Ethics & Compliance Breakdown

1. Make Time for Face Time,time to meet with people. Start with lunch – or even just coffee

2. Invite People to Share ask people to share there honest feedback on program.

3. Help Break Down Organizational segmented departments ask how you can better support and serve their department needs: the answers may surprise you and help you fine tune your program

4. Think outside the risk assessment to find the risks that really need
to be on your radar find the risks that really need to be on your radar:

5. Give Employees the Juicy Details real life cases to capture employees attention and make training more effective.

6. When we ask employees in focus groups how compliance training could be improved, the number one answer is almost always “Use real cases from our company”:

7. Mix it Up and convey your E&C message in a new and different way

8. Are new employees getting the right E&C messages during
onboarding with HR and with their managers?

9. Create a Brand your E&C program can make it more memorable.

10. CEOs sharing their commitment to E&C goes a long way.

11. Rethink Your Next E&C email and avoid compliance fatigue: make your messages count. Before you hit the “send” button ask yourself if everyone on the distribution list really needs to receive your latest email communication. Reducing the number of communications makes the ones you do send all the more powerful

12. Multiyear training plan this step alone can be extremely powerful for improving education relevancy and efficiency

13. Make sure you’re making the most of each learners’ time – and
avoiding training fatigue. Replace some full-length training with short formats or simpler, more targeted awareness communications?

14. Match Training to Role-Based training to increase training relevancy and reduce time off-task. Most importantly, senior leader and board director groups should each receive training that is targeted to their unique – and different – roles and responsibilities

15. Training and related communications are best when the messages
are short and to the point•. Studies show that for adult learners, attention tends to wane after 15-20 minutes. As an added bonus, short training sessions are often much easier to schedule

16. Employees are most responsive to information that comes directly
from their manager• Develop 10-15 minute, easy-to-deliver training segments managers can fit into an upcoming staff meeting. Keep it simple

17. Cyber Security we all know about and one of your best defenses against a cyber attack is your employees. Human Error

18. Create a Hot Line Express and explain – in detail – what happens when an employee calls your hotline or makes a web report to share a question or concern. Demistify the Hotline Reporting Proces Call Your Own Hotline and test it. Stress the importance of anonymous reporters following up on their reports in case investigators have questions or need more information

19. Include only the most crucial, relevant content in board reports

20. Consider whether the process can be streamlined and made less intrusive

21. A standard, up-to-date list of key E&C documents and processes can save time and mitigate risk

22 .Make a Plan For Keeping Up With Change should reflect real-time business conditions – the way your people work, the gear they use and the latest regulatory changes.