Ethics and Compliance Training from A to Z

2015 SCCE Institute: Ethics and
Compliance Training from A to Z

I. E&C Training Goals and Challenges

II. What Works

III. Latest Thinking

IV. Apply These Ideas to Your Training
Now
1

How is this relevant to me now?
 Average
adult has an 8 second attention
span. Source -- 2015 Microsoft Study.
 “No
longer can we boast about 12
seconds of coherent thought” Time
Magazine (referring to attention span in
2000).
 Goldfish
has a 9 second attention span.
2
 From
Ethics Hell to Heaven
3
 Presentation
 Have
must be entertaining
meaningful content
 Contain
an invitation – ACTION
REQUIRED
4
 Editing
presentation to appropriate Text
& Images TAKES TIME
5
LIFESAVING
 Ethics
E
doesn’t change. Boredom.
& C are not part of the bottom line.
 I’m
a good person, I don’t need ethics.
 We
all know ethics is not enforced.
I
am lazy and this might require effort.

Employees Bring Questions to you.

They Create Training Materials!
They
take ownership of the
program!
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7
 Mandatory
 Hard
to do remotely (with software)
8
 Emotional
 Government
Content
(Federal, State and Local)
has a role…

Training Involves Abstractions Too!
9
 Individuals
and their conduct
 Topical
 An
ongoing relationship with the
audience
10
 You
will be back... More than once
 Everyone
has an opinion about what is
right and wrong and they bring that to E
and C
 Why
are they in front of you?
are their needs?
 How long do you have to reach them?
 What
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 “Dumb” Stuff.
(check room, use
bathroom, bring water, be healthy, etc…)
 Homework.
(prepare & follow the
communication rules)
 Practice.
real or imagined (in your head).
Visualize your story and your success.
 What
is in your control?
 What
is optimal for you?
 www.35tostayalive.net
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you can get about 80 per cent of
your audience interested and attentive in
your presentation – you are doing as best
as humanly possible.
 If
 Limit
of Attention Span
Presentation into 20 Minute
segments
 Refocus attention every 20 Minutes
 Break
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 Many
Slides Can Work Well or Not!
 SPECIFIC
rules for using PowerPoint
14
 Slides
 Use
6
are like Billboards
Large Font (30 size or more)
words or so per slides.
 Use
images deliberately.
 Refer
to handout.
 When
presenting Data or Research
Results – be sure you have cites.
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WHATISHIAMS?
 One
of HUD’s Transformation Initiatives
and SPS with a system that provides
much more functionality
 Web based system, which is accessible remotely, as
long as user has access to the HUD network
 Automates almost all phases of HUD’s Acquisition
process. Spans planning, requisitioning, solicitations,
awards, closeout, and post-award processes.
 Moves HUD towards a paperless process.
 Automates and streamlines processses. Reduces
redundant data entry and automates routing and
approvals. Eliminates excessive approval signatures.
 Integrates with HUDCAPS financial system. In the
future, will also integrate with ICFS and SAMS
 Increases accountability, through capturing
decisions/approvals and keeping audit trail
 Keeps HUD compliant with regulations
 Institutionalizes importance of Acquisition
Planning
 Replaces HPS
 The
WHATDOESITMEANTOME?
way you do business will change
• Planned Actions will be created and routed for
approval in HIAMS
• GTRs and GTMs will build the RCS, including SOWs
and other supporting documents in HIAMS
• Budget Officials (or others responsible for entering
funding lines) will enter funding information in HIAMS
• Requests will be routed electronically to Approvers
and Reviewers
• HUDCAPS Funds Reservation/Commitment will
automatically take place through an interface with
HIAMS
• Users will be able to view status of invoices and
payments
• Users can run and review reports in HIAMS
• Electronically routes to OGC and OSDBU
• Provides easy access to an electronic ‘contract file’
containing documents associated with a transaction
• Users can check status of your request(s) in HIAMS
• Users will receive status notifications through Outlook
as well as HIAMS
• Completion of end-to-end Acquisition miilestones are
tracked in HIAMS
• Users can set proxies, who can take your
responsibilities if you are out of the office
can access HIAMS remotely, as long as they
have access to the HUD network
 Users
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 Bullets
• Sub Bullets
--Sub-sub Bullets
 Small font

Smaller font

Tiny dancer font

Betcha cant read this!!!!!

