PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM

© 2015 NAVEX Global, Inc. All Rights Reserved.

www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.


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Workshop: The Art & Science of Measuring

Program Effectiveness

Mary Bennett & Carrie Penman, NAVEX Global




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• What is “Effective?”

• Art vs. Science

• Group Work & Debrief

Agenda




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T h e A r t & S c i e n c e o f M e a s u r i n g P r o g r a m E f f e c t i v e n e s s

EFFECTIVE IS…




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The $64,000 Question

What is the definition of “effective?”




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Different Perspectives

• Federal Sentencing Guidelines

• Ethics officer

• Employees

• Senior management

• Board of directors

• Customers/suppliers

• Shareholders

• U.S. Attorneys




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ART VS. SCIENCE




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If Only It Was This Easy…

EFFECTIVE

NOT EFFECTIVE




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“Not everything that counts can be counted, and not everything that can be counted counts.”

Albert Einstein

How It Really Is…




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SCIENCE

What are some examples of objective,

data-driven information that are

helpful in measuring

effectiveness?




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SCIENCE: Objective, Data-Driven Information

• Benchmarking with peers

• Code and policy attestations

• Documentation aligning incentives with acceptable business practices

• Employee surveys

• Employee focus group data

• Executive communications

• Exit interview feedback

• Helpline call tracking, trending and benchmarking

• HR statistics

• Incidents of non-compliance

• Internal audits

• Investigations data

• Legal actions

• Organizational structure

• Quality metrics

• Risk assessment

• Responses to issues found

• Retaliation reports and findings

• Standards and procedures

• Training completions

• Training evaluations

• Third party audits

• Third party evaluations

• Third party training

• Others?




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ART

What are some examples of experiences

or intuition that, when applied to the science, help craft a

credible and actionable

effectiveness story?




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ART: Creating the Credible & Actionable Effectiveness Story • Management willingness to allow the

E&C office to present at department meetings

• Intuition and gut reaction

• Management response to issues raised or audit findings

• “Flavor” of the calls or interactions with reporters

• Pay attention to off-hand remarks by employees or leaders

• The “grapevine” or “water cooler” conversations

• Elevator behavior

• Management attitude toward program objectives

• Narrow focus on legal compliance rather than a broader definition that includes organizational culture

• Management by walking around—what are you learning?

• Location of the E&C Office (with leadership or “back 40”?)

• Interactions with the board of directors

• Out-of-the-box insights

• Others?




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GROUP ACTIVITY




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• Divide into 8 groups as assigned based on program elements

Discuss the Part 1 questions on the worksheet for your assigned topic—determine if other questions should be added to the list.

Answer the worksheet Part 2 questions and prepare to report out including a sample presentation or discussion of the topic.

One NAVEX Global scribe per group will record your key discussion points.

Select a group member to present your answers during the debrief.

• You will have 30 minutes to complete the group work

Group Work




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Group Work: Part 2 Discussion Questions

1. What data is available?

2. What data is still needed?

3. What are the barriers to getting necessary data or information?

Identify those that can and cannot be addressed.

4. What do you do if you have insufficient or absent data?

5. How do you put the science into context to avoid

data-dumping?

6. How you will link the data with your insights and experience to

create the story of effectiveness?

7. How will you satisfy the board and leadership that your insights

and experiences are credible?

8. How will you “package” the story for leadership (provide sample

format and context)?




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“The most successful compliance officers

I know are the ones who can effectively

apply intuition, experience and good

judgment to a set of data points to

determine and communicate

effectiveness.”

Carrie Penman CCO & SVP, Advisory Services, NAVEX Global

• Culture and good risk management are what matter

• Credible communications with leadership will help make the case

Takeaways?

• Understand it is not all about metrics

• Don’t just check off the 8 steps—it’s about how you identify and manage the biggest gaps between risk and current mitigation




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“Everything should be made as simple as possible, but not simpler.”

Albert Einstein




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Questions?




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Thank You

Mary Bennett VP, Advisory Services [email protected]

Carrie Penman CCO & SVP, Advisory Services [email protected]

mailto:[email protected]

Documents

PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM