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Leadership Skills to
Advance Your ProgramSCCE Compliance and Ethics Institute
Chicago, Sept. 25, 2016
Marjorie W. Marjorie W. Marjorie W. Marjorie W. Doyle, CCEPDoyle, CCEPDoyle, CCEPDoyle, CCEP----F,CCEPF,CCEPF,CCEPF,CCEP----I, JDI, JDI, JDI, [email protected]
Kris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEPON Semiconductor Global Communications
ECI Presentation September 20162
Agenda
• Facilitators
• Ethics and Compliance Program leadership
characteristics
• Case study examples of characteristics
• Group work to create takeaways
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Marjorie Doyle
Marjorie Doyle, CCEPMarjorie Doyle, CCEPMarjorie Doyle, CCEPMarjorie Doyle, CCEP----F,CCEPF,CCEPF,CCEPF,CCEP----IIII, , , , JDJDJDJD
Compliance Advisor
Author
Marjorie Doyle is an expert practitioner and
leader in the field of ethics and compliance.
She works with all organizational levels
including Chief Ethics & Compliance Officers,
CEOs, Boards of Directors, and any others
responsible for the implementation of
effective ethics and compliance programs.
She advises, coaches, counsels, develops,
and helps to implement these programs in a
way that successfully imbeds them in
business processes.
ECI Presentation September 20164
Our goal as compliance and ethics professionals is to
communicate clearly and effectively in order to get buy
in from all stakeholders and constituents.
Kris Pugsley
Kris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEP
Global Communications
Change Management
Kris Pugsley’s communication strategy is
targeted to over 90 global locations. She
leads the company’s internal and external
communications teams. Outside of her daily
communications responsibilities and board
commitment to the compliance and ethics
committee, Kris manages the company’s
global business continuity and crisis
communications response. She is a trusted
advisor to the company’s executives and
Board of Directors.
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1. Passion!
• Relatively new profession
• Energy to explain who we are and value of
program
• More than “check the box” program
requires constant dose of passion
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Compliance Activities = Passion and Engagement
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2. Role Model
• Must be living role model of what program is
• Walk, talk, and act the way the program wants
organization to behave
• Never off duty
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Leverage Social Media and Blogs
Use communication tools to
highlight the things you do when
no one is watching – things part
of the foundation of your
program! (Kris add social media
post from Twitter).
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3. Value of Speaking Up
• Show value of speaking up
• Make employees comfortable in reporting
and engaging in discussions
• Show processes for speaking up
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What happens when I report a concern?
All reports are logged and investigated to closure.
Report is received through any channel
Enter into case management system Assigned for investigation
Incident is investigated
Gather facts and documents,
interview involved parties
Determine whether allegation is
substantiated
Case is resolved
Action taken (if necessary) including
disciplinary action
Follow up with reporting party (unless
anonymous)
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Intranet Messaging
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4. Compliance & Ethics Expertise
• Demonstrate high level of compliance
expertise
• Know the role of ethics and compliance
• Have a basic expertise in the compliance
issues of the business
• Know the resources to employ (subject
matter experts in organization) for deeper
expertise
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Program Organizational Structure
ON Semiconductor Board of Directors
CEO and Executive Management Audit Committee
Legal
Department
Internal Audit,
Other Depts.
Compliance and Ethics
Program Office
Chief Compliance and Ethics Officer
Sonny Cave(Executive Vice President, General Counsel,
Chief Risk Officer, and Secretary)
Compliance and
Ethics Liaisons
(CELS)
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Compliace Committee
Sonny Cave Chairman
Tobin Cookman Asst. C&E Officer (Human Resources)
Daryl Hatano Asst. C&E Officer (Gov’t Affairs)
Mark Rogers Asst. C&E Officer (Legal)
John Waggoner Asst. C&E Officer (Finance)
Steven Deutsch Committee Secretary (Legal)
Mia Singer Legal
Paul Rolls Sales & Marketing
Bill Schromm Global Operations
Mark Goranson Manufacturing
Keenan Evans Quality
Bernie Colpitts Finance
Gary Pugsley Global Security
Jeffrey Wincel Global Supply Chain Organization
Kris Pugsley Global Communications
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Compliance and Ethics Liaisons (CELs) Worldwide Network
Currently 25 CELs across the World
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5. Anticipate Issues
• One of our roles is to prevent compliance
failures through the program
• Push the role of risk assessments by all
parts of the organization
• Know the business plans - particularly any
changes in direction – of the organization
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Communicate Incident Reports
No. Location Category Summary Status Risk Level
ON1600021 ConfidentialTheft/Fraud/Misuse of
Corporate AssetsXXXXXXXXX Closed Medium
ON160002A Confidential Business Integrity XXXXXXX Closed Medium
• We take all incident reports seriously and investigate each one to closure• We take appropriate action including commending those who do the right
thing, as well as taking disciplinary actions, up to and including termination when appropriate
• All incident reports and requests for advice are shared with the CEO, Audit Committee and Board of Directors
Excerpt from CCEP Report presented to the Audit Committee and Board of Directors:
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6. Communicate Clearly and Often
• Speak and write clearly
• No professional jargon
• Know what you want to accomplish when you communicate
• Don’t communicate just to show how much you know
• Constantly communicate to market, show accomplishments in the context of how it helps business
• Communicate for understanding – which means a variety of ways
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• Promotes an expectation of ethical conductexpectation of ethical conductexpectation of ethical conductexpectation of ethical conduct and a commitment to our core
values and compliance with the law
• Assists ON Semiconductor in preventing, detecting and responding preventing, detecting and responding preventing, detecting and responding preventing, detecting and responding to illegal
and/or unethical conduct
• Reports to Executive Management and the Board of DirectorsExecutive Management and the Board of DirectorsExecutive Management and the Board of DirectorsExecutive Management and the Board of Directors, led by a Chief
Compliance and Ethics Officer
• Supported by a Compliance and Ethics Office and a global network global network global network global network of
Compliance and Ethics Liaisons (CELs)Compliance and Ethics Liaisons (CELs)Compliance and Ethics Liaisons (CELs)Compliance and Ethics Liaisons (CELs)
Message to Newly Acquired Employees
We work hard to promote a culture where
you are comfortable raising a concern
in good faith, without fear of retaliation.