Ultra small font - illegal in most jurisdictions

Oh say can you see, by the dawn’s early light, what so proudly we hail, by the dawn’s early light, oh say can you see that star spangled banner yeah away,
for the land of the free and the home of the brave………..

Extremely critical point . More fine print. Subject to change without notice. If you can read me, you are too close..
 Outline
 Request
for questions at end of
presentation
 Contact information
 Need to print slides
 Handout larger than 1 page
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 TED
talk by Sheryl Sandberg, Facebook
COO.
3
Personal stories instead of F&F and she
made a movement.
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 22
percent of employees – just showing
up for work is a priority (‘presenteeism”)
(source – ComPsych Corp. Survey 2012)
 66
percent of employees – money is
primary driver for staying at current job
and 50 percent said they felt
overwhelmed and undervalued (2012
study from rogenSI Consulting)
 Between
28-56 percent of employees
want to leave their jobs (2012 Mercer
Consulting Global Employee study)
 81
percent of employees are ready to bail
(Monster.com 2013 survey)
 About
7 out of 10 workers have checked
out at work (Gallup 2012 poll)
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 About
20 percent hate their jobs -“actively disengaged” -- About 20 million
U.S. workers actively undermine their
companies. 2013 Gallup study.
 People
with college degrees are more
likely to be checked out at work. Gallup,
supra.
 What
is the average attention span of an
Adult? (Federal adult or otherwise)
 20
minutes (if they are at all interested!)
21

Answer: refocus attention every twenty
minutes, either voluntarily or otherwise.
 Variety:
Q and A, memes, cartoons,
bingo, stretching exercises, etc…

Use humor to take a break.
 During
a typical office day, how often are
office workers interrupted (either by
emails or other requests for meetings,
actions, etc. or self-interrupted by
looking at Facebook or LinkedIn, etc..)?
 Every
3 minutes (Source 12/11/12 issue
of The Wall Street Journal “Workplace
Distractions: Here’s Why You Won’t Finish
This Article.”)
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 Once
off-track, how long does it take for
an employee’s attention span to resume
to the original task?
 Is
there a chance that it never returns to
the original task?
 Does
your answer change if the
employee is near mealtime?
 23
minutes according to Gloria Mark,
professor of “Informatics” at University of
California. Wall Street Journal, supra.
 Result:
As a rule, employees don’t think
deeply and fight during the day to get
any work done. supra
 Food
is always an issue. (no citation
needed)
 Print-Bingo.com
 Meme
Generator -- quickmeme.com
 Classtools.net
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 Armoredpenguin.com
 Word
Search, Crossword Puzzles, More!
 http://www.armoredpenguin.com/words
earch/
 Try
connect the dots

Relevant Local News clips

Example: Ethics Robot Story

Share Professional Ethics News items
24


Ujam.com
Make music without any musical
talent.

Microsoft SharePoint

SurveyMonkey.com

Survey after ethics training

Don’t overuse
 Use
Current U.S. Government Scandals as
examples of what NOT to do:
 GSA
 U.S. Department
of the Interior
 MESSAGE:
One person spoke up and
EXPOSED THESE PROBLEMS!
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 Working
with your Computer Security
(IT) Department
 Basic
Copyright Law
 Service
 What
Agreements
to ask your legal department?
26
Ask
for suggestions: What
can I use?
 Please
name two goals of
ethics/compliance training.
27
 Inform
 Invite
 Google
Search Terms such as:
 Ethics
Training
 Public
Speaking
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 Best
 1.
time for Ethics
AMY CUDDY
 (Big
on YouTube)
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

“Assume a virtue, if you have it not.
That monster, custom, who all sense doth eat,
Of habits devil, is angel yet in this,
That to the use of actions fair and good
He likewise gives a frock or livery
That aptly is put on. Refrain tonight,
And that shall lend a kind of easiness
To the next abstinence; the next more easy;
For use almost can change the stamp of nature.”
― William Shakespeare, Hamlet

