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JJenny O’Brien

Chief Compliance Officer

UnitedHealthcare

Influencing: Our Role in ‘Moving the Meteor’European Compliance & Ethics Institute

Prague, Czech Republic

April 2017

Roy Snell

CEO

HCCA/SCCE

Thomas R. Fox Principle

Advanced Compliance Solutions

Elements

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IINFLUENCE

COLLABORATION

• Know, acknowledge and use skills of others

• Let others give what they can, fill in gaps

• Document roles, tasks and expectations

COLLABORATION

• Know, acknowledge and use skills of others

• Let others give what they can, fill in gaps

• Document roles, tasks and expectations

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• KKnow Your Audience

• Objective vs Subjective

• Be Relevant

COMMUNICATION

• Rapport and Trust

• Investment of Time

• Likeability and Reciprocity

RELATIONSHIPS

• Self-Awareness and Humility

• Measured

• Optimism, Curiosity, Passion

EI vs IQ

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• DDon’t talk, ask questions and listen

• Determine what they need but didn’t ask for

• PPackage solution giving more to both sides but drop sticking points

NEGOTIATION

• New vs Old School thinking list

• Stay focused on mission

• Consider ROI of every effort

STRAGETIC THINKING

• Vision and Implementation

• Value Proposition

• Reciprocity

LEVERAGE

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IINFLUENCE

USE OF SOCIAL MEDIA

IN A BEST PRACTICES

COMPLIANCE PROGRAM

SCCE European Compliance and Ethics Institute Prague, CZ

April 2-6, 2017

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PRESENTER AND CONTACT INFORMATION

Thomas R. Fox

832-744-0264

tfox@tfoxlaw.com

tfoxlaw

fcpacompliancereport.com

PUBLICATIONS-PARTIAL LIST

17 © 2015 Thomas R. Fox / Advanced Compliance Solutions All Rights Reserved

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LEGAL DISCLAIMER

The views stated here are solely those of the presenter. Everything in this presentation is a generalization and is subject to numerous exceptions.

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SOCIAL MEDIA AND CCO 3.0

FREED OF THE CONSTRAINTS TO WRITE POLICIES AND PROCEDURES

BY LAWYERS FOR LAWYERS, THE PROFESSION HAS MOVED TO INTEGRATING COMPLIANCE DIRECTLY INTO THE FABRIC OF THE

COMPANY. COMPLIANCE PROGRAM IS A BUSINESS SOLUTION TO A LEGAL PROBLEM.

Operationalizing Compliance

THE IMPORTANT THING TO REMEMBER ABOUT SOCIAL MEDIA TOOLS IS PRECISELY THAT; THEY ARE TOOLS THAT A CCO, COMPLIANCE PRACTITIONER OR ANY COMPANY CAN USE TO COMMUNICATE

WITH THEIR EMPLOYEE BASE. PUT ANOTHER WAY, SOCIAL MEDIA IS BUT ONE PART OF THE COMMUNICATION ECOSYSTEM WHICH CAN

BE USED TO MARKET THE MESSAGE OF COMPLIANCE

Social Media Tools are Social

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• WHY COMPLIANCE LEADERS NEED TO MASTER A NEW WAY OF DEVELOPING RELATIONSHIPS, WHICH BEGINS BY STEPPING OUT OF TRADITIONAL HIERARCHIES; • HOW TO LISTEN AT SCALE, SHARE TO SHAPE, AND ENGAGE TO TRANSFORM; • THE ART OF MAKING THIS TRANSFORMATIVE MIND SHIFT; AND • THE SCIENCE OF APPLYING THE RIGHT TOOLS TO MEET YOUR STRATEGIC GOALS

The Engaged Compliance Leader

Source: The Engaged Leader by Charlene Li

INNOVATION IS A BIG DEAL. IT’S BEEN A BIG DEAL EVER SINCE CUSTOMERS REWARDED

DIFFERENTIATION AND PUNISHED COMPANIES THAT FAILED TO MAINTAIN

THEIR CREATIVE EDGE.”

Innovation in Compliance

Source: “Innovation in the Legal Sector” by David Orozco

USING SOCIAL MEDIA TO INSPIRE

COMPLIANCE

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(1) LET YOUR EMPLOYEES KNOW WHAT YOU STAND FOR; (2) CELEBRATE THEIR EFFORTS; AND (3) GIVE THEM A TOOLKIT TO PARTICIPATE.

Using Social Media for Compliance Branding

Source: We First: How Brands and Consumers Use Social Media to Build a Better World by Simon Mainwaring

LET YOUR EMPLOYEES KNOW WHAT YOU STAND FOR

Set expectations Encourage a speak up culture Communicate, communicate, communicate

CELEBRATE EMPLOYEES EFFORTS

FCPA Guidance calls for incentives for compliance Promotions Rewards Monetary awards-Weatherford $10,000 award Celebrate-goes beyond incentivizing Universal Aviation-Compliance Week

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COMPLIANCE TOOK-KIT Social media apps Periscope Pinterest, Snapchat and Instagram Hootsuite-Follow the Sun campaign #HootsuiteLife Law firm apps O’Melveny & Myers LLP Foreign Corrupt Practices Act Handbook Latham & Watkins LLP’s AB&C Laws

SHARING IN THE COMPLIANCE

FUNCTION

TYPES OF SHARERS Altruist: Someone who shares something specific about one topic all the time. Careerist: Someone who wants to become a thought leader in their own industry, so they can see their career grow. Hipster: Someone who likes to try things for the first time and share it faster than everyone else. Boomerang: Someone who asks a question so they can receive a comment only to reply. Connector: Someone who likes to connect one or more persons to each other. Selective: This is the observer.