If you need advice or are unsure
about a course of action, ask.
Ethics website: Hotline.ONSemi.com
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CEL Compliance Communications Activity
Com
pliance and Ethics Liaisons Contributions
Compliance Activity by Country
28% Czech Republic 24% United States 19% China
5% Philippines14% Japan 5% India
0123456
Contributions to The Circuit
Lunch and learns
Local monitor displays
GM/Site presentation slide on compliance
Small group session
Submission of photos to Internal Communication from events
Engage Internal Communications to send email with survey
Engage local team to send site communication
Submission of videos to Internal Communications from events
Post information on local SharePoint site
New signs/visual displays (engage Internal Communication)
Presented at local conference or compliance event
Other compliance activity
5% Vietnam
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7. Know the Business
• Reach out and listen to concerns of the
operations people
• Think how the E & C program can help them
efficiently and effectively
• Always ask how the business is doing and
how you can help
• Most successful programs are ones
integrated into operations
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Develop Material for Your AudienceRecent updates and activity• Translations to ethics posters
• Video and presentation by Sonny Cave
during the last All Hands Meeting
• Planning for Compliance and Ethics week
for Q4
• Assistance for training and messaging for
Code of Business conduct launch in Q3
• Weekly communications calls with
Malaysia (bi-monthly SE Asia)
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8. Be a Business Leader
• Use the business plan format of the
organization
• Show that you can budget and follow a
budget
• Have a clear vision of where you are going
(goals)
• True leader doesn’t go from crisis to crisis
• Respect as a business leader will help give
credibility to you and what you stand for
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Utilize Liaisons and Executives
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Self Assess
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9. Departmental Support
• Establish strong relationships with other
departments in organization
• Helps to share resources
• Good relations help to gain support
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Compliance Committee
Sonny Cave Chairman
Tobin Cookman Asst. C&E Officer (Human Resources)
Daryl Hatano Asst. C&E Officer (Gov’t Affairs)
Mark Rogers Asst. C&E Officer (Legal)
John Waggoner Asst. C&E Officer (Finance)
Steven Deutsch Committee Secretary (Legal)
Mia Singer Legal
Paul Rolls Sales & Marketing
Bill Schromm Global Operations
Mark Goranson Manufacturing
Keenan Evans Quality
Bernie Colpitts Finance
Gary Pugsley Global Security
Jeffrey Wincel Global Supply Chain Organization
Kris Pugsley Global Communications
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Global Communications
• All Employees
• Leaders
• Region
• Country
• Site
• Departmental* Note: all have restricted access and messaging must
be approved by internal communications
Mail Lists Mail Lists Mail Lists Mail Lists
• The Circuit Newsletter
• The Connection
• Mail Lists
• All Hands Meetings
• Corporate Press Releases
• Press Meetings
• Promotional Materials
• Corporate Events
• Social Media
• Other Publications
Communication ChannelsCommunication ChannelsCommunication ChannelsCommunication Channels
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10. Educate
• Educate yourself and your employee base
• Persuade leaders the value of the program
• Training and hands on case studies
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Compliance Training Programs
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11. Know and Engage other Leaders
• Know current respected leaders and “up
and comers”
• Focus on those leaders to drip drip drip your
message of value of the program
• Engage those leaders in parts of your
program – they will then take ownership
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Toolbox for Executives and Management
Compliance as part of
standard presentation
materials for management
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Thank you!
Marjorie W. Marjorie W. Marjorie W. Marjorie W. Doyle, CCEPDoyle, CCEPDoyle, CCEPDoyle, CCEP----F,CCEPF,CCEPF,CCEPF,CCEP----I, JDI, JDI, JDI, [email protected]
Kris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEPKris Pugsley, CCEPON Semiconductor Global Communications
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