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 Forbes
Columnist
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 Life
Saving Work – Better E&C Training
 Unlimited
Power; Money Masters (2015)
32
 Author
of Choke (2014)
 The
more relaxed you are, the better you
are at everything: the better you are with
your loved ones, the better you are with
your enemies, the better you are at your
job, the better you are with yourself.
 Bill Murray
33
 Do
you talk Funny (2015)
A
good story is one where the listener
can imagine him or herself in the story.
 Be
specific in the story.
 Deliver
 Keep
 18
4
the unexpected.
practicing the story.
Minutes (2010)
Seconds (2015)
34
 His
secret: Take a deep breath (4
Seconds).
 Creates
a space between feeling and
doing.
 Stop
performing and start experiencing.
(not really good advice).
 Learn
to say no to things that aren’t
relevant (yeah I guess so).
35
Someone asked me a question
about his new business.
I asked back, "if you accomplish
that, will you be seen by your
audience as the best in the world, or
will you be seen as doing your
best?"
He didn't have to answer. He got it.
If you're doing your best, only your
AYSO soccer coach cares. If you're
the best in the world, the market
cares. The secret, if you have
limited resources (don't we all) is to
make 'world' small enough that you
can actually accomplish that. Seth
Godin
 Stand
Out (2015)
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37
Once you’ve exerted a certain
amount of energy into something,
you want to be done. Accepting
feedback is hard. Especially when
it’s good feedback that forces you
to look at the heart of the issue and
possibly make fundamental
changes that require a lot of work.
At the time, it can feel like more of
a burden than it’s worth. But trust
the process. I’ve seen it pay off,
both in my own work and the work
of others – Nancy Duarte
 Start
with the Right Posture
 Breathe
Deeply
 Speak “on
 How
the breath”
often should you breath?
38
 Goal:
Make Ethics Training Less Scary
 Use
of certain questions that increases
audience participation.
 Model
for OGE in future trainings.
 General
 More
 Very
(Not Scary)
Specific (Less Scary)
Specific (Scary)
 Intuition
 Principle
 Rule
39
 Serious
Problem?
 Caution Warranted?
 No
Problem?
 Are
there any ethics principles that might
help us?
 Are
there any specific laws or regulations
that might be implicated?
 What
is the correct law or regulation?
 What
else works in training?
40
 What
is personally valuable to you about
your presentation? Why does it matter?
 Most
 Can’t
communication is nonverbal.
lie to a deaf person.
 If
you are relying solely on spoken words,
chances are your thoughts are not being
communicated the first time.
41
 80%
of your results come from 20% of
your efforts.
 Which
 What
20% of effort works?
do you know will work?
 Don’t
Stress – Everything does not need
to be perfect for you to communicate
 Focus
(Repeat Message) with top
(KEY) E & C
concerns/behaviors/problems and
insist on 100% compliance.
 IOW
(in other words) -- Don’t spread
yourself too thin. – Pick your battles and
win them repeatedly.
42
 Visualize
Success
1
second where you would place a
comma.
2
seconds where you would place a
sentence.
3
seconds where you would place a
paragraph
43
 Monday, February
9, 2015
 What
happened with the GSA in Vegas
stymies federal workers
 By
Lisa Rein February 8 at 10:31 PM
44
45
 Read
text like a actor/actress.
 See
if you can get one person to
acknowledge your emotional intent.
 Motivation
 Motivation
Speaker
Ethics
 Professional Speaker
 Public Speaking
 Compliance Programs
 Federal
46
 North
Star = True North = standard for
evaluating relevance.
 What
is the central point of the training?
 www.billgeorge.org
 30 questions -- use in other contexts

 http://www.billgeorge.org/page/30-
questions-to-help-you-discover-your-truenorth
 Write
from the Heart
 Deliver
from Your Skill
47

I. E&C Training Goals and Challenges

II. What Works

III. Latest Thinking

IV. Applying It All to This Years Training
• (Something I find interesting, strong story,
humor, high relevance to audience, etc…)
 Practice
 Tip:
Always ask for questions prior to
ending a presentation – about 5 minutes
before.
 Strong
Beginning Strong Ending
48
 Handout
– Numbers and Speaking
 Resources
 There
Handout
are many reasons
 Research
shows the following:
 Compliance
programs work best when
tied to ethics programs and issues.
 Strong
ethics enforcement make people
feel good about their decisions and feel
better about their jobs. MORALE BOOST.
49
 Blank
Out & Look at the Handout
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