how to build a compliance program on a budget · 2016. 11. 1. · because you deserve it • other...

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How to Build a

Compliance Program on a Budget

SCCE Dallas Regional Conference – 11.4.2016

Volha Kavalenkava © 123RF.com

Poll: We have enough budget for the program that we want.

• Absolutely!

• Sort of

• Not really

• Are you kidding me?!

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Agenda

Reframe Ideas Tools

4Certain images and/or photos on this page are the copyrighted property of 123RF Limited, its Contributors or Licensed Partners and are being used with permission under license. These images

and/or photos may not be copied or downloaded without permission from 123RF Limited.

Your Resources

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BudgetBudgetBudget

TimeTimeTime

Certain images and/or photos on this page are the copyrighted property of 123RF Limited, its Contributors or Licensed Partners and are being used with permission under license. These images


TalentTalentTalent

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Not Enough Budget

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BudgetBudgetBudget

TimeTimeTimeTalentTalentTalent



Not Enough of Anything

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BudgetBudgetBudget

TimeTimeTimeTalentTalentTalent



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Your World

8Rancz Andrei© 123RF.com

What does your jar look like?

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Mostly Golf Balls Pebbles & Golf Balls Mostly Sand



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Talent Buckets

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Role-Specific Skills

� Law

� Investigation

� Training admin

� Board reporting

� Project management

� Technology

� Sales & marketing

� Business

� People

� Influencing

� Creativity

� Resourcefulness

Professional Skills Soft Skills

Yulia Glam © 123RF.com

Agenda

Reframe Ideas Tools



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How to Increase Talent

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$$ Splurge $$ vs. ¢¢ Steal ¢¢

Increasing Manpower

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• Hire more E&C staff

• Hire external counsel

• Hire consultants


• Hire staff with diverse

skillset

• Find “free” services

within organization

• Discover “hidden”

talent

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Increasing Knowledge

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• Complete university

programs/certificates

• Attend industry

conferences


• Attend free webinars

• Join LinkedIn groups

• Participate in local

networks

• Reach out to industry

practitioners

Implementing an Automated Tool

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• Implement a tool for

each function

$$ Splurge $$

• Pick a tool that can do

multiple things

¢¢ Steal ¢¢

Alexutemov © 123RF.com

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Conducting Risk Assessment

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• Go big or go home

• Hire a consulting firm

to deploy a team

• Use a service provider

to conduct survey


• Start small

• Hire an experienced

consultant

• Borrow from peer

network

• DIY survey

Revising Code of Conduct

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• Hire external counsel

to draft document

• Engage service

provider to draft and

design document


• Hire consultant to

draft document, then

hire external counsel

for legal review

• Get ideas from other

Codes

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Conducting an Employee Survey

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• Engage a service

provider to design and

launch survey

• Pay for benchmarking

data


• Find free survey

questions

• Launch survey using

Survey Monkey or

other tools

Delivering Online Training Worldwide

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• Engage service provider

to build custom courses

• Translate online courses


• Use pre-built modular training

components

• Augment program with

additional components

• Conduct in-person training

whenever you’re onsite

• Translate the policy & develop

PPT training

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How to Increase Time

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Slow Cooker vs. Pressure Cooker

Annthegran © 123RF.com Jana Vostal © 123RF.com

Ideas to Increase Available Time

• Manual processes

• Do what you’ve always

done

• Automate processes

• Reengineer process

• Re-prioritize

• Increase staff knowledge

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Slow Cooker vs. Pressure Cooker

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How to Increase Budget

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Begging vs. Selling

Annthegran © 123RF.com

Blueringmedia © 123RF.com

How to Increase Budget

• Asking for more money because you deserve it

• Other companies have bigger budgets than you

do

• Your “customers” need to pay for what they want

• Your program is saving the company money,

attracting/retaining talent and giving it a competitive

advantage

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Begging vs. Selling

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Agenda

Reframe Ideas Tools



Free Resources from Organizations/Blogs

• SCCE

– C&E Program on a Dollar a Day

• Ethics & Compliance Initiative

• OCEG

• Ethisphere

• Ethical Systems

• The Institute of Business Ethics

• LinkedIn groups

• FCPA Blog

• Inhouse Owl

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Free Stuff

• PPT Resources– Slides Carnival

– Adobe Color Wheel

– Slide Team

• Interactive Tools– Free Puzzlemaker

– Poll Everywhere

• Culture Survey– Ethical Systems

• Images– Pixabay

– 123RF

– Freepik

• Policies– Sample HR Policies &

Procedures

– Codes of Conduct everywhere

• Videos– UT Austin Ethics Unwrapped

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Almost-Free Stuff

• Go Animate

• Video Scribe

• Powtoon

• Prezi

• C3 Works

• Lockheed Integrity

Minute

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Parting Thoughts

• Go out and talk to

someone

• Cover all your (skills) bases

• Know your customer

• Go out and sell your program!



how to build a compliance program on a budget · 2016. 11. 1. · because you deserve it • other...

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