Compliance &Ethics - Society of Corporate Compliance and Ethics

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Compliance Certification Board®donates to its accredited universitiesCCB has donated $10,000 to each ofits accredited universities’ complianceand ethics programs to use at theirdiscretion to support complianceprogram students.CCB-accredited universities span the United States,and offer Juris Doctorate, Masters, and certificateprograms in compliance and ethics.CCB-accredited universities include:· George Washington University, Washington DC· Hamline University, St. Paul, MN· Loyola University, Chicago, IL· Pacific University, Hillsboro, OR· Quinnipiac University, Hamden, CT· Widener Law School, Wilmington, DEFor more information regarding the complianceprograms offered, please contact the university directly.“CCB’s scholarship program will assist universities thatpartner with CCB, HCCA, and SCCE to provide learningopportunities and resources to students who are interestedin pursuing compliance careers.”— Debbie Troklus, CCB President and Managing Partner at AegisCompliance & Ethics Center, LLP, CCEP-F, CCEP-I, CHC-F, CHPC, and CHRCCompliance Certification Board6500 Barrie Road, Suite 250, Minneapolis, MN 55435www.compliancecertification.org888-580-8373 | ccb@compliancecertification.org
··What are the barriers to success?··What pressures do employees feel?7. Emotions··How would you characterize the degreeto which the employees experience negativeemotions on the job? (e.g., fear, anger,distrust)··How do employees handle these emotions?··What are the sources of these emotions?··What type of misconduct might theseemotions generate?At this point, recap the interview. Replaythe drivers of organizational and institutionalsuccess.8. Measures··From the employees’ point of view, whatare the three to five most significantmeasured results used to address theirindividual success?··To what extent do employees “abuse” (game)the system to attain the desired results?··How do they do that? What type of abusesare you aware of?10. Values··What would you say are the company’score values?··Are there differences between the written(formally stated) values and values thatyou have deduced from observed behaviorat the company?··To what extent do the company’s valuesdrive decision-making?··How are those values communicated tothe employee population?··What types of issues does your code ofbusiness conduct (or equivalent document)address?11. Risks··What troubles you most about thiscompany?··What are the greatest threats or risks fromexternal sources?··What are the greatest threats or risks frominternal sources?12. Catchall··You are CEO for a day. If you could changeone thing, what would it be?9. Training··What types of training does the companyprovide, both content (e.g., ethics training)and process (e.g., computer-basedtraining)?··What types of training are available exclusivelyto executives and managers?··Does the company provide leadershiptraining?··What is the overall level of interest intraining?··Rate the overall quality of training youreceive.··How would your employees rate trainingquality?··How does the company determine whogets to attend training?13. Extra knowledge··Given the purpose of this interview process,what else do I need to know?14. Conclusion··Do you have any questions of me about theproject or the process?I do have a favorite question that I reservefor cases where I feel I might be missing somethingabout the culture of the organization: “If Iwere a new employee here, and you wanted tohelp me succeed, what one thing would youtell me that I need to know but won’t find writtendown anywhere?” This question has neverfailed to provide valuable insights that I mighthave never found otherwise.Compliance & Ethics Professional May/June 2013+1 952 933 4977 or 888 277 4977 www.corporatecompliance.org 59
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