library available to them. And as you develop and tweak your offerings, let people know. It's good to self-advertise within the organization so that send an email out to all of your managers and say, "Hey, we have a new video available if you want to share it with your teams." And let those managers come back to you and let you know how they used them and what the feedback is, because that's just going to help build the program and continue your process improvement. As the DOJ recommendations indicate, effective compliance program always points to individual emphasis for that compliance and ethics participation and compensation. And I think we can agree that those personnel who embrace and make an effort to incorporate compliance and ethics into their work are more likely to report potential issues, be less likely to become bad actors by breaking rules intentionally or unintentionally. And generally, they're going to support the best practices and the compliance and ethics program in the organization. Susan Divers: Well, we would certainly agree with that. And our research at LRN shows overwhelmingly over the years that I've been here, which are now six, that a culture of compliance that involves employees at as many levels as possible and helps them by giving them materials, you mentioned making it easy for managers to talk about ENC, that that is the best defense to misconduct and it's not how many times you reinvent in your code of conduct. But I do want to mention one other thing that you talked about early on, which is data points and having something that shows exactly where a particular individual is in their ENC journey, whether it's training or touchpoints. We've actually just redone major parts of our platform and we're very excited about it because there's a part that we're rolling out this month called Reveal, which is advanced data metrics from the training experience. And it shows what courses, what subjects people struggle with the most, how much time employees spend on a given subject and a lot of other very relevant data. It's very powerful and it allows you to benchmark against yourself and against other companies in your area. That's something everybody is very focused on. And using that in conjunction with your performance review system can really drive change. And then I'd also mention managing that data is important. We also are including a tool that we've had for some time called Disclosures where we're asking people to tell us when they attest to the code of conduct or when they roll out. You can use it to track how many times they roll out an ethical moment or other times when they talk about ethics and compliance. So the idea is to make it as easy as possible for the compliance team to track that. But we're starting to run out of time, so I want to talk quickly about what are the pitfalls. Because obviously this is a terrific program that has gained traction and is broadening and improving as you go along. But what are the pitfalls to avoid? And then I want to talk about your new company and your new initiative too. Stephanie Ragan: Well, first of all, the biggest pitfall that you can have is to not do anything or to be stymied and overwhelmed. So don't overthink or over design any initial measuring system. Remember that look to the offerings and tools that are made available to your personnel already. So start with finding the easiest way to measure what you're already doing. And you can always scale up as part of your continuous process improvement efforts. And then again, as you saw for development of our program, we could not have done this if we had worked in a silo. You have to engage and partner with HR and other stakeholders in the organization to find a way to infuse that measurement of your ethics and compliance participation. And be sure to include that there is a way to acknowledge excellent contributors. Because that drives people and excites them to participate more. So it can be an incentive for good behavior and make it specific to a task or event that's not evergreen. You can change this around and continue to improve it as years go on and set goals for your compliance and ethics team to be able to continue to develop every year something different to bring more users on board. Susan Divers: That makes a great deal of sense. And again, congratulations. That's a major accomplishment. And it sounds like the program was very well designed for your business and your particular culture and your risks. So let's turn to the future now with your own business, Ragan Export Compliance. What kinds of clients will you be aiding in the development of their ENC programs? I know you have deep experience in the oil and gas industry and are a certified FCPA expert and have the export control function as well. What are you going be focusing on and what risks do you see developing for exporters in particular as they seek to adhere to the DOJ guidance? Stephanie Ragan: Well, thank you for asking about that, Susan. At Ragan Export Compliance, I'll be providing trade compliance support and guidance focused on export or import compliance plans. And large focus now is technology. So we'll be helping develop technology control plans. And also because I do have a background coming from the last five years of doing the certified compliance and ethics professional from SCCE, I also can help develop the corporate compliance program enhancements for any industry, which can include developing training programs, conducting training, auditing, risk manages, strategies, due diligence and screening ,vendor management systems. And if a system needs overhaul, that's something that people sometimes forget. They develop a compliance program and then put it on the shelf, but it really does need continuous review, especially in the light of recent and constant regulatory changes and updates. To get back to your question about what risks do I see developing from an export angle, I do see two areas where exporters can pay additional attention, especially considering the current international policies and issues that are going on in the world. The enhanced due diligence is needed now as part of your program to identify military end users or MEUs. And this is primarily in China, Russia, Venezuela, and Burma. But it's a good habit to get into looking at that and incorporating, identifying military end users and uses as part of your, know your customer and screening system for your full supply chain. And then the second area where there can be some additional attention paid would be that your program includes a really strong level of control for not just your physical shipments, but technology. That's a blindside for a lot of exporters, importers, and just USPPIs in general because they don't realize how wide the definition for technology is when you look at the regulations. So for example, the EAR definition of technology for Department of Commerce for controlled technology is any specific information that relates to development, use or production of controlled items, those technologies would also be controlled. So pretty much any information that relates to those items, because the development use or production is so broad. And the ownness of that comes back to the exporter. Whenever regulations are vague, it puts more pressure on the exporter to understand and have systems in place to be able to address potential violations. And then because of regulatory changes, a lot of stagnant compliance programs can be a real risk for companies because they may not realize it's something that they have always been able to export. For example, certain valves or stainless steel items, things that were pretty innocuous for a large part, didn't need licenses up until recently when regulations changed. And now they fall into this large basket categories like 2B999 ECCN numbers, which I know might sound scary and very technical to people listening that don't have a real firm grasp on the ECCN, but there's a lot of guidance out there, and that's what we hope to provide and be able to help navigate at Ragan Export Compliance. So finally, just in general, I would say that my advice to our listeners today is just to continually evaluate your compliance program and make sure that your CNE engagement measurement that we've discussed today become truly effective ways to ensure that your organization is on the path to executing best practices and avoiding any regulatory infractions. If you follow the guidelines and reach out for help when needed, you won't go wrong. Susan Divers: Well, thanks Stephanie. I certainly agree with everything you've said and want to emphasize your point about don't fall into the trap of stagnant compliance. A lot of times I think it's easy to rely on backward looking metrics and saying, "Well, last year we trained 340 people, and this year we hope to do more." It's important to really keep evaluating what are the new risks that we're facing, and are the procedures that we have in place adequate for those new risks? And certainly that's consistent with the guidance too. So unfortunately, we've run out of time, but I want to thank you very much for spending these minutes with us and giving us the benefit of your insights. I hope you'll come back and speak to us again soon. Maybe we can do a session on export control. And we wish you all the best in your new venture. Stephanie Ragan: Thank you, Susan. Susan Divers: My name is Susan Divers and I want to thank you all for tuning in to the Principled Podcast by LRN. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning, ethical cultures, rooted and sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.  

Alex Pillow, host of the KYC Decoded podcast, caught up with Head of Financial Crime at Featurespace, Annegret Funke, and journalist from Compliance Week, Aaron Nicodemus, to get their standout moments from ACAMS Vegas. Here are their thoughts on the things you need to know.US Beneficial ownership: the registry is coming, what do you need to understand and how do you prepare?Crypto exposure: every institution has exposure through their customers, so where is yours?Encouraging innovation: regulators and law enforcement are actively fostering innovation in the industry and strengthening communication and collaboration.Inclusivity in banking: bringing small and community banks into the financial crime fold to give criminals a smaller target.There's much more, so listen to this bonus episode of KYC Decoded and unlock ACAMS Vegas '22 in less than 22 minutes.

Links: The Challenges of Assessing Kubernetes clusters for PCI Compliance.  Tailscale released a post titled What we learned (and can share) from passing our SOC 2 Type II audit that is absolutely worth your time and attention. Our friends at Wiz discovered a vulnerability in Oracle Cloud's security where you could mount other customers' EBS volumes simply by asking the API to do so.  From the Mouth of AWS Horse: Announcing an update to IAM role trust policy behavior  In the world of tools, AWS has launched its rolesanywhere-credential-helper

What you'll learn in this podcast episode How are boards of directors of major companies coping in 2022 with the increasing expectations from so many stakeholders? How can directors equip themselves to meet oversight challenges and ensure that their companies do business in the right way? In this episode of the Principled Podcast, guest host Dr. Marsha Ershaghi Hames explores the critical role of boards in shaping ethical corporate culture with Diana Sands, an accomplished corporate leader who currently sits on the boards of SP Plus Corporation and PDC Energy. Listen in as the two discuss the evolving responsibilities and tools for today's boards, including guidance from the latest report from LRN and Tapestry Networks: Assessing Corporate Culture: A Practical Guide to Improving Board Oversight.   Principled Podcast Show Notes [2:15] – Diana Sand's background and its impact on her board roles. [8:07] - The push for board culture refreshment and ESG priorities. [12:06] - Thoughts on changing attitudes toward board culture. [15:37] – Board needs for transparency, accountability, and communication. [18:34] - Navigating structural impediments and the Assessing Corporate Culture report.   Featured guest: Diana Sands Diana Sands brings over 30 years of business experience to her board and advisory roles having held senior executive finance and governance positions across multiple industries. Diana currently serves on the boards of SP+ (Nasdaq: SP), PDC Energy, Inc. (Nasdaq: PDCE), and National Philanthropic Trust (the largest independent provider of donor-advised funds). She is the Board Chair for Start Early, a non-profit champion for quality early learning. She is also an advisor to New Vista Acquisition Corp. and to Ethisphere (a global leader in defining and advancing the standards of ethical business practices). Diana retired from The Boeing Company in 2020 where she was an executive officer and Senior Vice President, at the Office of Internal Governance and Administration. Reporting to the CEO and to the audit committee, Diana oversaw a diverse team including ethics & investigations, compliance risk management, internal audit, security, and internal services. Previously, Diana held senior finance roles at Boeing including corporate controller where she signed and oversaw the development of the company's financial statements, and head of investor relations where she was the primary management liaison with investors and industry analysts. She also led financial planning & analysis and worked in corporate treasury. Prior experiences include leading financial planning & reporting for General Motors Corporation and working at several companies in audit and product line finance positions. Diana has an MBA from Northwestern's Kellogg School of Management, and a BBA from the University of Michigan Ross Business School.   Featured Host: Dr. Marsha Ershaghi Hames Dr. Marsha Ershaghi Hames is a partner with Tapestry Networks and a leader of our corporate governance practice. She advises non-executive directors, C-suite executives, and in-house counsel on issues related to governance, culture transformation, board leadership, and stakeholder engagement. Prior to joining Tapestry, Marsha was a managing director of strategy and development at LRN, Inc. a global governance, risk and compliance firm. She specialized in the alignment of leaders and organizations for effective corporate governance and organizational culture transformation. Her view is that compliance is no longer merely a legal matter but a strategic and reputational priority.  Marsha has been interviewed and cited by the media including CNBC, CNN, Ethisphere, HR Magazine, Compliance Week, The FCPA Report, Entrepreneur.com, Chief Learning Officer, ATD Talent & Development, Corporate Counsel Magazine, the Society of Corporate Compliance and Ethics and more. She hosted the Principled Podcast, profiling the stories of some of the top transformational leaders in business. Marsha serves as an expert fellow on USC's Neely Center for Ethical Leadership and Decision Making and on the advisory boards of LMH Strategies, Inc. an integrative supply chain advisory firm and Compliance.ai, a regulatory change management firm. Marsha holds an Ed.D. and MA from Pepperdine University. Her research was on the role of ethical leadership as an enabler of organizational culture change. Her BA is from the University of Southern California. She is a certified compliance and ethics professional.   Principled Podcast Transcript Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers. Marsha Ershaghi Hames: How are boards of directors of major companies coping in 2022 with the increasing expectations from so many stakeholders? How are boards equipping themselves to meet the challenges of overseeing organizations? And how can directors ensure that their companies are doing the right things and doing business in the right way? Hello, and welcome to another episode of LRN's Principled Podcast, where we continue our conversations about the critical role of boards in shaping ethical corporate culture. I'm your guest host Marsha Ershaghi Hames, a partner at Tapestry Networks. And today, I'm joined by Diana Sands, an accomplished corporate leader who currently sits on the boards of SP Plus Corporation and PDC Energy. Today, we're going to talk about the evolving responsibilities of today's boards, many of which are outlined in the newest report, Assessing Corporate Culture, a report from LRN and Tapestry Networks. Diana, thank you so much for coming on the Principled Podcast. Diana Sands: Thank you, Marsha. It's great to be here. Marsha Ershaghi Hames: Let's kick off. Diana, you had an accomplished career, retiring as an executive officer and senior vice president in the office of internal governance and administration at the Boeing Company. And you have now turned to service on corporate boards. Your career has spanned a variety of leadership roles across multiple industries and disciplines. Maybe for our listeners, we can kick off by hearing more about, just tell us about your background and career and how this has informed your approach to serving as a director. Diana Sands: Sure. And thank you again, Marsha, for having me. As you noted, across 30-plus years, I worked in various industries, including professional services, consumer products, and industrials, mostly in finance roles. I held several finance leadership positions, including corporate controller at Boeing. And my last role, as you alluded to, before I retired, was reporting to the CEO and the audit committee in a chief administration and chief ethics and compliance role. As you also mentioned, I currently serve on both public company and nonprofit boards. Marsha Ershaghi Hames: How has this experience started to really shape or inform your approach to serving as a director? Diana Sands: You know, Marsha, I think the breadth of my experience is mainly what shapes me as a director. I've been part of a lot of different business opportunities and challenges. And with that, I tend to think pretty holistically, whether it's assessing an opportunity starting with a strategy all the way to how it can be practically executed, or dealing with a particular challenge, which often means quickly yet systematically gathering facts, evaluating options, and then taking actions. I do believe that the best way to leverage experiences is not to automatically duplicate what one has done in the past. In fact, I don't really love hearing a director simply stating, "This is what we used to do at XYZ Company." I think the greater value from past experiences is a director's ability, because of those experiences, to quickly absorb an existing situation and think through the possible outcomes. And that's the approach I tend to try to take in the boardroom. Marsha Ershaghi Hames: We're going to dive into some of how you're transferring some of your unique background as a compliance and ethics officer into the boardroom. But first, I want to take a step back. I mean, when I look across 30 years, across all the sectors that you have developed your career in, you were probably or likely one of the few women executives in these fields. I'm just curious, as you look back, were there any mentors or, I'll use the term sponsors, that sort of provided more guidance, influence, coaching through developing your career journey? Diana Sands: Yeah, definitely. And I think you're right. I was often the only female and/or minority in rooms during my career. I do think the good news is that it's changing, albeit maybe slowly, but it's changing across all sectors. But having said that, mentors are definitely important, and I had several great ones. Most of them, by the way, were white males because that's who I was primarily working with. But I remember one very early in my public accounting career, a manager who showed me tough love as he reviewed my work papers. He was really hard on me and my work, but it was formative in the way I think today. In fact, that holistic approach I mentioned earlier is in large part thanks to this person who taught me early on to always think about that bigger picture. And then later in my career, another mentor, one of the CEOs I worked closely with, pushed me to aspire for more than I might have otherwise. He's the one who coached, or maybe coaxed is the better word. He coaxed me to take on some roles that went beyond my comfort zone. But ultimately, those were the roles that enabled me to ascend to the C-suite, which also was critical in getting my current board positions. Those are a couple mentors, I've had several, but I think the common thread across all my mentors is that they not only took an interest in me, but they really pushed me to be better, to stretch, and to be uncomfortable. I think that's important to advance in a career and in life, I think. Marsha Ershaghi Hames: No, it's so true. Let's continue down this path. You do bring a unique background to the board as a former compliance and ethics officer. It's not a typical skill set that we see serving today on the other side of the table. Tell me a little bit about how that maybe shaped or influenced landing your first board seat and how the lens in which you look at information or assess decisions is impacted by this background. Diana Sands: Yeah. You know, I think that's absolutely right, Marsha. In fact, my board roles were obtained not so much because of my ethics and compliance experience, but because of my finance background. They were boards that were specifically looking for a financial expert, which I can be deemed as one, because public boards, as you know, need some number of financial experts. But interestingly, I find that when I contribute in the boardroom today, it's more often from my broader governance and ethics and compliance experience. I'll often ask questions about how things get done at the company, which alludes to culture, gets at culture, not just what gets done. Monitoring risk management is a key responsibility of boards. And again, I find my broader governance experience helpful in those discussions. Marsha Ershaghi Hames: Talking a little bit about your broader, bigger picture experience around governance, excuse me, there have been a lot of conversations about the need to change the chemistry in the room, the culture of the board. And board refreshment is kind of at the top priority of this dialogue. So, composition, what are the skills we need in the room to support some of these governance practices? What are you seeing from your vantage point? Are things changing? Are boards more open today to soliciting and considering other types of skills and backgrounds for board seats? Diana Sands: Definitely, yes. I think board refreshment is an important topic in many boardrooms these days. In fact, all of my boards, not just the public boards, but my nonprofit boards as well, have been talking about board composition and board refreshment. I think they're all looking for diversity. I do think companies and boards are beginning to look now for individuals who have broader experiences than just those who have been a CEO, CFO, or operating leader, which I think is what was very common years ago as boards were trying to fill their boardrooms. There are certain experiences like cybersecurity and ESG, for example, which are experiences much more being sought after today in boardrooms. Marsha Ershaghi Hames: Yeah, no, and I mean, it takes us to the next segment I wanted to dive deeper into with ESG priorities right now. There's one thing to draw on outside experts, but it's another thing to be able to interpret data, really try to develop the linkages, ensure that conversations with the right folks in management are clear on advancing, but with the focus on climate risk and people-talent issues, and cyber and technology. I mean, how are some of your boards thinking or approaching thinking differently around oversight of these issues and the types of skills that you need in the room? Diana Sands: Yeah, indeed. All those topics you mentioned are really relevant in the boardroom today, especially as regulatory bodies are considering what additional reporting requirements may be required in these areas. I think having board members who have practical experience, by the way, in these areas, cyber, climate, technology, is really helpful and almost becoming necessary, especially if their experience is recent because many of these areas are so rapidly evolving. Even talent management is different than it was a couple decades ago. The workforce today can span multiple generations. It's more technologically savvy and more diverse than ever. So having board members who are in touch with today's environment is important, which I think is driving a lot of refreshment activities.     I would also go back to something I said earlier. I think that it's important that directors don't immediately rely on the way they did things years ago. Oversight of these evolving issues requires being on top of how they're evolving. So to your point, leveraging expertise within the company with external consultants, advisors as needed, and listening to those board members with these recent experiences, I think is critical. And then of course, ensuring that these topics are given the appropriate time in the boardroom is also important, which I'm certainly seeing in all of my boards. Marsha Ershaghi Hames: So you're seeing a shift more so, because it seems like almost every committee is becoming an ESG committee. So, how do you keep this focus? Diana Sands: You know, it's funny because one of my companies, sometimes one of the board members will mention, "Wow, we're actually talking about an operational issue today." And this company's pretty well run. Because so much time we're spending now on these topics, because of everything we've just been talking about, it is getting more time and attention in boardrooms. And to your point, you're right. I think boards are also trying to figure out how to make sure that there's some deliberate discussions around them, and more and more ESG-type committees are being created. But there's no doubt, more focus in these areas today than there were in years past. Marsha Ershaghi Hames: Yeah, yeah. Well, let's go back to a comment you also made about the tone or the theme of, well, this is how we used to do things. That lends me to a question more on board culture. It is always more comfortable to lean on the levers of the past. It's consistent, it's what we know. As I've certainly spoken to a number of newer directors or directors that are occupying newer seats, I've heard varying input on, do they feel as comfortable voicing or asking unpopular questions or challenging the status quo.     I'm sort of curious from your vantage point and your current experience, do you see any type of shift or shift in momentum around assessing board culture, boards being a little bit more cognizant of, we need to assess our culture of how we discuss, debate, challenge things. What are some of the changes that you're seeing, if any? Diana Sands: Yeah, I do think, Marsha, that culture in all organizations is becoming much more important to examine, and more organizations are doing so. Some of that, I think, it's unfortunately because of the terrible events in recent years related to racial inequities. But I'm also hoping some of it is because it's simply just becoming clearer to everyone that culture really does drive everything that happens in an organization. And I am finding that boards, again, at least the boards I'm part of, again, both public and nonprofit, have been going through some sort of process to advance its own culture. I think that's really good, in my view.  I will also say that I think there's a bit of kind of personal responsibility in this. I do try to take on personal responsibility to help advance culture in every group I'm part of. I'm talking, these are day-to-day actions, not big initiatives. For example, things I try to do include not being afraid to bring up a different view. You alluded to that, especially if it's a minority view. I'll try to do it respectfully and productively, but I'll make sure, and I'll really deliberately in my head, make sure to express that view. I also try to bring out every voice in the room. I will often ask someone for their thoughts if they've been quiet, and that happens even in boardrooms. There are always some folks who speak more and some who speak less. And finally, I still try to make sure I personally am feeling some discomfort at times, again, something I learned from my mentors. It's one reason the boards I sit on today, Marsha, are part of industries different than what I've worked in in the past. They're learning experiences for me. Also, in a boardroom, and maybe as simple as going over to talk to that person who is most different than I am, the one I have the least in common with. I'll sometimes actually have to force myself to do that because it may be a bit uncomfortable, but I know it will help advance the culture and the dynamic of the group. Yes, I think cultures are shifting in boardrooms. I think each of us should think about what we can personally do to help that journey. Marsha Ershaghi Hames: You've been a part of contributing, and not only to the ethics, culture, and compliance network, but also the Assessing Corporate Culture framework that was recently released. And these insights also came up both in the interviews and in some of the questions that were being developed. One was around the need for greater transparency, a sense of accountability, and better communication or optimization of communication, not only amongst board members, but also between the board and management. A few executives raised, "We want to be able to bring difficult news to the board and be able to have that conversation." Tell me, in your experience, what can this look like? Or how practically, what role can the directors play to create the space to encourage more of this open communication and transparent communication? Diana Sands: First of all, those qualities you mentioned, transparency, communication, accountability, they are really important and they're hallmarks of a strong culture. And there's no question, there's many pieces of data that show these healthier cultures drive better results. I think the board sets the tone in many ways. The board's own culture actually flows down in many ways to what the management team and the company, what they do and they operate. If the board operates in an environment of inclusiveness, of open dialogue and debate, and the management team sees that, and the board engages in that kind of behavior with the management team, that will affect the dynamic where those tougher issues can be brought up and discussed. And it also flows throughout the organization. So I think it's really important. I do think on the topic specifically of raising those difficult issues, it's not easy, but good boards, I think, do create the space for that. I think to start with, the board actually has to, board members themselves need to be willing and wanting to hear those difficult issues. And then the directors actually have to do some work to help pull them out. It's always easy or nice. It's nice for board members, it's nice for everyone to hear good news. But we also have to, I think, proactively be asking, "What's not going well? What is the management team worried about?"   Seek out those tougher issues and be willing to deal with them alongside management. I think that's what board members can do. But I don't think it's necessarily all that easy because it can be hard to hear and it can be hard for management teams to share the tough news. But I think the more the board and the board members make it easier for them, where we listen, we're willing to listen to them, we want to hear them. We may not like what we're hearing, but we need and want to hear them. And we're willing to work with them through those issues. That'll help set the environment for those tougher issues to be brought up and discussed, which is absolutely, we all know, necessary for effective boards to do. Marsha Ershaghi Hames: Another insight that came out of this report that you contributed to was also structural impediments. I know you certainly can draw upon your experience both as a senior executive with oversight of compliance and ethics, and now on the other side of the table, but one of the directors said just the structure of boards can make it difficult for a board to really get a clear picture of culture. I just want to get your perspective on how important or critical is it for the board to hear from other management voices? I mean, typically, boards have looked to CEOs to get an overall understanding or pulse on culture. How important is it to bring other voices in like the compliance officer, ethics officer, or CHRO? Is there an independence opportunity? Is there contextual opportunity? Just love to get your perspective on that. Diana Sands: Oh, totally. And by the way, you've mentioned this report a couple times. I do want to give credit to Tapestry and LRN. You all did an excellent job on this guide. And also frankly, on convening the conversations that led up to this guide being developed. I just want to put that out there, Marsha. I think it was an excellent, it is an excellent product. But yeah, I think it's really important for board members to engage with, certainly, obviously, the CEO and his or her leadership team is often who the board will engage with. And I think that's really important, members of that senior leadership team. But then also going deeper, we've talked about this in some of our conversations, going out and kind of seeing sites where you get a sense, you get a sense. It depends how big the organization is, and it's often you have to keep in mind as we discuss, management teams will put forth their best team, their best people. But you do get a sense when you're out there engaging. So I think engagement by board members with team members is important. I do think having that dialogue with those leaders who I think in many ways are touching and influencing and seeing culture, the company's, every day, whether it's the chief ethics and compliance officer or the chief HR officer, or the chief legal council, depending on how the organization is structured. It is really important for board members to have direct engagement with them as well. I think many boards do, but I think board members need to be really attentive to those engagements because you can pick up a lot, not just from the tactics of what's going on and the results of what's going on at the company, but also you get a lot of indications of culture when you talk with these folks in the company. Marsha Ershaghi Hames: And my final question, Diana, and I appreciate you highlighting the report, but how are you thinking of leveraging some of the guiding points from the report? I mean, you contributed to helping us develop questions that directors can use for reflection and questions that they can certainly explore with management teams. But speaking to your peers, you've got directors listening, how can they use this framework as a roadmap with their peers and management teams? Diana Sands: Yeah, first I want to spread, and I'm going to do this with my context, but I really just hope this guide gets out. It's really great, what you all have done. You've got summary points. If you just want to go on the website and look at some of the summary points and some questions boards can ask. Or you can download the whole guide, which I think is just, like I said, really well done. There are a lot of practical tips there. What I plan to take out of it, I hope others do, there are some questions there that boards can ask. There are examples of how the board can itself set a good example of culture. And it also notes ways we can measure culture with tools that are likely already being used at companies, like surveys, internal audit reports, and employee-related data. I think importantly, when I stepped back and looked at it again, even though I was part of the team that gave you input on putting this together, but when I stepped back and read it again, I think it will help directors, when they look at this guide, realize that many topics already discussed in boardrooms provide an opportunity to delve deeper into culture. For example, DE&I statistics, which are regularly being talked about now, I think, in most company boardrooms, company mission and value statements, hotline reports. These among many others are ways to discuss company culture. Risk management is another one. And in fact, in one of my boards, we had an annual risk management dialogue where all the board and C-suite members had to complete a risk tolerance survey. It was just part of their normal risk management process. But when we talked about it, it was fascinating as we reviewed the results to see the similarities and differences. And we ended up having a great conversation about culture. I think this guide is just a really practical and useful tool for board members to just realize, actually, that in many ways, there are avenues to delve deeper into culture and that obviously, it's really important to do so. Marsha Ershaghi Hames: So true. And I think one of your colleagues on the committee of contributors of this said, "We just have to get the conversation started." Diana Sands: Exactly. Marsha Ershaghi Hames: It's just important to start asking the questions and get the conversation started. But Diana, we're out of time, but there's so many insights that you've shared with our listeners today. Some great nuggets here that we can take away. I want to thank you for creating time and space to share your thoughts and for joining us on this episode. So Diana, thank you. Diana Sands: It's been my pleasure. Thanks, Marsha. Marsha Ershaghi Hames: And to all of our listeners, my name is Marsha Ershaghi Hames, and we appreciate you all for tuning in to this episode of the Principled Podcast by LRN. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us at LRN.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.

