Resources for Engaging Your Board in Your Ethics & Compliance Program

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Resources to help you engage your board of directors in the success of your ethics and compliance program.

A successful board engagement strategy can help ethics and compliance professionals gain significant program support—and set the right tone at the top. To help support your efforts, we’ve compiled our top resources on board engagement, reporting and training.


Increasing Board Awareness of Their Oversight Role:

1) Article & Checklist: Real Guidance (Finally) On the Compliance Oversight Role of Boards: We put together a checklist of 30 questions to help boards of directors assess the effectiveness of their ethics and compliance program oversight.

2) Article: SEC’s 2014 Report on Dodd-Frank Whistleblowing Program: Key Takeaways and Trends Companies Should Expect for 2015: Discusses what boards should know about the SEC’s whistleblowing program goals and aims, and the impact it has on ethics and compliance programs.

Best Practices for Board Reporting:

3) On-Demand Webinar: Herding Big Cats - Improving Executive & Board Engagement: Successful interactions begin with knowing exactly what your board expects to hear and see from you. In this class, our instructors will provide you with clear guidance. You'll get advice from expert board trainer and chief compliance officer, Carrie Penman. You’ll also hear from a current board member and an ethics monitor to a Fortune 50 company.

4) Article: Building a Better E&C Board Report: Essential Strategies for Chief Compliance Officers: When you need to build support—and get buy-in and budget for E&C program investments—fully leveraging your board reporting opportunity is essential.

5) Article: Top Five Mistakes in Ethics & Compliance Board Reporting: Insights on the most common board reporting mistakes ethics and compliance officers make, and how to avoid them.

6) Whitepaper: Key Elements for Effective Compliance Program Board Reporting: A step-by-step guide to best practice board reporting, including the three elements every board report must include.

Best Practices for Board Training:

7) Article: Don’t Bore your Board: Seven Tips for Delivering an Engaging Ethics & Compliance Board Training Experience: Too often with board training we fail to apply one of the foundational adult learning principles: make the training relevant to the audience. Learn seven essentials for making board training time count.

The Board’s Role in Supporting a Healthy Organizational Culture:

8) Article: The Time is Now for Every Company to Conduct Culture Audits: Guest author Michael Volkov discusses why it’s essential for CCOs to report to the board on the health of their organizational culture.

9) Article: Toshiba Scandal Underscores the Importance of a Speak-Up Culture: In this article, we discuss the dangers of a board that’s disengaged with E&C efforts, and how and why boards of directors have significant impact on organizational culture.


We work with organizations to create and implement board engagement and education strategies that help increase engagement and strengthen E&C programs. To learn more about how we can help your organization with board training or reporting, contact us anytime.


What do you have to say? Share your thoughts in the comments below or join a discussion group on Compliance Next.


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