Ethics & Compliance - Assessing Compliance Breaches and Decision-Making
8.30am until 1.00pm
Online Course (Live Session)
Compliance breaches range from innocent mistakes, through minor infractions, to established negligence, up to extremely serious and deliberate criminal conduct; but bad decisions wreck lives! Therefore decision making by Ethics and Compliance Committees and other appropriate adjudication panels needs 3 baseline skills:
Clear ability to appraise and assess evidence presented from any investigation
Ability to analyse and weigh involvement (to avoid ‘witchhunts’ and wrongful blame)
Crucially; the ability to measure liability proportionately and / or establish innocence.
This new program draws together a dimension of decision-making skills in this challenging context. Using an engaging and productive training method, we work with you thorough presentations, skills, interactive group activities, multi-directional discussions and precise case studies.
1) INVESTIGATION - clarity of meaning, objectivity, transparency, and ethical practices
- Case Study: how are you as decision-makers perceived by your employees?
2) Avoiding ‘groupthink’ and other dangerous top-down management decision habits
3) Tools to clinically assess findings from a range of investigation situations
- Whistleblower-based investigations
- Audit revelations
- External complaints
- Management disciplinary cases (what motivated it?)
4) How was the particular case investigated? Standards? delegation? Bias?
- Any interviewing in the case? If so, how was it conducted?
- Quality of evidence gathering and how presented. Integrity and GDPR observed?
5) The Compliance Committee dynamic
6) Investigations policy: learning and transparency
Trainer: Ian Ross (Director, Compliance & Training, Detecta E.U.S.)
Accredited Counter Fraud Specialist
‘Listed expert' Cour pénale internationale (The International Court of Justice (The Hague)
International Advisory Group Member, United States Institute of Peace ("USIP”)
Fellow: Chartered Management Institute