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![Page 1: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/1.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
Workshop: The Art & Science of Measuring
Program Effectiveness
Mary Bennett & Carrie Penman, NAVEX Global
![Page 2: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/2.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
• What is “Effective?”
• Art vs. Science
• Group Work & Debrief
Agenda
![Page 3: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/3.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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…
![Page 4: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/4.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
The $64,000 Question
What is the definition of “effective?”
![Page 5: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/5.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
Different Perspectives
• Federal Sentencing Guidelines
• Ethics officer
• Employees
• Senior management
• Board of directors
• Customers/suppliers
• Shareholders
• U.S. Attorneys
![Page 6: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/6.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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
ART VS. SCIENCE
![Page 7: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/7.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
If Only It Was This Easy…
EFFECTIVE
NOT EFFECTIVE
![Page 8: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/8.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
“Not everything that counts can be counted, and not everything that can be counted counts.”
Albert Einstein
How It Really Is…
![Page 9: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/9.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
SCIENCE
What are some examples of objective,
data-driven information that are
helpful in measuring
effectiveness?
![Page 10: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/10.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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?
![Page 11: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/11.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
ART
What are some examples of experiences
or intuition that, when applied to the science, help craft a
credible and actionable
effectiveness story?
![Page 12: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/12.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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?
![Page 13: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/13.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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
GROUP ACTIVITY
![Page 14: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/14.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
• 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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© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
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)?
![Page 16: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/16.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
“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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© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
“Everything should be made as simple as possible, but not simpler.”
Albert Einstein
![Page 18: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/18.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
Questions?
![Page 19: PowerPoint Presentation · Title: PowerPoint Presentation Author: Deshani Caldera Created Date: 5/6/2015 12:10:48 PM](https://reader034.vdocuments.net/reader034/viewer/2022051919/600b73defd142f152e111d9c/html5/thumbnails/19.jpg)
© 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com © 2015 NAVEX Global, Inc. All Rights Reserved.
www.navexglobal.com
Thank You
Mary Bennett VP, Advisory Services [email protected]
Carrie Penman CCO & SVP, Advisory Services [email protected]