What you'll learn in this podcast episode What is top of mind with board directors when they think about corporate culture, ethics, and compliance? How can leaders best assess culture in the companies they oversee? In the season 8 premiere of the Principled Podcast, LRN Director of Advisory Services Emily Miner is joined by Dr. Marsha Ershaghi Hames and Dr. Eric Baldwin at Tapestry Networks to discuss how board members can improve oversight. Listen in as the group shares insights from Tapestry Networks and LRN's joint report Assessing Corporate Culture: A Practical Guide to Improving Board Oversight, which draws from a working group of nearly 40 directors and executives representing over 60 public companies. Principled Podcast Show Notes [0:29] - Emily welcomes listeners to this episode with Marsha and Eric of Tapestry Networks.  [1:46] - A discussion on the recently published report, “Assessing Corporate Culture: A Practical Guide to Improving Board Oversight.” [6:14] - Why the report offers a practical framework and what needs it seeks to address. [9:59] - The key findings or pillars of the report. [15:22] - How the report helps leaders answer “How?” questions. [20:30] - What is the potential broader impact of the report?   Featured guest: Dr. Eric Baldwin Eric Baldwin is a principal at Tapestry Networks, working with teams in the firm's corporate governance and financial services practices. Prior to coming to Tapestry, he served for several years as a research associate at Harvard Business School (HBS), where he collaborated with faculty on a variety of research and writing projects covering topics ranging from organizational culture and change management to corporate strategy and healthcare policy. Prior to his time at HBS, Eric taught in the religious studies departments at Franklin & Marshall College and Boston University, while earlier in his career he served in engineering and operations roles at ON Technology Corporation, a software development firm based in greater Boston.  Eric holds a PhD in religious studies from Boston University and a BA in history from the College of William and Mary.   Featured guest: Dr. Marsha Ershaghi Hames Dr. Marsha Ershaghi Hames is a partner with Tapestry Networks and a leader of our corporate governance practice. She advises non-executive directors, C-suite executives, and in-house counsel on issues related to governance, culture transformation, board leadership, and stakeholder engagement. Prior to joining Tapestry, Marsha was a managing director of strategy and development at LRN, Inc. a global governance, risk and compliance firm. She specialized in the alignment of leaders and organizations for effective corporate governance and organizational culture transformation. Her view is that compliance is no longer merely a legal matter but a strategic and reputational priority.  Marsha has been interviewed and cited by the media including CNBC, CNN, Ethisphere, HR Magazine, Compliance Week, The FCPA Report, Entrepreneur.com, Chief Learning Officer, ATD Talent & Development, Corporate Counsel Magazine, the Society of Corporate Compliance and Ethics and more. She hosted the Principled Podcast, profiling the stories of some of the top transformational leaders in business. Marsha serves as an expert fellow on USC's Neely Center for Ethical Leadership and Decision Making and on the advisory boards of LMH Strategies, Inc. an integrative supply chain advisory firm and Compliance.ai, a regulatory change management firm. Marsha holds an Ed.D. and MA from Pepperdine University. Her research was on the role of ethical leadership as an enabler of organizational culture change. Her BA is from the University of Southern California. She is a certified compliance and ethics professional.   Featured Host: Emily Miner Emily Miner is the Director of Advisory Services at LRN's Ethics & Compliance Advisory practice. She counsels executive leadership teams on how to actively shape and manage their ethical culture through deep quantitative and qualitative understanding and engagement. A skilled facilitator, Emily emphasizes co-creative, bottom-up, and data-driven approaches to foster ethical behavior and inform program strategy. Emily has led engagements with organizations in the healthcare, technology, manufacturing, energy, professional services, and education industries. Emily co-leads LRN's ongoing flagship research on E&C program effectiveness and is a thought leader in the areas of organizational culture, leadership, and E&C program impact. Prior to joining LRN, Emily applied her behavioral science expertise in the environmental sustainability sector, working with non-profits and several New England municipalities; facilitated earth science research in academia; and contributed to drafting and advancing international climate policy goals. Emily has a Master of Public Administration in Environmental Science and Policy from Columbia University and graduated summa cum laude from the University of Florida with a degree in Anthropology.     Principled Podcast Transcript Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers. Emily Miner: What is top of mind with board directors when they think about corporate culture, ethics and compliance? How can leaders best assess culture in the companies they oversee? Hi, and welcome to another episode of LRN's Principled Podcast. I'm your host, Emily Miner, director of advisory at LRN. And today I'm joined by Dr. Marsha Ershaghi Hames and Dr. Eric Baldwin partner and principal respectively at Tapestry Networks. We're going to be talking about corporate culture and how board members can improve oversight. Marsha and Eric have just collaborated with us at LRN on a report entitled, "Assessing Corporate Culture: A practical guide to improving board oversight." The report presents insights from a working group of nearly 40 directors and executives representing over 60 public companies, including some of the largest companies in the world: Cigna, Sony, McKesson, Lockheed Martin, CDW, Coca-Cola, Excel Energy and Palo Alto Networks included. Marsha, Eric, thanks for joining me on the Principled Podcast today. Marsha Ershaghi Hames: It's great to be here. Eric Baldwin: Thanks for having us, Emily. Emily Miner: Okay, so let's jump right in. This report, a guide really, assessing corporate culture is the result of working group sessions of the ethics, culture and compliance network. Marsha, let me start with you. What is the ECCN, who are its members, and how did it come to be? Marsha Ershaghi Hames: Sure. Great. We're happy to continue to share the Ethics Culture Compliance Network progress. This network was founded in the summer of 2020. I mean, it was during the thick of a pandemic. Companies were spiraling. It was just a lot of crisis management and companies were starting to take a real reflective step back. They were assessing where do we need to look? How do we need to assess our planning for longer term future? And the conversation emerged initially, Emily, as a forum. It was a safe space to convene. Public company directors and senior executives, namely chief ethics and compliance officers, to really start exploring values, corporate culture and the role of ethical decision making in business. Emily, if I can highlight just a few key aspects that the stakeholders of ECCN started to really prioritize over the last two years, number one, the need for boards and executive teams to align and articulate culture so that management feels supported. Number two, to address the challenge of getting ethics and culture on board agendas and to really promote directors going deeper with management, we're going to get to shortly. Number three, ECCN stakeholders have continued to really want a forum to share peer to peer examples, pragmatic examples of the need for better communication and greater transparency between the CECO, the broader management team and the board. Emily Miner: Thanks, Marsha. Having sat in on some of these sessions, I know that those specific examples that you just alluded to, those were among some of the most powerful conversation prompts. So I think that the members got a lot of value out of that. I certainly know I did. And so this report builds on a report that we, Tapestry Networks and LRN, collaborated on last year, activating culture and ethics from the boardroom, which was a really insightful temperature check on board's attitudes about culture. Eric, can you talk about that project and how it led to this latest one? Eric Baldwin: Sure. With the last year's activating culture report, we had set out to understand the realities facing boards and their oversight of ethics and culture. What were their key concerns, the challenges they face, current practices. So to get at that, we interviewed 40 directors who occupied about 80 seats on public company boards with the aim of getting a really broad view of board oversight of ethics and culture. What we found was a pretty diverse range of practices across boards, in terms of what kinds of information they were receiving, their engagement with their management teams, including how often they heard from their chief ethics and compliance officer, a range of assignments of committee responsibilities and really it's just a variability and how much attention the issues get from boards. We also found a real lack of comfort among directors. So directors recognize the importance of culture and the risks associated with ethical lapses or with unhealthy cultures, but recognize that their ability to oversee culture doesn't have the level of clarity and rigor that you find in other aspects of board oversight, like say financial reporting. So there's a real gap between the seriousness of the risk associated with culture and the importance of culture on the one hand and director's sense of their ability, or lack of ability, frankly, to effectively oversee that set of issues. So given that, it seemed crucial to start to develop some board-level tools and practices that could help directors make their oversight of ethics and culture more robust. Emily Miner: Thanks, Eric. I know that this latest report traces its roots back to those earlier insights that you were just describing and the need for a practical framework that board members could adopt. Tell us why this framework and the specific needs it seeks to address. Marsha Ershaghi Hames: Yeah. So maybe I'll take that one. So to Eric's point, we have conversations with 40 directors in 2021 and coming out of it, it was the spirit of action. How can we now take action? So the consensus was, we want a simple, practical framework to start to advance a conversation, just get the conversation started. Think of it like a simple roadmap. How can we take this into the boardroom? How can we start to connect with management with simple prompts, questions. Help us organize our thoughts about how to activate and get the conversation started. Then, another goal was the input was we want to have a peer-reviewed framework. We don't want a treatise. We don't want a commission study by a third party. We want to be a part of driving the frame for what we think will have the greatest impact, both within board rooms and for the boards to explore directly with management. Emily Miner: You've talked a little bit about the approach to developing the framework, talking to the 40 directors and the peer-to-peer nature of it. What else about the approach of how the framework was developed, do you think contributes to the power of what it ultimately offers to boards and management teams? Eric Baldwin: Yeah, I can jump in here. As Marsha noted, we really wanted this to be as useful and practical for boards as possible so we thought it was really important that it'd be grounded in the experience of directors. We knew that there was a lot of good practice already going on in boardrooms. So if we could tap into that collective knowledge and pull that together, it could be really valuable. So the way we went about that was to recruit and convene a working group of about 12 to 15 members, 10 of whom were sitting public company directors. Several of those directors are current or former chief ethics and compliance officers so they've got deep experience in that space that they bring into the boardroom. We also included a couple of sitting senior ethics and compliance executives who report into boards on these matters on a regular basis to bring their perspective, as well as our colleagues from LRN, who brought their expertise in culture measurement. So, we brought the group together several times for virtual discussions, for peer exchange, to really surface the challenges and gaps that they're experiencing, to share and vet existing practices and tools and identify some key insights and good practices that are already going on. So out of that, our team developed a draft framework, which we shared then with a larger group of about 40 directors and ethics and compliance executives to pressure test our recommendations and get additional feedback before publishing the piece this summer. So I think what really gives it its power is that it's grounded in the experience of the boardroom, it's peer developed and peer vetted and rooted in the efforts of directors and practitioners. Emily Miner: Yeah. Thank you, Eric. And just to underline something that both you and Marsha shared, I think something that's so compelling about it in terms of being grounded in that experience is, as you mentioned, many of those directors are current or former chief ethics and compliance officers. So being able to hear from people that have worn both of those hats or are wearing both of those hats, I think is so powerful. So let's keep on talking about the framework. What are the key findings or pillars? I know that there are five pillars of the framework and I'd love for you to expand upon those five pillars for us. Eric Baldwin: Yeah. I'm happy to try to do that. There's a lot of insights there, so I'll try to be brief. As you mentioned, there are five key themes here, and we see them not so much as a series of steps, but more as sets of interlocking practices or that can mutually reinforce each other. So briefly, the first is really just to make ethics and culture a priority. We've heard from directors that culture and ethics often don't get enough time and attention in the boardroom. They get pushed to the bottom of crowded board agendas. So