Source: Shareology: How Sharing is Powering the Human Economy by Brian Kramer

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WRITE HOW YOU SPEAK AND SPEAK IN THE LANGUAGE OF YOUR EMPLOYEES

Messaging

TWITTER AND INNOVATION IN

YOUR COMPLIANCE

PROGRAM

(1) “OVERALL, EMPLOYEES WHO USED TWITTER HAD BETTER IDEAS THAN THOSE WHO DIDN’T.”; (2) IN PARTICULAR, THERE WAS A LINK BETWEEN THE AMOUNT OF DIVERSITY IN EMPLOYEES’ “TWITTER NETWORKS AND THE QUALITY OF THEIR IDEAS.”; AND (3) TWITTER USERS WHO COMBINED IDEA SCOUTING AND IDEA CONNECTING WERE THE MOST INNOVATIVE.

Using Twitter to Generate Ideas

Source: Summer 2015, MIT Sloan Management Review, How Twitter Users Can Generate Better Ideas by Parise, Whelan and Todd

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IDENTIFY EXTERNAL IDEAS FROM EXPERTS AND RESOURCES ON TWITTER

The Idea Scout

PUTTING TOGETHER DISPARATE STRANDS OF 140 CHARACTER TWEETS

The Idea Connector

TELLING A STORY ABOUT HONEY

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YOU ARE ONLY LIMITED BY YOUR IMAGINATION

Compliancing

OPERATIONALIZING YOUR COMPLIANCE PROGRAM

Evaluation of Corporate Compliance Programs

DOCUMENT THE PROVENANCE OF HONEY-WRITTEN RECORD IS ONLY TESTIMONIAL EVIDENCE

The Problem

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TELLING A STORY ABOUT HONEY-

USING COVOUCH

The Solution

DOCUMENTS THE COLLECTION OF ALL THESE VARIOUS BARRELS OF HONEY AND ITS PROCESSING. EVERY TIME THEY TAKE A PICTURE, IT WOULD BE TIME AND DATE STAMPED WITH GEO-TAGGING AS WELL. YOU KNOW WHEN AND WHERE A PICTURE OF A PARTICULAR BARREL OF HONEY WHICH WE WOULD LABEL WITH SOME SPECIAL LABELS SO YOU COULD IDENTIFY IT WHEN AND WHERE THAT WAS TAKEN

The Solution

BAR CODE TAGGED CLOUD STORAGE SEARCHABLE DATABASE

The Solution

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YOU’RE TELLING THE STORY BUT THE PROVENANCE, OF ONE IMPORTED BARREL OF HONEY AND HOW DID IT GET TO WHERE IT’S AT. IT’S DIFFERENT. YEAH, THAT’S RIGHT. THAT’S EXACTLY WHAT WE’RE TRYING TO DO AND TRYING TO DO IT IN A WAY THAT IS EASY ENOUGH SO THAT, AS YOU PUT IT, A FAIRLY, UNEDUCATED FARMER IN INDONESIA CAN DO IT AND A BUSY CUSTOMS AGENT IN THE UNITED STATES CAN REVIEW IT

The Story

Source: Gar Hurst, inventor of CoVouch

IMPORT/EXPORT REGULATIONS; DELIVERY AMOUNTS, TIMES AND LOCATIONS; CHEMICAL AND HAZARDOUS DECLARATIONS; WHAT DOES YOUR IMAGINATION SAY?

Implications and Applications

TOOLS AND APPLICATIONS FOR THE COMPLIANCE

PRACTITIONER

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FACEBOOK

Open a Facebook page for your compliance function (Hint: Your Company may already have a Facebook page)

YOUTUBE

Create a YouTube channel for your compliance function. (Hint: Your Company may already have a YouTube channel)

LINKEDIN

In addition to communicating with your own employees, you can extend the viral reach of your compliance function and progrom

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TWITTER

Marketplace of ideas Inbound and outbound communications Back up reporting channel Informal employee survey

PERISCOPE

Allows you to tell a story in real time Hootsuite-Follow the Sun Your compliance team world-wide

PINTEREST

Online bulletin Board for compliance Anything visual or in writing Other employees can add to it

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THE D&B EXPERIENCE

LOUIS SAPIRMAN-CCO DUN & BRADSTREET • Challenged by

CEO Robert Carrigan to use tech in compliance

CHATTER JAMS

#dotherightthing Set expectations and engagement requirements World wide coverage

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REVISION TO THE CODE OF CONDUCT

Testing of Code changes Listening to employees across the Globe Incorporation into subsequent drafts Ownership and Buy0in

WHAT DOES IT ALL MEAN?

1. COMPLIANCE IS EVOLVING 2. USE OF SOCIAL MEDIA WORKS TO

OPERATIONALIZE COMPLIANCE AND PROTECT THE COMPANY

3. “SOCIAL” MEDIA IS A TWO-WAY STREET

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QUESTIONS?