Leadership Skills to Advance Your Program€¦ · Leadership Skills to Advance Your Program ... She works with all organizational levels ... • Demonstrate high level of compliance

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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

[email protected]

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.


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


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


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


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


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)


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


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:


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


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


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


Utilize Liaisons and Executives

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Self Assess


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


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


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


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

[email protected]

Documents

Leadership Skills to Advance Your Program€¦ · Leadership Skills to Advance Your Program ... She works with all organizational levels ... • Demonstrate high level of compliance