a key step is simply just to ensure that they get priority on the agenda, that they get enough time and attention. It's really crucial. We heard that boards communicate to management that culture and ethics are priorities, which they can do by pushing for information, asking questions, following up, probing. Management needs to know that ethics and culture are board priorities. The second is for boards to take a look at their own culture. Boards have their own internal cultures and the culture of the board influences the culture of the organizations. They sort of set the tone from the top. But directors tell us that boards don't often examine their own cultures in a rigorous way. So it's really important for boards as one member put it, to take a hard look at their own culture. In this, it's especially important for boards to assess their openness and transparency and the level of trust, both among the directors and between the board and the management team, and especially their willingness to hear difficult news and how the board responds to bad news or to hard truths. A key element we heard of ethical culture is trust and transparency and to foster an environment where bad news travels fast. That starts with the board and the board's willingness to hear bad news. The third is the challenge of being able to articulate the elements of culture and really to describe and articulate the culture you're aiming at, what you want to see in your corporate culture. The challenge here is that culture can be a very fuzzy and abstract concept. It's implicit, it's unspoken rules and norms, and that makes it really hard to measure and assess. So anything boards and management teams can do to make discussions of culture more concrete and precise will really help. This can mean breaking down ethical culture into various components, things like trust, willingness to speak out, fairness, organizational justice, so that boards and management teams have a clear answer to the question, "When we talk about culture, what exactly are we talking about?" A key insight here was the importance for boards to be active partners with their management teams in defining and articulating the attributes of a desired ethical culture, rather than just sort of hearing them from management. Contributors told us that the process of defining what a good culture looks like by fostering a robust and structured discussion of culture is as important as the outcome. So boards need to be involved in those discussions early, rather than just the management team coming to them and saying, "Here's what we think our culture should look like." The fourth is really about the tools that they use to measure and monitor culture. This is all about information and data and how it comes to the board. There's a pretty common range of data and information sources that boards depend on and there's plenty of data. But the key is for boards to get that information presented to them in the right way so that it has enough context that it can really make sense to them. So one key issue for boards we found is to push their management teams to report to them in such a way that insights from a range of data sources are integrated into a coherent picture or narrative. So survey data or data from culture surveys is overlaid with safety data, turnover data, and cost of hotline for example. Boards are really looking for a more integrated view from their management teams. Anything that will help generate a narrative or surface patterns that help boards know where they need to follow up and probe and potentially allocate more resources is really helpful. Then finally is the issue of establishing clear communication lines. There's a lot of information relevant to culture that comes from a lot of different functional areas bearing on ethics and culture. So boards need to push their management teams to be able to develop a holistic view and really ask the question who, if anyone, in the management team owns culture and owns reporting on it and can give a really coherent and holistic view of culture. The same goes for the board. At the board level, different committees on the board, get reporting from different management teams and information can become siloed. So the key question is how can boards overcome that tendency and make sure that the entire board is getting a full picture of culture. Emily Miner: Thanks, Eric, you did a great job of covering a lot of detail, very succinctly so I appreciate that. You framed a lot of those pillars in the form of a question: so how can boards do this, how can boards and management team collect the right data and interpret it together and break down those silos, et cetera, so I want to go into those hows a little bit because we call it a practical guide. So how does that manifest? How can this guide, I'll call it a guide and not a report, how can this guide help boards in their oversight of culture? Marsha Ershaghi Hames: Yeah, so Emily, maybe I'll jump in on that one. So to Eric's point as he went through these five key pillars and big insights or meta themes that jumped out, each pillar is supported with countless examples, practical scenarios, and we've even lifted up some direct quotes that came from all of the contributors. So part of this is practically speaking, we want to help agitate that curiosity from the directors. We want to encourage them, look behind the numbers, start asking some of those uncomfortable questions. We wanted to give them, when you talk about sort of manifesting, how do we give directors a simple roadmap or framework to go into, to start within their own boardrooms, and then to look at opportunities to connect and communicate with management, to build that bridge, to forge an ongoing dialogue. So this is not an overnight put your hero cape on. This is to start to create essentially more of that accountability partnership, a dialogue between management and the board and framing it in these five buckets. So it's, step one, are we even prioritizing this? So that can be a series of conversations. Step two, have we aligned as a board and management team? Have we been engaged as a part of articulating and assessing and understanding what is that desired culture? Are we as a board reflecting? So as Eric was going through these, it's you need to have a roadmap essentially to start agitating some of that dialogue. We wanted these pillars to become levers to begin that process to engage with management. Emily Miner: I love the way that you are framing this as agitating the dialogue. There's such a great mental, descriptive image. So thank you for that, Marsha. I know that one of the features of the report or the guide to help agitate that dialogue is a series of questions that can serve as a starting point for this dialogue with management teams and within boards. Can you share some of those compelling prompts? Eric Baldwin: Yeah, I'd be happy to give some examples. I think questions for boards are really a key tool in their tool belt. One of the things that boards are expected to do is offer a credible challenge to management, and it's really through asking questions that they do that. So we did include a number of questions, I think they're probably more than two dozen appended to the end of the report. I will not read anything like all of them at this point, but I'll give you a couple of examples of some of the questions that we include in the report. Again, many of them line up with some of the key buckets that we identified above. One would be just to ask yourselves as boards, have we identified the cultural attributes and behaviors that align with our stated values and our purpose? How can we effectively articulate the culture we're trying to achieve? This in turn would guide management's efforts to measure culture. Another question for the board to reflect on is, does our culture, that is the board's culture, encourage management to share those difficult truths with us? How open to debate and disagreement is our board? Then we also include some questions that boards can ask their management teams. One is to simply ask, to what extent can you provide the board with an integrated view that incorporates information from a range of sources of data into a single picture for us? How can you give us an integrated view of culture? Then another question for management is, are you able to communicate directly to the board when necessary? Do you feel you have the necessary independence to bring issues and questions to the board? So those are just a few examples of a number of questions that we've included in this report. Emily Miner: Thank you. I think that's another feature of the practicality of this. I mean, boards can in some sense sort of lift these questions up and apply them in their own contexts. So recently LRN's Ty Francis, our chief advisory officer had a conversation with Tom Fox, who I think we all know as the voice of compliance and founder of the Compliance Podcast Network. Tom called this report prescient more than once and cited both recent statements of Lisa Monaco, deputy attorney general, and rulings of the Delaware Supreme Court about the need for boards to take a more active role in monitoring and measurement. So with those statements, that context, occurring around the same time as the release of this guide, what do you see is the potential broader impact of the guide, the framework with the five pillars, the practical examples and discussion prompts? What do you see as the potential impact of that? Marsha Ershaghi Hames: So maybe I'll take the lead here and, Eric, if you want to share any other thoughts ... But if we take a step back, this came up in ... so we had a summit, Emily, that you, of course participated in, where we brought together all of the Ethics Culture Compliance Network contributors, not only of the report, but other key stakeholders. It was interesting, a few people pointed to this and they said that if you look at the foundations of corporate scandals over the last few decades, there's a pattern that points to the failure to speak up and a correlating fear of retaliation. So it's that notion of someone always knows what's going on. Right? So when you look at the statements of Lisa Monaco and the Delaware Supreme Court about boards taking a more active role, you have to take a step back and look at what is the role that boards can play to encourage and drive a culture that is more transparent and more open. How can a board activate open dialogue? How can a board establish a more transparent tone. We know, there's enough research around this, that culture's fundamental to business and tone at the top matters. I could even say, and Emily, you and I have collaborated, full disclosure, over years in my consulting days. I saw this. I can just draw anecdotally that in 22 years of consulting, I would come across so many compliance executives who just felt like, "Hey, is my company going to make the investment in my team, and are they going to prioritize culture?" CECOs, they're under a lot of pressure to operate as a resource, enforce policy, developed policy. They're regarded as the primary architects of culture, but oftentimes we're also labeled as a cost center. So some of this stuff has been coming out as you know, Emily and Eric, and our conversations around like, "Are we leading on this or are we in a reactive mode?" So I would say in terms the broader impact of this framework, it's the notion of how can we be proactive? How can we put a framework and a roadmap in front of the board to agitate the curiosity, to ask for more data behind the numbers and to empower boards and management teams to get the conversation started. To Eric's point, it's like, is it a toolbox? Is it a tool set? Well, yes, it is. It's been pressure tested by peers. It was developed by peers. They're trying it in their own boardrooms. Some of these stakeholders are current or former chief ethics and compliance officers so there's an appreciative inquiry of the tensions on both sides of the table. So in my opinion, I really forecast that this is going to have a catalyzing impact on the industry. Eric, I don't know, thoughts on your end too. Eric Baldwin: No, I would just say, I think one of our hopes here is that as directors bring this into the boardroom and, Emily, you're right to point out that it does seem like the expectations for boards in oversight in this area are going nowhere but up. It is our hope that this is a tool that helps them meet those heightened expectations. But also that it's only a starting point, that boards will use the tools in this framework to get the conversation started and come back to us with further recommendations of what would be additionally helpful to assist them in their oversight here. Emily Miner: Well, I, for one look forward to following along and participating and seeing what the impact is and how this framework is used and what the feedback is from those that use it. Marsha, Eric, it has been such a delight speaking with you today about the genesis of this report and all of the insights assembled from such a stellar working group. We're out of time for today. But for those listening, if you're interested in learning more about the report, the framework, et cetera, please look at the link in the podcast description. My name is Emily Miner, and I want to thank you all for listening to the Principled Podcast by LRN. Outro:  We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcasts on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.  

The Promotability Index A conversation with Amii about the nature of the workplace including how to improve trust, enhance communication, advance your career and become a better leader. We discuss Amii's Promotability guidebook and how through better self-awareness we can more purposefully navigate our careers and life.  Grab a copy of Amii's PI Guidebook using this link.  Guest Bio. A former Fortune Global 50 executive, Amii Barnard-Bahn is a consultant to the C-Suite and leaders at global companies like Bank of the West, Adobe and The Gap. Recognized by Forbes as one of the top coaches for legal and compliance executives, she is a member of Marshall Goldsmith's 100 Coaches. Amii guest lectures at Stanford and UC Berkeley, is a contributor to Harvard Business Review, Fast Company and Compliance Week, and is a Fellow at the Harvard Institute of Coaching.

