9/20/2012

Internal Ethics Officer Training:
Driving Program Consistency

SCCE’s 11th
Compliance & Ethics Institute

Karen Clapsaddle
Jessica Hoffman
15 October 2012 

Agenda
• Mitigating Ethics Risk

• Ethics Officer Role

• Role Based Training Objectives

• Setting Up the Curriculum

• Assessing, Assigning, and Tracking

• Summary
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Mitigating Ethics Risks

Xx

Source:  2011 NBES: 2011 NBES

Well‐Implemented Programs Drive Strong Culture
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Lockheed Martin Corporation

LMC Ethics Reach

Global Security &
Info Tech Company
120,000+  Emps
2011 Sales: $46.5B
46 States + 
75 Countries
Ethics Team = 60

Ethics Program Features
Independent Structure
Code of Conduct & 

Awareness Training

Outreach
Policies
Investigations & Guidance

Monitoring Compliance Training
Outreach

Employee Survey

Reporting Mechanisms

Key Program Components
• Code of Conduct  • Program Assessments
• Ethics Awareness • Helpline
• Communications • Database & Metrics
• Employee Survey • Steering Committee
• Investigations • Compliance Training
• Risk Mitigation • Supplier Mentoring

Need For Consistent Program Implementation
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Ethics Officer Role
• Implement Ethics Program Elements
• Educate, Advocate & Offer Guidance
• Master Multiple, Complex Tasks 
• Investigate Allegations
• Partner with Legal, HR, Audit, Finance, Security
• Be a Trusted Resource for Leaders & Employees
Small Team Implementing Critical Program
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Ethics Officer Training Program
Ethics
Representatives

Area of Advance Skills Select

Specialty & Focused Training, as
Training Required

various
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Role Based Training Objectives
 Formalize Knowledge Transfer
 Multiple Training Tracks Based on Role
 Instruct Fundamental  & Advanced Skills
 Enlist Internal Subject Matter Experts
 Utilize Low‐cost, Existing Technology
 Design Courses with Interactive Elements
 Track Training & Report Individual’s Record
 Standard Test of Training Content

Care & Feeding of the Ethics Officer
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Setting Up the Curriculum
Multiple Tracks for Target Audiences:
Long Term Ethics Officer
Rotational Ethics Officer
Ethics Representatives
Key Course Groupings:
Program Basics – Ethics Officer Skills –
Investigations – Database – Survey 

Small Class – Interactive – Live Meeting

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LMC  Course Curriculum
Rotational Ethics Officers:  13 required
Long Term Ethics Officers:  10 required
Ethics Representatives:         3 required
Electives:     14 required

Plus: Mandatory Ethics Quiz:  All

30 Total Course Offerings
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Course Catalog Example
Program Basics Database & Metrics
ETH 101: Ethics Officer Fundamental CMT 101:  Database Case Entries
ETH 102: Ethics Officer Resources CMT: Database Reports & Metrics
ETH 103: Code of Conduct
ETH 104: Gifts and Courtesies
ETH 107: Policy Primer Investigations
INV 101: Report Writing
INV 102: Interview Techniques
Ethics Officer Skills
SKL 101: Business Writing
SKL 102: Active Listening Surveys
SKL 103: Building Trust SUR 101: Analyzing Results
VOV 101: Leading Ethics Training  SUR 102: Action Planning

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Assessing, Assigning, Tracking 
ETH 101

ETH 102

ETH 103

ETH 104

ETH 105

ETH 106

ETH 107

ETH 108

INV 101

INV 102

INV 103

INV 104

INV 105

INV 106

CMT 101

CMT 102

SUR 101

SUR 102

VOV 101

SPC 101

SPC 102

SPC 103

SPC 104

SKL 101
SKL 102
Long-Term EOs
Black, Ed` X X X X X X X
Mark, Bill X X X X X X X
Block, Betty X X X X X X X
ETH 101

ETH 102

ETH 103

ETH 104

ETH 105

ETH 106

ETH 107

ETH 108

INV 101

INV 102

INV 103

INV 104

INV 105

INV 106

CMT 101

CMT 102

SUR 101

SUR 102

VOV 101

SPC 101

SPC 102

SPC 103

SPC 104

SKL 101

SKL 102
Rotational EOs
Brown, Sally X X X X X X X X X X X X X
Smith, Tom X X X X X X X X X X X X X
Crowne, Mike X X X X X X X X X X X X X
ETH 101

ETH 102

ETH 103

ETH 104

ETH 105

ETH 106

ETH 107

ETH 108

INV 101

INV 102

INV 103

INV 104

INV 105

INV 106

CMT 101

CMT 102

SUR 101

SUR 102

VOV 101

SPC 101

SPC 102

SPC 103

SPC 104

SKL 101

SKL 102
Ethics Reps
West, Martha X X X X
Street, Jason X X X X
King, Mike X X X X

Customize to Meeting Needs & Affordability
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Course Elements
Instructors:    Internal Subject Matter Experts 
Time:               30‐60 minutes
Participants:  10‐15 per Class
Delivery:         Telecon & Live Meeting
Interval:          One year, Two year, Once
Tracking:         Self‐Acknowledge in Database
Schedule:        “Training  Wednesdays” (10 am/2pm)

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Sample Session
Subject: 
ETH 101: Ethics Officer Fundamentals
Instructor:
Long‐term Ethics Director
Audience:
Rotational Ethics Officers; Long Term > 1 yr
Classes:
One‐hour Sessions; 10‐12 Attendees

Small Class – Interactive – Live Meeting

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Sample Course Content

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Participant Polling

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Class Interactivity‐ Example 1

Laurin Mathson
EO Craig Cash
Bethesda, MD ES
Moorestown, NJ

Jim Messina
MFC
Orlando, FL

Chris Killion
IS&GS
Gaithersburg, MD

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Class Interactivity‐ Example 2 

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Summary
• Well implemented ethics program positively 
impacts culture and bottom line.

• Ethics team with uniform knowledge of 
program elements drives consistency and 
performance.

• Existing tools and internal resources can be 
utilized to customize an affordable training 
program for your team.
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