Day 1: From Governance Principles to Compliance Accountability

Enterprise Accountability Structure

• Define board committee and management responsibilities
• Clarify compliance advisory and challenge role
• Keep obligation ownership outside control functions
• Map responsibilities for a sensitive decision

Policies and Rule Hierarchy

• Distinguish policy procedure guidance and forms
• Organize documentation avoiding contradiction and duplication
• Assign document ownership and review cycles
• Restructure an overlapping policy package

Obligations and Expected Conduct

• Convert texts into specific workplace requirements
• Connect obligations with employee groups/processes
• Clarify unacceptable behavior and consequences
• Prepare obligation card suitable for communication

Day 2: Controls, Culture, and Compliance Monitoring

Conflicts, Gifts, and External Interests

• Define disclosures before decisions are made
• Set review approval and recusal thresholds
• Avoid rigid rules ignoring exposure differences
• Resolve several multi-party ethics scenarios

Compliance Monitoring in Operations

• Select verification points within operational workflows
• Use system data to identify exceptions
• Choose periodic samples for sensitive obligations
• Build review plan for selected area

Speak-Up and Integrity Culture

• Provide trusted channels for questions/reporting
• Protect reporters from retaliation/unnecessary disclosure
• Assess leadership messages against actual behavior
• Analyze organizational silence around known breach

Day 3: Breaches, Reporting, and System Improvement

Managing Practical Noncompliance

• Triage cases by severity and responsibility
• Determine what requires investigation versus correction
• Assign remediation actions owners and deadlines
• Manage a recurring noncompliance case

Governance and Compliance Reporting

• Present material obligations and control status
• Highlight overdue issues and recurring violations
• Distinguish activity measures from effectiveness indicators
• Design report for a governance committee

System Development Roadmap

• Assess gaps across roles, policies, monitoring
• Prioritize improvements based on noncompliance exposure
• Choose indicators showing meaningful behavior change
• Prepare a six-month system improvement plan

• Workshops translating obligations into responsibilities and testable controls
• Conflict-of-interest and integrity cases requiring documented decisions
• Monitoring exercises using samples and exception indicators
• A compliance roadmap project linking policy monitoring and escalation