What you'll learn in this podcast episode It's generally accepted that effective E&C programs are based on values as well as rules. But applying those values to real-life situations can be difficult. This has been particularly true during the pandemic, as organizations make hard decisions in many instances and chief ethics and compliance officers play a key role in guiding those efforts. How can values help CECOs sustain ethical performance—and even excel—in the face of such change and adversity? In this episode of LRN's Principled Podcast, host Susan Divers talks with Scott Sullivan, Chief Integrity & Compliance Officer at Newmont Corporation, and Joe Henry, who just retired as US Compliance Officer at Braskem. Listen in as they discuss the difficult choices they faced in providing moral leadership in their organizations—how those choices were made, by whom, and what the examples say about the role of the CECO.   Principled Podcast Show Notes [1:58] - Scott's role as the CECO at Newmont Corporation, the challenges faced and how he applies his values. [4:50] - Ethics and compliance at the heart of Newmont's decision making during the pandemic. [6:10] - Joe's role at Braskin and the challenges he faced. [11:20] - The role of Joe's values in influencing colleagues to change the decisions they made. [13:35] - The lessons learned from these tough experiences in the company. [16:12] - How both company's ethical cultures emerged after the pandemic.  [19:50] - Other circumstances which strengthened the respective ethics and compliance cultures. [27:25] - The most important areas of focus for an ethics leader in resolving difficult questions. Featured Guest: Joe Henry Joe Henry was the US Compliance Officer for Braskem, a multi-national Chemicals and Plastics company headquartered in Sao Paulo, Brazil.  He led the Ethics, Compliance and Risk Management efforts for Braskem's US operations including commercial, manufacturing, logistics, management and Innovation and Technology (R&D) functions.  Prior to joining Braskem in January 2017, Joe was a Compliance Director at GSK, a global pharmaceutical company, and worked in various ethics and compliance roles since 2003.  Investigations oversight, Compliance Operations, Methodology development, process assessment and improvement, policy and procedure management and managing government oversight programs were some of the responsibilities he successfully fulfilled while at GSK.  Prior to his GSK Compliance roles, Joe worked at SmithKline Beecham as an Information Technology Project Director and with IBM Sales, Technical Support and Product Development.  Joe earned a B.S. in Chemical Engineering from Carnegie-Mellon University and an MBA from Saint Joseph's University.  He also earned his certification as a Leading Professional in Ethics and Compliance from the Ethics and Compliance Initiative (ECI).  Joe and his wife reside in Lewes, Delaware and he retiredg at the end of March 2022 to pursue personal interests, travel and enjoy more time with his 3 grown children and two grandchildren.  Joe continues to provide advisory and investigation services on an as-needed basis to Braskem's US Compliance department.   Featured Guest: Scott E. Sullivan Scott E. Sullivan is the Chief Integrity & Compliance Officer of Newmont Corporation, the world's leading gold company. Newmont has approximately 15,000 employees and 15,000 contractors and has 12 operating mines and 2 non-operated JVs in 9 countries. Mr. Sullivan oversees, develops, implements and manages Newmont's integrity and compliance program including ethics, anti-bribery, corporate investigations, and global trade compliance. Previously, Mr. Sullivan was the Chief Ethics & Compliance Officer of a global manufacturer of fluid motion and control products with approximately 17,000 employees operating in 55 countries. Mr. Sullivan has written and contributed numerous articles on compliance programs, anti-bribery/FCPA, export controls, economic sanctions and other ethics and compliance topics to a variety of publications. Mr. Sullivan is also a frequent local, national and international speaker, moderator and conference organizer on compliance, anti-bribery/FCPA, export controls and economic sanctions.   Featured Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.     Principled Podcast Transcription Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers. Susan Divers: Hello, it's generally accepted nowadays that ethics and compliance programs that are effective are based on values as well as rules, but applying those values to real life situations can be difficult. This was particularly true during the pandemic when organizations had to make hard decisions in many instances in unprecedented circumstances, and ethics and compliance officers frequently played a key role in guiding those efforts. How can values actually help ethics and compliance officers sustain ethical performance and even excel in the face of change and adversity?   Well, hello and welcome to another episode of LRN's Principled Podcast. I'm your host, Susan Divers, director of thought leadership and best practices with LRN's advisory group. Today, I'm joined by two thoughtful ethics and compliance professionals, Scott Sullivan, the chief ethics and integrity officer at Newmont Corporation, and Joe Henry, who just retired as the US compliance officer at Braskem. We're going to be talking about the difficult choices they face in providing moral leadership in their organizations, how those choices were made, by whom and what the examples say about the role of the chief ethics and compliance officer. Scott, I'm going to start with you. Can you talk about your role as the CECO at Newmont and some of the hard choices you've faced and how you applied your values? Scott Sullivan: Sure. And thank you, Susan. It's exciting to be part of this podcast and it's a subject I'm very passionate about. So while Joe will be tackling some specific examples, I thought it might be more beneficial to start with a bit on process and approach. So when your values are tested in trying times, this is when the rubber meets the road. So the least common denominator approach, or what is accepted, what is condoned, often becomes your culture. It's not the pronouncements and the platitudes, but rather what you do on the ground or in crunch time. So during COVID, which by the way is not yet over or gone, we faced numerous challenges like everyone else, our values of safety, responsibility and integrity were at the forefront of what we did and said every day. As our strategy rolled out, we had to consider the full spectrum of stakeholders from vulnerable indigenous communities in which we operate to suppliers who were dependent on us to our employees.    In some cases in the early days of COVID, we even went into what's known as care and maintenance mode, which is basically shutting down except for essential services to protect the health and wellbeing of a variety of our stakeholders. We also deployed over 20 million in a COVID fund to assist communities around our minds with COVID type issues and challenges. We were active partners in the COVID struggles. We protected our employees with PPE, with vaccines, with health checks, et cetera, all this being said there were numerous and oftentimes competing opinions on what to do, being strong proponents of our values, and always circling back to them as a gut check when we made decisions, some of them which might have turned out to be controversial, was an excellent moral compass. It made us focus on not just what the short term, but what the long term was and what the consequences could be, both the good and the bad. It was our collective corporate decision that we had to make.          As a compliance team. Part of our job was trying to read the tea leaves and anticipating what was coming. Fortunately at Newmont, we have a fantastic executive leadership team who gave us the space to support them and the organization this endeavor. We invited in diverse perspectives, we had spirited debates and we pressure tested key decisions that mattered most. I'm proud of the approach that we took as an organization whereby no means perfect, but I think it has served us quite well. Susan Divers: Scott, before I turn to Joe, one of the things that strikes me about what you just said is it sounds like ethics and compliance was really at the heart of decision making in these difficult areas that you mentioned. Am I reading that right? And if so, how did you achieve that? Scott Sullivan: Yeah, I think, health and safety for sure was I think the heartbeat, if you will. Perhaps we were the supporting role, but really as COVID evolved over times, the issues got more complicated as they went. So you had initial true health and safety issues, in some cases life and death that you had to do, but then you had a whole series of decisions around employment, around vaccinations, around care and maintenance. And what do you do with communities, where the donations go? How do you ensure that you're not supporting corruption when you're doing the good deed of making donations? So I think as COVID evolved and as the challenges around COVID evolved, we became more integral and more integrated to those decisions over time. Susan Divers: Well, and that's really a good example of how it's meant to work. Yeah, the ethics and compliance department isn't defective if it's often a corner, but it is effective if it's right at the heart of difficult choices, and that's a perfect segue to Joe. Joe, do you mind outlining your role at Braskem and then talking about some of the actual challenges you faced in your role in those? Joe Henry: Certainly. Thank you, Susan. Thank you for the invitation to join you all today. Let me start off by saying that Braskem leadership team is a caring and forward looking group and primarily based in the US headquarters in Philadelphia. And that information will be important in a minute or two. Early in the pandemic two of our sites operated for 28 days via a live-in where our workers stayed on site, quarantined from family and other outsiders to operate our plants in Pennsylvania and West Virginia. These plants produce polypropylene, which is a key material for personal protection equipment, such as surgical gowns, face, shields, gloves, and masks. So our workers were willing to do that. And our Braskem leaders provided all the essentials for this live-in. And our team members were paid for every hour on site. So Braskem tries to do the right thing. And during that time, all other team members were directed to work remotely during the pandemic. Eventually after our operations were deemed essential to US business interest, all of our plants reopened with strict masking and quarantine requirements, including restrictions in travel. One of our first policy decisions developed in Philadelphia was to require workers to quarantine for 14 days after travel if they had traveled from their home county. Works for Philadelphia were pretty close around in the urban area. The policy, and it worked for salary team members who could work from home, but not for hourly workers who worked on site and who would not be paid for the time they must quarantine. So at our Texas sites, this policy was problematic in that it would not be unusual for a worker employee to travel to the next county to care or check in on a family member. Therefore, compliance was asked to intervene. And as a result of that, our intervention, we extended the travel range and only had the policy applied to travel outside usual circumstances. The other one is more around vaccines. So one other example as vaccines became available, again, I remember they were under emergency authorization. There became a drive by Braskem management to encourage team members to be vaccinated and to push required team members to be vaccinated or else be terminated. The impetus for this requirement was that several people at manufacturing sites were complaining about being vaccinated and still having to wear a mask because others were not vaccinated. We discussed the proposed requirement at the leadership team meeting, which US compliance is a part. And then there was actually a discussion in our industrial team where we're not a part and they mandated this vaccination or termination requirement by a majority vote, not a consensus vote. I received a call from one of the dissenters. He was concerned that many of his employees would resign or be terminated because they did not trust the vaccine yet. His plant would be greatly affected. I brought this to the attention to the US leadership team that the vaccines were not yet fully approved and that no matter how administratively burdensome the CDC's recommendation was vaccination or regular testing. So I informed the group, I thought our requirement was overly restrictive. It infringed upon employees' rights, and I would not approve any of these terminations, in the US, the US compliance officer approves all terminations. So I had some leverage there. So what happened is we implemented weekly testing for team members who were not vaccinated. And that seemed to resolve the situation. By the way, it was helpful that I was fully vaccinated and boosted and it was clear, my personal beliefs were not a factor. Susan Divers: Wow. That's a very striking example, Joe, there's a couple of things I'd like to pursue a bit. One is, it's clear that people brought you into these decisions that they turned to you as a resource, it sounds like certainly in the case of be vaccinated or terminated before the vaccines were fully approved, but also it sounds like you were asked to intervene on the travel restriction. Is that correct? Joe Henry: Yes. Susan Divers: And was that at a senior, if I can ask, or other level? Joe Henry: I would say the vaccination or termination decision was a senior management at one of our industrial sites had the concern. And then the travel policy was probably, as I recall from one of the HR leaders at the site saying, Hey, we have some employees that are in unique situation here, or maybe not so unique, but different than what we would have from an urban center versus someone working in a more rural area. Susan Divers: Well, that's another good example of how a compliance and ethics and compliance program should work. It should be a resource and be welcomed into decision making, particularly on very difficult and tricky issues like the two that you just described. Can you talk about the role of your values in convincing your colleagues and your leadership to change or moderate the decisions that they made? Joe Henry: Absolutely. That was probably the driving force is our code of conduct, we don't dictate to people how they must behave, especially outside of work. It's fortunate that US compliance and compliance department of Braskem is independent and we're objective. And we're very visible. So people know us and people are willing to approach us. Again, that's why I started off the leadership team, it had the best of intentions. They heard from one group that says, Hey, we're tired of wearing masks. We want to be productive. And they reacted to that without understanding the potential consequences and the potential issues they may have with our own code of conduct. And that we couldn't mandate someone put something that was not yet fully approved. And that actually went further than what the government was telling us we needed to do. Which isn't uncommon. Our policies and procedures are frequently tighter than what the law requires. But in this case, we had to recognize that people have freedom of association and freedom of choice about theirselves. Once we brought all the potential consequences and perspectives of all affected team members, I think we reached the right decision. Susan Divers: So was that a difficult process, would you say, was it time consuming, or once you played that role of honest broker, was it something that people widely accepted? Joe Henry: Yes. Yes. I would say, we did use a lot of influence in... Basically had the show them what the consequences are, why their actions might not be entirely appropriate. So it wasn't a matter of authority. It was a discussion and it was a lengthy discussion, but I think everyone was fairly open minded and recognized that it was going take some more work and maybe we were going to have to spend some more money, especially getting a company to do the testing for us on a weekly basis. But I think they quickly arrived that it was the right decision. Susan Divers: Well, that's a great example. And thank you for sharing that. I'm going to go back to Scott for a minute and then to you Joe and ask. So obviously these were pretty intense situations that you dealt with. What lessons did you learn from that experience given your role in the company? If you could discuss that a bit, that would, I think be very helpful. Scott Sullivan: Sure. Yeah. Building on my prior comments a bit, I would say there were a few learnings and perhaps a few aha moments that we recognize along the curve. I think one was, you need to think both long term and short term. So whether it's your employees or your stakeholders, you might have a decision today that is different than the consequences tomorrow. So really making sure you're not just stuck in the moment, but you're thinking about the long term of the consequences or actions that come out of your decisions today. Playing off one of Joe's comments about culture and