COURSE DESCRIPTION This comprehensive course, delivered online or in-person, offers a solid foundation for building a highly effective ethics and compliance program in any organization. Whether you are new to the field or need a fresh perspective and systematic approach to enhancing an existing program, E2C provides the tools you need to succeed. Completion of E2C qualifies you to take the Leading Professional in Ethics + Compliance (LPEC) certification examination and obtain the LPEC designation. 10 Ways that E2C Is Unique E2C has the flexibility to fit your busy schedule with multiple delivery options including online, in-person, or in-house E2C sets the standard for the ideal balance of ethics, culture-building, and law/compliance E2C helps learners understand “the seven steps of an effective E&C program” but then goes so much farther regarding the most cutting-edge practices As the E&C professional association, the ECOA designed E2C to focus on E&C as a new profession and what is required of practitioners and their organizations With only 2-4 instructors per course, E2C sessions are fully integrated and build on each other to create a cohesive, comprehensive program All E2C instructors are highly recognized leaders in the E&C profession, each with decades of experience Emphasizing the value of peer-to-peer learning, each E2C session features facilitated, small-group dialogue and sharing Both E2C online and in-person utilize the most cutting-edge and effective adult learning technologies and techniques Each participant receives an E2C Resource Guide with helpful articles, templates, and samples as well as continuing access to an online community with discussion group and constantly updated resource library Organizations can request customized, in-house deliveries targeted to their E&C program team members, regional ethics leads, and others COURSE AGENDA Topic 1: Introduction to Ethics and Compliance The first session is an introduction to ethics and compliance as a concept and a profession. It addresses the events that have shaped the evolution from “compliance” to “ethics and compliance” and highlights the individual subjects of organizational ethics, integrity, social responsibility, and compliance as well as their interrelationships. E&C’s role in public policy is also discussed. Finally, attendees will learn the fundamental framework of an effective E&C program. Topic 2: Laws, Regulations, and Guidelines This session addresses the laws, regulations, and important jurisdictional precedents driving organizational ethics and compliance today. Sample topics include antitrust/anti-competitive behavior, fraud, bribery/anti-corruption, privacy, conflicts of interest, and employment law. It also highlights the importance of guidelines, self-regulatory initiatives, and other non-mandatory standards. It discusses relationships with enforcement authorities including cooperating with the government. Topic 3: Codes of Conduct & Policies Codes of Conduct and other behavior-related policies are critical instruments of communication for all E&C programs. How do you create a code that effectively resonates with your employees and other stakeholders? Under what circumstances is a values-based code better than rules-based? How do you ensure employees are familiar with the code, understand it, and choose to honor it? The session details how to create/update codes and policies, including how to derive principles (rules) from organizational values. Topic 4: Risk Assessment, Program Planning, and Evaluation This session addresses risk management, including identification, analysis, mitigation, and an effective process for recognizing and responding to new risks. It also addresses E&C auditing and monitoring. Program planning and evaluation complements risk management and involves establishing relevant E&C goals and then regularly measuring progress. Are your policies and procedures right for your specific situation? What is their impact? Which E&C metrics are valid and which aren’t? Topic 5: Governance & Reporting Structure This session addresses the important relationships, both administrative as well as interpersonal, among E&C and other functions within the organization including the CEO, board of directors, internal audit, and HR. It also covers important facets of oversight/governance in corporations and other types of organizations. What relationship between the E&C leader and the governing authority is ideal? What information should regularly be reported to the board? Topic 6: Culture, Incentives, & Ethical Decision-Making Organizational culture is the most powerful driver of workplace behavior and, therefore, is fundamentally important to E&C. W hat is an ethical culture and how can you create and measure it? The session also addresses critical components of culture include incentives and ethical decision-making as well as providing an introduction to behavioral ethics. Topic 7: Helplines, Investigations, & Anti-retaliation Effective E&C programs include multiple means by which employees and other stakeholders can ask ethics-related questions or report allegations of misconduct. Two essential characteristics of such programs are proactive efforts to prevent retaliation against whistleblowers and others who “speak up” and well-implemented investigations, which serve to prove that the organization legitimately holds all employees accountable to the E&C standards. This session addresses these issues and many more. Topic 8: Training & Communications Excellent standards of conduct are useless if employees don’t know they exist or understand them or don’t know how to honor them. This session covers multiple means by which you can achieve your communications goals, as well as how to work within the organization’s overall communications plan. Regarding training, the session distinguishes simple transmission of information from actual skill-building and focuses on the latter as a primary tool in E&C programs. Topic 9: Trends, Research, & Resources As the E&C profession grows, so too does the wide array of new issues and challenges. This session addresses the critical role that research, tools, surveys, and similar resources play in achieving E&C excellence. Using social media as a sample topic, attendees will consider how to identify new E&C trends and issues, isolate related opportunities and risks, and update a program accordingly. Among the resources discussed will be academia, industry benchmarks, professional service providers, and online search. Topic 10: Summary, Global Implications, & the Future The final E2C session reviews and summarizes important highlights from earlier sessions, briefly addresses the global implications of each topic, and looks to the future of the profession—especially the subject of ethical leadership. It discusses standards of conduct for E&C professionals, employment contracts, and other subjects important to those interested in pursuing E&C as a career. Lastly, the session thoroughly explains the LPEC designation, including the exam and continuing education.