values, modifying a Warren Buffet quote a little bit, "Values take a long time to build, but they can be destroyed in a heartbeat." And people watch, I think that's the one that organizations often forget when they're looking at their culture, it's that whatever you allow or condone becomes your actual culture. So I think it's really important to practice what you preach and stay true to those values or before you know it, or right under your nose, you lose them. And that's true, perhaps even more so in the darkest days. So, how you're treating your employees and what people did with respect to terminations, or extending compensation during COVID, all eyes were on that. And I think that has longterm consequences for employees is they think, well, how did my employer treat me during those dark days? Did they exit us from the organization? Did they treat us poorly? Was the mighty dollar, the only thing that mattered? And again, for us, we have a social license to operate in the locations we do. So you have to think about that holistically, the full ESG perspective and look at all your stakeholders. And I think a little bit about what we've been talking about as well is anticipating the pushback, where are those pressure points, or focal points that are likely to come up and figuring out, like we always say, you can't take a program off the shelf, but customizing or figuring out what works best for you? And then hopefully that leads to you and many more in your organization becoming both values, beacons and champions to help the organization propel forward. Susan Divers: So in other words, it really can become a tremendous positive as long as you stay true to your values. And you're actually strengthening your culture, not destroying it to go back to the Warren Buffet quote. And Joe, based on your experience, do you think that your ethical culture at Braskem emerged stronger as a result of the types of difficult choices that people made in those circumstances? And are there any other lessons learned from that, that you would want to highlight? Joe Henry: So I believe our culture has gotten stronger. The ethics and compliance group and officers know they need to stay ever vigilant to ensure that passions do not overtake the organization's foundational values. We live in an impatient society that is quick to react and does not always consider all perspectives and unintended consequences. So this experience gives us an opportunity to talk to the leadership team and say, Hey, let's take a breath here. Let's look at this. I think when you're more thoughtful about these decisions, I think the decision will be better, probably strengthen your culture versus weaken it, or undermine it. But I do know that my successor's still facing these challenges. Susan Divers: Yeah. Although you're building ethical muscle at the same time, I want to highlight what you said about stop, pause, think, or you said it a little differently, but our chairman of our board, Doug Sideman, has written extensively about the benefits of pausing. And we do live in a impatient world and one that moves at light speed, particularly with social media. And I think Scott, you would agree with this too, that stopping and getting everybody to slow down and look at all the potential ramifications and equities. Joe's example of employees in Pennsylvania versus employees in Texas, I think is a very telling one. And that, that is really, I think what's needed to deal with particularly moral leadership issues. Scott, does that make sense? And also if you could talk about whether your ethical culture came out stronger as a result of the pandemic, that would be helpful. Scott Sullivan: Yeah. I think you often see in some areas the short term view or this, in the impatient world, as I like the way Joe characterize it, you see the pitch forks and the torches coming out in any particular topic. And so part of our job is to say, let's pause, let's think this through, the unintended consequences, the longterm consequences, I think for sure our ethical culture has emerged stronger. It really gave us ample opportunities to do the right thing and to put theory into practice. So one of the things coming out of the tragedy of COVID is it really gave us an opportunity to show our values and do the right thing in those dark days. And I think that also that consistency of messaging and values, it's not one offer. There's one big case. I think that really builds trust with stakeholders and gives you an opportunity to show that you're a different kind of company. So even in the dark days with bad or troubling news, you're going to be transparent and that we stand true to our values and hold ourself accountable to those values. So that consistency of operational model, I think extends well beyond ethics into business and health and safety. When faced with a challenge, we're going to think about it, be very thoughtful in what we do and ultimately do the right thing for the entirety of the stakeholder community. Susan Divers: Yeah, that sounds like very sound holistic decision making. Joe let's let's switch gears a little bit. We've talked about the pandemic and the challenges and how both of you feel that your ethical culture got stronger as a result, and you both played pivotal roles in the ethics and compliance programs, played pivotal roles in helping your organizations navigate. Can you give some other examples outside of the pandemic of having to do that? Joe Henry: So I mentioned one of our values is the freedom of association. As a result of the summer of 2020, George Floyd death and all, we had some outsiders, some activists and DE&I consultants recommend some potential path forward for the company. One of those, including tracking managers' social media profiles, and other forms of public expression and see whether they should continue to be leaders in the company or not. For instance, should we sanction a manager for attending a pro-life rally, or another manager for posting their support for the police on their Facebook page? That type of monitoring is not aligned with our code of conduct. We declined that recommendation. Again, the passion was there. Hey, we got to weed these people out. Well, no, we have to make sure that when they're working for Braskem, they're aligned to Braskem's values and that they're not diminishing our name in the public.   And then most recently we've discussed how and when should compliance be involved in handling microaggressions. And we've agreed that microaggressions are supposed, should be handled between the two people in the first instance, maybe in a second or third occurrence, that it's handled, the person's called out publicly. And if it's repeated, then it's no longer a microaggression, it's an aggression. And then it comes to human resources or compliance. But those are some of the choices where, again, we relied on our code of conduct and relied on our proven policies and procedures regarding our ethics line to preserve the culture and continue to move the company forward and evolve the company. Susan Divers: Well, and that's another excellent example of pausing and looking at all the ramifications and carefully analyzing whether it is consistent with your code or not. Scott, do you have similar examples outside of the pandemic experience? Scott Sullivan: Yeah. So we've been on a journey of what I would probably call radical transparency in the ethics and compliance space, so where we're willing to show the good, the bad and the ugly to advance the health of our culture. It is a journey, so we're not perfect by any chance, but we're now more transparently and willing to share internal stories and struggles with our employees. I used to laugh all the time that most companies will say something happened to somebody, sometime, someplace with some result. And that leaves everybody, what the heck is that? What happened? And what are the expectations I know? So we've decided that we want to clarify expectations for employees. We want to at least establish the baseline for ethical behavior. And we want to ensure really that fraudsters or predators are held to account in the organization wherever and whenever we can. And also there's an evolving view about when something happens in our organization, what do we do to ensure that those individuals or groups of individuals are not just set free and allowed to go into the general community and repeat those damage?     How many times have we all learned in the compliance profession, individual moves from company A to B, to C to D. And when you do the investigation, there's a long track record that history being repeated at different organizations. So we have done cradle to grave exposes, including one with a public press release, where we actually lifted the hood and told the full story. So most times it's fairly detailed internally and the reception has been excellent. It's advanced our culture ball pretty dramatically. As I mentioned, that being said, it's really, we're still on the journey, but we feel that practicing what we preach and not allowing performance to excuse misconduct or cornerstones of our culture. So even when the outcome is internally painful and extremely disappointing, we've been trying to promote this. So it's not just you do it once, because you can't fake it. And if you do it once, you see big scandals in organizations and periodically it's a big splash in the paper. And we've had similar things where you've had a case that we did our first radical transparency case. And I think the organization, the employees were saying, okay, is this a new way that we're going to operate, or is this the company's hand was forced and they felt they had to do it, so they did it? And so I think that whole concept of you can't fake, it's got to be genuine, it's got to be demonstrable and it's got to be sustainable, is really important. And as an aside, I think most companies can get compliance correct, or they get it right. That's to say that it's the right side of the brain, it's the math science side. It's one plus one, plus one equals three. But when you get to integrity, you get to ethics and culture, that's the equivalent to me, the left side of the brain, it's the English history. It's a little bit more soft. It's touchy, feely. It's hard to measure, but I think it's far more impactful. And that is often where I see organizations fall down, because it's so hard to do. And it's so hard to say, what is it? And it feels like it's subjective, or judgemental, or it's just real hard to do. So I think companies that focus on getting the integrity or the culture piece right, are so far ahead of the curve and getting everything else right. And that's not just in the ethics and compliance space, because I think that could be a proxy for good governance. It could be something that is a springboard for doing other things in an extraordinary way or well above peer organizations. Susan Divers: That's so interesting that you framed it in those terms. Something we talk about a lot and we're not alone in that in this area is that you can't just look at your ethics compliance program as a checklist and say, I'm good to go because I've got policies, code, training, audit, it has to be living and breathing. And that's where the touchy feely comes in. And the research, interestingly, it shows that if you have organizational justice where you're holding people to the same standard, and I hear you both talking about that in what you've described today, then you have the lifeblood and a strong foundation for your ethics and compliance program and activities. But if you don't, if there's two standards of justice, or what I'm hearing today too, is if there's a rush to judgment where some people get trampled in that rush, then you don't really have a strong foundation for your program. Joe, would you agree with that as well? Joe Henry: Yes, I absolutely do. Yeah, it has to be thoughtful, fair. We haven't gone to the extent from a transparency as Scott Newman have us to naming particular people, but we do anonymize those situations and publish them or even present them as lessons learned. Susan Divers: Yeah. That's very powerful. Well, we're starting to run out of time, but two questions before we terminate, which is what are the most important areas of focus by an ethics leader in resolving difficult questions? You've both given great examples of how central ethics and compliance was to tough decisions. But if you're a relatively new ethics leader, what are some of the key things to really bear in mind when those tough issues come up? Scott, you want to lead us off on that? Scott Sullivan: Sure. So I think as we've both mentioned, and same with Susan, the tone at the top is really important. So getting your executive leadership on board, otherwise the likelihood of success drops pretty dramatically. And I think as we've also both said, relationships matter. So build them wherever and whenever you can. And I think it's always that rainy day fund, you build credit in the bank, you build street credit. So for the bad news bear moment you have to come in, I think that's really important. So they understand who you are. You're not just a cry wolf person, you're thoughtful, you're methodical. You do all the things the way the organization would expect. And I think, for all of us, unfortunately, and you can see the business partnering go too far. So I think not withstanding that you always have to remember that there will be times undoubtedly as a compliance officer, where you have to put your neck on the line and hopefully your organization does not have a kill the messenger culture, that's not a fun organization to be a part of. And I think value based decisions are toughest in downturn markets and during crises. So we've come out of a pandemic and now we're going into what seems to be a downturn market. So I think the key message there is really prepare in advance and look at your rainy day credits and figure out where you're going to have to put your stake in the ground and move forward. Susan Divers: So build up your relationships and your credit and your goodwill. Joe, something to add. Joe Henry: I do that. I wholeheartedly agree. I think that what Scott mentioned is the most important area, but another area of focus is the company's values, which usually describes in the organization's code of conduct and implemented through your policies and procedures. And I remind the executives and our team members, employees, the code of conduct and policies are approved by the board of directors after thorough and thoughtful review by the executives, by the stakeholders and by compliance. So they're not done instantaneously and there's a lot of thought, there's a lot of reason why we have them and they shouldn't just be dismissed quickly because the particular circumstance. These documents provide the desired ethical direction of the company and have been very useful in resolving difficult decisions in the past, especially with well-meaning, but passionate team members. Go back to the foundation and consider it maybe, maybe, maybe we do need to make a change to the code of conduct or a change to our values, but at least reference it and have that discussion before taking any severe action that may have unintended consequences. Susan Divers: That's a very good point. One of my colleagues describes the code of conduct as your culture written down, and using it as a focal point and a way to ensure that major decisions and discussions include values, I think helps make it a living and breathing document. Well, this has been such an insightful conversation. I wish we could continue it talking about tough choices, I think is really helpful for people at whatever stage they are in their ethics and compliance journey and profession. So I want to thank our listeners. My name is Susan Frank Divers, and we'll see you the next time on Principled Podcast. Thanks Scott. Thanks Joe. Joe Henry: Thank you. Scott Sullivan: Thank you all. Outro:   We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principle performance in global organizations by helping them foster winning ethical cultures, rooted in sustainable values. Please visit us at LRN.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.  

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. It's the 150th episode of the Great Women in Compliance podcast. This is a special episode because Mary and Lisa decided to do a joint episode in the middle of a season. And in honor of the 150th episode, they have brought back the GWICies. This year, they call out some things that resonated with them - the best new podcast, the best innovation this year, the best swag at a conference, the program that can be a phoenix and rise up, while still providing lessons to learn, and the best "outside compliance," success story, among others.  The other part of the episode is a recap of the recent Compliance Week conference. Lisa and Mary give their feedback about some highlights and some lessons learned in the panels. They both felt very fortunate to be a part of this live conference, and the opportunity to connect in person. Lastly, Lisa and Mary want to thank the Compliance Podcast Network and Corporate Compliance Insights for their ongoing support and sponsorship - they couldn't do it without them. They are also grateful for the entire #GWIC community - who have made this such a wonderful experience for them. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.

What you'll learn in this podcast episode With increasing demands from institutional investors, employees, consumers, and shareholders around ESG priorities, how are company boards assuring that they are shaping business strategy to be responsive to these expectations? In this episode of the Principled Podcast, Dr. Marsha Ershaghi Hames, partner at Tapestry Networks, explores the role of boards in bringing a strategic mindset to advancing ESG issues with Virginia Addicott, former president and CEO of FedEx Custom Critical and board member of both CDW Corporation and Element Fleet Management. Listen in as the two discuss how the board's own diversity can humanize the elements of creating sustainable corporate cultures and creating meaningful organizational change.   Featured Guest: Virginia Addicott Virginia Addicott recently retired as president and CEO of FedEx Custom Critical®, a leading North American expedited freight carrier located in Green, Ohio. Virginia joined FedEx Custom Critical in 1986 and quickly worked her way up the ranks, holding director positions in various departments where she placed a strong focus on organizational culture, customer satisfaction and developing people. In each role, Virginia used technology to improve productivity. By streamlining processes she has improved efficiency and enhanced communication capabilities to move the company forward.  Virginia has been recognized for her leadership both at work and in the community. In recent years she has been inducted into the Northeastern Ohio Business Hall of Fame (2013), received the Women of Power Award from the Akron Urban League (2013), and also received the Leadership Excellence Award from the National Diversity Council (2014). She has also been named to the Inside Business Power 100 list for the past six years (2011-2016) and the Crain's Cleveland Business Power 150 (2014). She was also named honorary chair for the 2015 Bridgestone Invitational Tournament, the first-ever woman to be named honorary chairperson for the tournament.  Virginia earned a Bachelor of Science degree (‘85) and an EMBA (‘95) from Kent State University. In 2013 she was appointed by Ohio Governor John Kasich to the Kent State Board of Trustees. She is past chair of The Boys and Girls Club of the Western Reserve and past chair of the Greater Akron Chamber of Commerce. She also serves on a number of other boards, including Akron Children's Hospital, the Akron Community Foundation and FIRST (For Inspiration and Recognition of Science and Technology).   Featured Host: Marsha Ershaghi Hames Marsha is a partner with Tapestry Networks and a leader of our corporate governance practice. She advises non-executive directors, C-suite executives, and in-house counsel on issues related to governance, culture transformation, board leadership, and stakeholder engagement. Prior to joining Tapestry, Marsha was a managing director of strategy and development at LRN, Inc. a global governance, risk and compliance firm. She specialized in the alignment of leaders and organizations for effective corporate governance and organizational culture transformation. Her view is that compliance is no longer merely a legal matter but a strategic and reputational priority.  Marsha has been interviewed and cited by the media including CNBC, CNN, Ethisphere, HR Magazine, Compliance Week, The FCPA Report, Entrepreneur.com, Chief Learning Officer, ATD Talent & Development, Corporate Counsel Magazine, the Society of Corporate Compliance and Ethics and more. She hosted the “PRINCIPLED” Podcast, profiling the stories of some of the top transformational leaders in business. Marsha serves as an expert fellow on USC's Neely Center for Ethical Leadership and Decision Making and on the advisory boards of LMH Strategies, Inc. an integrative supply chain advisory firm and Compliance.ai, a regulatory change management firm. Marsha holds an Ed.D. and MA from Pepperdine University. Her research was on the role of ethical leadership as an enabler of organizational culture change. Her BA is from the University of Southern California. She is a certified compliance and ethics professional.   Principled Podcast Transcription Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace changemakers. Dr. Marsha Ershaghi Hames: With increasing demands from institutional investors, employees, consumers, shareholders around ESG priorities, how are corporate boards ensuring that their companies are assessing, measuring, and shaping business strategy to be responsive to these expectations? Hello, and welcome to another episode of LRN's Principled Podcast. I'm your guest host, Dr. Marsha Ershaghi Hames, a partner at Tapestry Networks. Today, I'm joined by Virginia Addicott, the former president and CEO of FedEx Custom Critical. Virginia serves on the board of CDW Corporation and Element Fleet Management. We're going to be talking about the critical role of boards in shaping ethical corporate culture and why board diversity is essential to creating meaningful organizational change. Virginia is a real expert in the space, having carved out an impressive career in operations and innovation in logistics at a time when relatively few women were in the industry. Virginia joined FedEx Custom Critical in 1986 and quickly worked her way up the ranks holding director positions in various departments where she placed a strong focus on organizational culture, customer satisfaction, and developing people. Virginia has been inducted into the Northeastern Ohio Business Hall of Fame. She's received the Women of Power Award from the Akron Urban League and received the Leadership Excellence Award from the National Diversity Council. Virginia, thank you for coming on the Principled Podcast. Virginia Addicott: Well, thank you very much for having me. It's a pleasure to be here. Thank you. Dr. Marsha Ershaghi Hames: So let's get started from the top. You had such an accomplished career. You retired as president and CEO at FedEx Custom Critical before turning to a distinguished career of service on both corporate and nonprofit boards. Maybe to start, just share a little bit more about your journey and how these experiences have helped shape and prepare you for the lens of oversight and board service. Virginia Addicott: Yes, Absolutely. As you have mentioned, I had a really terrific career at the FedEx corporation leading the FedEx Custom Critical organization. I was with the organization for a little over 33 years. Unbelievable in this day and age I think. But I really did have a terrific career because I started out in the ranks and moved my way up quite quickly. I think really starting out really... I'll say doing the doing, having your hands dirty, and really in the operations really did shape and prepare me for ascending to the role of president and CEO because I really understood how the organization worked, how the people worked together. And through that 33 years, one of the biggest things that I did see was that culture is everything to an organization and how you treat your employees with fairness and dignity and making sure they know that they're valued in their work really makes the difference in how you can execute a strategy. And I love strategy, but without having a really engaged workforce, it's very difficult to take any strategy and put it into play. Dr. Marsha Ershaghi Hames: As you came through this, I would say, observation of the importance of the intersection of not just the execution, but the how we get there, there were relatively few examples of female leaders in your industry. A lot of how we look at the lens of decisions can be informed by our own personal and professional experiences. Tell us a little bit more about how your experience of perhaps being the first woman or the only woman in a room shaped how you took your next steps in your career and maybe some of the lessons that you're carrying forward into the boardroom. Virginia Addicott: Well, definitely when I began my career back in the '80s, the later '80s and 90s, you're right, there weren't that many women in the leadership levels of our industry and the transportation industry. And of course today, much different story to that. But one of the things that it was absolutely apparent to me is the whole need for diversity around a table, because one of the things that I witnessed was that when you have the same types of people all sitting around a table and they've had maybe similar backgrounds, similar experiences, et cetera, they come to the table with similar viewpoints. When you start bringing people to the table who have had diverse background, experience, you really do start to get a whole new possibility of how you'll take something forward, how you'll shape your strategy, how you'll handle and work with those people who are working with you and for you. So I really do think that the opportunity to be that person who was maybe the only or one of very few gave me the context as to how that feels and how important it is to have the diversity, but also how to embrace and engage and work with people who come from many different types of backgrounds. Dr. Marsha Ershaghi Hames: So I think embrace is a great characterization here because it starts with the willingness to be open and inclusive of ideas or points of view that may differ from your own. I've certainly been in dozens of conversations now with corporate directors that continue to reveal this pressing need for boards to really improve their understanding of diversity, equity, inclusion. And there's a lot of dialogue around the board's role in the governance of DEI, especially as investors and employees are demanding more progress from institutions. I'd like to get your reflections a little bit more on this. I mean, to what extent, both within your own industry, and I think more holistically, are you seeing progress around inclusivity, diversity, even gender parity, and what is really the responsibility that you feel is of the corporation in being more intentional about driving us forward? Virginia Addicott: Well, I have the luxury up sitting of course on a couple of boards. And I can tell you, on both of our boards, we have a really firm look at the entire ESG and we talk about it. But the number one thing we understand before you even get to ESG is how important diversity is. So it's not doing it because somebody just said, "Hey, we have this thing called ESG and this is what you need to do," it's really understanding, and again, embracing the idea that when you have people from different backgrounds, whether it's gender, whether it's ethnic, whether it's background of an experience, when you get those people around a table, you get a better answer. I can't quote them off the top of my head, but there's studies out there that show that when you do have this diversity, a company is much more likely to thrive, grow, and be profitable. So it's a no-brainer to know that that's important. Now, I'll tell you that the boards I sit on, we do talk about this at the board meeting and we do have metrics around it and have the human resources or the chief operating officer. But we include all of the C-level players at these companies in talking about, how are we doing? How can we do better? And really working around the ideas of acceptance of other ideas, embracing other people's thoughts and experiences. So it's an ongoing conversation and a dialogue. And again, it's not one done just because of ESG, it's done because we all understand that diversity will help our company be even better. Dr. Marsha Ershaghi Hames: Well, I mean, it's really a testament to the cultures of the boards you sit on too in terms of some of the progressive design and openness to keep this as a priority on agendas, to be more inclusive of some of the C-level executives. Not every board today is taking those approaches, so that's fantastic example. Virginia Addicott: At least my experience has been when you see a board that has good communication amongst themselves, good dialogue, and good dialogue, of course, with the C-level and even those below that level, when you've got good communication, and I'll say respectfulness of thoughts and opinions, that maybe I'll bring something up and maybe the chief operating officer, the CEO or somebody maybe they agree, maybe they disagree with my thought, but they're open to hearing the thought. I think that's where it all begins, is you've got to be respectful of each other and communicating with each other and open to each other's ideas first. Then when you start talking about diversity, certainly that then spills over into it. But I think you have to start with this notion that we are all here for the good of the whole, for the good of the company, for the good of the shareholder, and that we need to be open to ideas so that we don't go down the wrong path or make unnecessary twists and turns. But by listening to each other, we can come up with the best ideas. Dr. Marsha Ershaghi Hames: It's so important to point out just the simplicity, but the power of respect and respectful communication and good listening skills. Virginia Addicott: Yeah, absolutely. And it's great when you're sitting in a boardroom and people come up with ideas and we can banter them around. The board is not trying to certainly tell the executives how to run their company, but we're all in it together to advise and to talk about it and to have that good dialogue so that we can come up with the right answers to situations or strategy, et cetera. I think one of the things that I've really witnessed, I can say personally, what I've witnessed is this move from... with ESG coming out, is move from having a plan to become more diverse in an organization and maybe even over a couple of years where you see the plan and it gets presented again and we're not really making that great of a headway or... et cetera. For me, what I'm seeing is we are seeing the plan and we're seeing headway because we, the board, are saying, "Okay, so you didn't get to move the needle as much here, tell me what you're going to do next time." And then again, we banter it around, we talk about best practices we've seen other places, maybe some creative ideas defining diversity to come in or raising people up within the organization. But I think that this ESG certainly has prompted the notion that you can't just keep putting numbers up and them not moving. You need to see movement, and then let's get creative on how we're going to do that. Dr. Marsha Ershaghi Hames: Well, building a little bit on ESG issues. So you and I initially we met... You're part of our audit committee network and you have been fantastic contributor to our ethics, culture, and compliance network. However, every committee, I think, that you're on and you're a part of seems to be morphing into some sort of ESG committee. There's just so much focus now on climate risk, people, talent, cyber, tech transformation, and all these issues. And these are great examples around, how do we go from the plan to making headway on the plan? What would be your guidance for our listeners? How can boards start to really approach thinking or planning differently around oversight of these issues? What are some strategies you picked up where boards could be doing better? Virginia Addicott: I think one of the things that we've got to... at least we bring this one up, is that post... and I don't want to say post-COVID because obviously COVID is still alive and well, but I'll say post-vaccine, one of the things that we're seeing is a big stretch on people because of people exiting the workforce or moving companies. So I think one of the things is there is a heightened focus on climate and people and cyber, et cetera, as you've mentioned, and then we have this exit of people. So one of the things we have to do is really understand who is in charge of each of these things? What is the team, the committee? And make sure that they are staffed correctly to get the work done. Because what I'm seeing is quite a bit of stress in workforces just in general. So I think it's really making sure that when you look at each of these areas that are very important to us, that who is on point for it and what resources do they have to do this? The other piece for me that I'm seeing a lot of, which I really love, is the collaborative effort across the companies to address these issues. For instance, cyber is not an IT or technology issue, yes, probably the leadership and ownership sits there from the standpoint of the CIO or whoever it is in that organization, but it's the operations, it's the human resources, it's the marketing, it's the legal, and they all have to collaborate to make sure that we're in compliance, that we are on track with the cyber possibilities and the cyber threats. So one of the things I've seen through all of this is really a nice collaboration. We were just talking the other day, I was at a board meeting, and one of the things we were talking about, and this is around the diversity piece especially, was how everybody has to own diversity. And it's got to be a part of the fabric of each organization within the company. And it's not something we're checking off so that we can have an ESG score, it has to be woven into the fabric of everyday things that we do to make sure that people are, one, from the very beginning that we've got a diverse slate of candidates when we have jobs available, that we're working with let's say universities or colleges, or depending upon what the job is other people, to how do we develop a new slate of candidates? Then within our companies, making sure we're working from within the company to make sure people are getting the right development to move up. But it has to be, each and everything we have to do, are we doing things each day to make sure people feel included, that we're listening, and that we are valuing the opinions and inputs of people who may not look like us, may not come from the same country we do, may not worship the same way, may not like the same people that we do, et cetera? So for me, I'm seeing much more collaboration. And again, let's weave it into the fabric of the organization. This is not a number to check off. Dr. Marsha Ershaghi Hames: Yeah, no, this is an excellent example. And what I'm really hearing from you here is the ownership and the threading into the DNA as you're saying [inaudible 00:16:39] it in. How can boards activate this expectation? Because there's a lot of conversation around, who in management owns it? How much time do they have to be visible at the board level in terms of what's being measured and what's changing? But I've also heard, if the board is not demanding or asking of, are we able to affect change? So I'm just wondering, it's this tension between who's driving what? Who's taking those first steps? Virginia Addicott: Right. Definitely, the human resources type function or the chief diversity officer is going to present information. And of course, we want to see that and we want to see those metrics move. But I think one of the places that boards can really... let's say when a new position is coming available, a high-level position is coming available, are we asking, what does that slate of candidate look like? And I'll use the word demanding, but are we really pushing the idea that we need to see a diverse slate? But I think the other place where it's really a bit of a no-brainer and it's super easy to do is let's say the operations is reporting out on something, that we are asking that operational leader, the chief operating officer, or somebody, a director, et cetera, we're going to be asking them questions of their organization and what does their organization look like and how have they been taking other people's opinions and new ideas into putting them into play? I think it's asking the questions to many people, not just in that one section where we talk about diversity, equity, and inclusion. But really asking questions as we go through the entire board meeting and putting an emphasis on that. I think that really helps people get the idea that this isn't a check the box, it's a I need to live my life like this. Dr. Marsha Ershaghi Hames: Yeah. Yeah. Yeah. So much of this is a purpose, values orientation, but then it goes a little bit back to the culture of the board. Maybe that helps us shift to this topic of, you've been an active contributor to the ethics, culture, and compliance network. We formed a culture measurement working group earlier this year and you contributed to helping create a framework that boards can leverage as a guiding tool to assess culture. Tell me a little bit about how do you see frameworks like this helping directors really move the needle. How are you thinking or leveraging this even within your own boards? Virginia Addicott: I can tell you, when I was talking to one of my boards about being involved in this ethics, culture, and compliance network, they said, "Oh good. I really look forward to seeing what your outcomes are and maybe see how we can use it." So I think number one, from my standpoint, is certainly talking about it and talking about the work that we have been doing. And it was a great group that you all put together. I think there's a lot of boards that really want to do more around this, but maybe don't know how to get started or exactly what does this mean? So I think these frameworks help to frame the question, and what is culture? And what is diversity? What is inclusion? And then giving some good ideas on how the board can... as we just talked about, how can the board in their role as advisor, how can we help to either direct, redirect, or just ask those probing questions to make sure our organization is really embracing diversity, equity, and inclusion all the way through the organization? Dr. Marsha Ershaghi Hames: Well, Virginia, I want to ask one last question before we wrap up, and this is going to be a little more personal. I want to go back to your life, your professional journey, building your career. As you mentioned, 33 years is an exceptional tenure, one that we just don't see in today's professional landscape. But I want to peel back the concept of mentorship. In all my interactions with you, you're incredibly confident, you draw from a strong notion of, "I've tried this." I'm confident asking even the questions that I don't know the answers to. And that's not always easy, especially for us as women, as we're building our careers. I've certainly had a number of mentors that have opened doors for me and that I've drawn upon and have guided me. I want to turn to you and see, were there any significant mentors, or shall I even call them professional sponsors, that maybe had an impact on examples or opening up the trajectory of your career path and how do you, looking back, look at their guidance and how do you in turn give back in terms of your mentorship? Virginia Addicott: Well, this is definitely a topic that I enjoy talking about it because I think it's really important. And absolutely I have had mentors and I have had champions. For me, just to clarify, I say a mentor is somebody that you can sit down and really talk about things with and, "Hey, this is the dilemma going on. Maybe how should I handle it?" Or, "Hey, I'm thinking about this career, I'm thinking about this job. Help me to develop myself for that role." That's to me a mentor. A champion or a sponsor for me is somebody who when I'm not in the room, they're the person saying, "Hey, Virginia would be great at that. Let's put Virginia in charge of that." Or new possibility coming up is speaking out and saying, "Oh, let's put her in that role." And I'm very much a person who wants to mentor men and women because I think everybody needs this. So I think sponsoring somebody, so speaking up for them on their behalf when they're not even there, and really being their champion and mentoring, helping to guide, are very important things. Yes, I've had plenty of them myself. And I still have them, so don't mishear me. I still have people who I go to and talk to. But I also am very keen always to help people who are in this upward climb of the corporate ladder, if you will. So I do spend quite a bit of time. I love doing it because it gives me the opportunity to share some of my experiences. And I will tell you, I'm very quick. In fact, I'm mentoring a young woman out of Chicago who has great upward mobility. And I was telling her something the other day, she was going to give a presentation, and I said, "Listen, I would love to work with you on the presentation if you want me to because I was given tremendous feedback that was so helpful to me." And I explained to her what I had done wrong and how it impacted me and how through some coaching that I got from an outside firm my presentations got so much better. So to me, it's not about, this is what you should do, but also giving experiences where it didn't work out so great for me and these were some of the things, the lessons I learned, and maybe I can impart that to you. But I really think it's very helpful for men and women to help those who are in these lower levels and have this upward trajectory and the desire to really take the time to stop, turn around, and as people say, lend a hand to pull somebody up along with you. As a woman, I think it's important to have mentors who are men and mentors who are women, because when we talk about diversity, people come at things from different angles, and people who have diverse backgrounds and experiences, not just somebody in your business line or your organization. So you get the idea. But I'm really big on mentoring. I love to do it, I love to spend the time with people, and it's so... I always say it, all through my career, the most rewarding piece of my career was not my upward mobility and climbing, but it was to see people that you were working with or that you had maybe hooked up with, another coach or mentor, to see them move ahead. That development to me was worth everything from the standpoint of making me feel like, okay, we are really accomplishing something here. So I certainly suggest to everybody that they get to be mentors and hopefully they're champions for people as well. Dr. Marsha Ershaghi Hames: No, you couldn't have said it any better. It can be so rewarding. And it's a very positive, if not infectious behavior. So I hope we can spread more of that. Virginia, I could speak to you for hours. I've learned so much through your reflections. But we're going to be respectful for our listeners' time. So I want to thank you for opening up and sharing a lot of your thoughts on all of these matters from ESG to the trajectory of your career, mentorship, being a good champion, the importance of diversity and culture. There's so much that we covered. But thank you Virginia for your time. Virginia Addicott: Thank you, Marsha. I really appreciate being asked to participate on your podcast. I hope that our discussion here today triggers something in somebody's mind to think differently about maybe whether it's ESG or culture or mentoring. It would be great. Dr. Marsha Ershaghi Hames: Thank you. Thank you. And to you all, I'm going to close up. This is Dr. Marsha Ershaghi Hames. I want to thank you all for listening to the Principled Podcast by LRN. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustained values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.  

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.  Not too dissimilar from Lisa and Mary, Niina and Anna partner on a project to further knowledge to others in the Ethics and Compliance community.  Their Nordic Business Ethics Initiative is a wonderful contribution to practitioners.  We invite you to hear the story about how they got started and what they provide to others in the field.  Niina and Anna discuss some of the recent findings in their benchmarking survey with Mary sharing some commentary on a surprising finding and how global practitioners might use this data to target their speak up campaigns accordingly.  They also share their advice for anyone else thinking about launching a not for profit idea to serve the Compliance community and Mary wraps up the interview with some advice regarding interpreting signals of anger and what they mean vis-a-vis guilt in investigations.  Each of the GWIC team; Lisa, Tom and Mary, is speaking at Compliance Week in DC 16-18 May.  If you enjoy our thought leadership, join our panel sessions to hear more and look out for us in the networking breaks to say hello!  The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). Join the Great Women in Compliance community on LinkedIn here. 

In this episode of the FCPA Compliance Report I visit with Dave Lefort, Managing Director at Compliance Week. We take a deep dive into the upcoming Compliance Week 2022 National Conference, detailing the Keynote speakers, panels, conversations and breakout sessions. If there is one compliance conference, you should attend Compliance Week 2022 is it. Listeners to the podcast can get a special discount to the conference of $200 with the discount code TFLAW $200 OFF. Registration and agenda here. If you want more details on why should you attend Compliance Week 2022? Find out in this podcast series featuring speakers at CW 2022. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. Today Lisa speaks with Ann Sultan, Partner and Practice Lead for the Europe-Caucasus-Asia Practice Group at Miller & Chevalier. Ann helps multinational companies build their compliance programs and conduct global investigations to support their anti-corruption, anti-harassment, and anti-discrimination objectives. Ann has spent most of her career in law firms and talks about how she built her practice and career, noting how the support of more senior women at Miller & Chevalier was impactful in her career growth. Lisa and Ann also discuss the topic of diversity as a regulatory issue, and how the NASDAQ guidance on this topic and the UK FCA statements make this even more clear. Ann also contributed to "Sending the Elevator Back Down: What We've Learned From Great Women in Compliance," (CCI Press 2020), and Lisa and Mary will be guests at the Seven Elements Book Club on May 11 on Zoom to discuss the book. Please message them if you would like to know more. Are you attending Compliance Week's annual conference? The GWIC team of Lisa, Tom, and Mary will all be speaking and look forward to saying hello to listeners of Compliance Podcast Network listeners in DC! Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.  Kristy Grant-Hart was one of the Great Women in Compliance podcast's inaugural guests, whose episode launched on 6 December 2018. She agreed to be on the show before we had a track record and reputation – we're grateful to her for supporting us right from the start. We invited Kristy, one of the Compliance community's most respected voices, to return to the show to share with us how adult learning theory can best be applied to your compliance training to make it more effective. Listen in to get a baseline understanding of adult learning theory and Kristy's tips for enhancing your training program. We also hear about how Compliance Competitor is going and what the ever moving and shaking Kristy is up to next. Are you attending Compliance Week's annual conference? The GWIC team of Lisa, Tom and Mary will all be speaking and look forward to saying hello to listeners of Compliance Podcast Network listeners in DC.  The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here. 

About Amii: A former Fortune Global 50 executive, Amii Barnard-Bahn is a consultant to the C-Suite and leaders at global companies like Bank of the West, Adobe, and The Gap. Recognized by Forbes as one of the top coaches for legal and compliance executives, she is a member of Marshall Goldsmith's 100 Coaches. Amii guest lectures at Stanford and UC Berkeley is a contributor to Harvard Business Review, Fast Company, and Compliance Week, and is a Fellow at the Harvard Institute of Coaching. The author of The Promotability Index® Guidebook, you can receive her free Promotability Index self-assessment.   Connect with us! https://linktr.ee/cbbowman   WEBSITES Speaking: https://www.cbbowman.com/ Coaching Association: https://www.acec-association.org/ Workplace Equity & Equality: https://www.wee-consulting.org/ Institute/ Certification: https://www.meeco-institute.org/   SOCIAL MEDIA LinkedIn: https://www.linkedin.com/in/cbbowman/ Twitter: https://twitter.com/execcoaches Facebook: https://www.facebook.com/CB.BowmanMBA/ YouTube: https://www.youtube.com/channel/UCjZU3KqucXRXDsrHLvj8UIw