Principled

S3E12 | Things Will Flow From There: Kevin Tubbs on Oshkosh Corp.’s People-First Culture

“If we treat our people right, if we treat people with respect, and expect them to treat each other the way they should be treated, then things will flow from that, financial results will follow, and it will be a place where people will want to work.”

- Kevin Tubbs

Kevin Tubbs of Oshkosh Corp. talks to LRN's Ben DiPietro about the company's people-first culture, what that means for the ethics and compliance program, and how fostering a speak-up culture helped to save one employee's life.

Prior to his current role, Tubbs held senior environmental management and sustainability positions at Ingersoll Rand Co., Trane Co., and American Standard. He began his career at Exxon Corp.

Tubbs holds a Bachelor’s of Science degree in chemical engineering from Clarkson University, and Master’s degrees in engineering management and occupational safety and health from the New Jersey Institute of Technology. He holds a certificate from the Wharton School’s Executive Development Program.

For three years Kevin was the mayor of Chatham Township, N.J. during which time Chatham was named the “Best Place to Live in New Jersey,” and was one of the first communities to receive “Sustainable Jersey” certification from the Sustainable Jersey organization.

What You’ll Learn on This Episode:

• [0:50] What does Oshkosh Corp. do?
• [1:55] What sparked Kevin’s interest in having a career in ethics and compliance, and how does he describe the path that he took that led him to Oshkosh?
• [3:49] How has being mayor of a town in New Jersey impacted Kevin’s view on ethics and compliance? What has he learned from that experience and how does that shape what he does now?
• [4:58] Kevin recently spoke about Oshkosh’s “people-first” culture at LRN’s “25 and Beyond” event. What does that term mean and how does Kevin meld it into what happens to each employee every day at work?
• [6:28] How is the “people-first” culture actually embedded and how does Kevin discuss it with employees? What are some of the ways he transmits those messages?
• [8:21] How does that emphasis get driven down into middle managers, supervisors, and then into the employees? What role or importance do the middle managers play in all of that?
• [10:22] As the workplace is being transformed by diversity inclusion initiatives and a blending in of machines and technologies to work alongside people, how can ethics and compliance teams work to minimize disruptions to the employees involved while maintaining compliance and building strong cultures? What role can the board and the executive leadership play in setting that standard?
• [12:29] Was there a time that Kevin and his team faced a hardship related to ethics and compliance? How did Kevin deal with that situation, what did he learn from it, and how has that lesson shaped some of what he does today in his current role?

S3E11 | Off the Shelf: Laura Sherbin Brings to Life the Academic Underpinnings of Culture at Work

“What I learned in academia is that, when you publish it sits on a shelf. Some of the joy I have at Culture@Work is working so closely with organizations who implement policies and programs. Your insights, your wisdom, doesn’t sit on a shelf – it really comes to life.”

- Laura Sherbin

 

Laura Sherbin, managing director of Culture@Work, speaks with LRN's Ben DiPietro about the joy she gets from taking academic research about how people behave, and sharing it with organizations to help them improve their corporate cultures. She discusses the vital role diversity and inclusion play in creating strong, values-base cultures of ethics and integrity.

Sherbin is an economist who specializes in the creation of advantage through inclusion and diversity. She earned her Ph.D in economics from American University. Most recently, she served as co-president at the Center for Talent Innovation in New York, a think tank and content provider that studies global workplace diversity.

Sherbin built a rigorous data analytics machine and team that have been core to innovative approaches to measuring and tracking employee experiences. She is known as a leading expert in applying diversity and inclusion data to human behavior in organizations, and using such data to quantify how workforce sentiments and satisfaction affect company bottom lines.

She taught "Women and Globalization" at the School of International and public affairs at Columbia University, and is a coauthor of Harvard Business Review articles "How Diversity Can Drive Innovation;" "How Gen Y and Boomers Will Reshape Your Agenda;" and "Off-Ramps and On-Ramps Revisited," and several Harvard Business Review research reports.

 

What You’ll Learn on This Episode:

• [0:51] What is the mission of Culture@Work, what does the firm do to help companies improve culture, and are there specific areas on which Laura focuses?
• [1:53] What’s an example of a lagging indicator and one of a leading indicator?
• [3:42] What inspired Laura’s interest in culture in organizations and what was the career path that led her to become the managing director of Culture@Work?
• [4:54] One of the most important times to learn about ethics and integrity is before someone is hired. Do organizations pay enough attention to ethics during onboarding and recruiting, and how they can improve in that area?
• [6:24] Is Laura finding that companies are shifting more towards this, or is there still resistance toward the expense, time and effort required?
• [7:31] Younger people coming into the workforce are probably going to be more committed to some of these value-based standards. Instead of companies interviewing for employees, it’s employees interviewing for companies. It’s going to be the companies who are going to have to answer the questions and meet the standards of the employees more than the other way around. How has Laura seen that in play?
• [8:36] If a strong culture is impossible without ethics, trust, transparency, and accountability, how can organizations work to establish these in their operations if they’re lacking. What are some of the ways they can go about doing that?
• [10:51] What are two of the biggest challenges companies and organizations face when they’re trying to improve their culture? What can they do to overcome these things and make these improvements?
• [13:44] what are two or three red flags that may signal that an organization is having issues with its culture, and why are these sometimes so hard to spot? Or are they actually there, but people just don’t want to acknowledge them?
• [15:40] How can diversity and inclusion help build these robust cultures and how can that make a lot of these red flags disappear?

 

S3E10 | Dr. Love: Paul Zak, Oxytocin, and the Neuroscience of Trust

Scientist, entrepreneur, educator, and author Paul Zak sits down with Ben DiPietro, editor of LRN's E&C Pulse newsletter, to talk about the science behind creating trust, why oxytocin is the key to creating trust, and the need to combine this with purpose to build human connection and strong teams. His two decades of research have taken him from the Pentagon, to Fortune 50 boardrooms, to the rain forest of Papua New Guinea, all this in a quest to understand the neuroscience of human connection, human happiness, and effective teamwork. His academic lab and the companies he has started develop and deploy neuroscience technologies to solve real problems faced by real people. He is founder and chairman of Immersion Neuroscience.

His latest book, “Trust Factor: The Science of Creating High Performance Companies,” uses neuroscience to measure and manage organizational cultures to inspire teamwork and accelerate business outcomes. Zak and his team use neuroscience to quantify the impact of movies, advertising, stories, and consumer experiences. Along the way, he has helped to start several transdisciplinary fields, including neuroeconomics, neuromanagement, and neuromarketing.

Zak serves as the founding director of the Center for Neuroeconomics Studies, and is professor of economics, psychology, and management at Claremont Graduate University. He has degrees in mathematics and economics from San Diego State University, a Ph.D. in economics from University of Pennsylvania, and post-doctoral training in neuroimaging from Harvard.

 

What You’ll Learn on This Episode:

• [0:57] What was the path Paul took to become a scientist, a businessman, an author, and an educator?
• [2:50] What does neuroscience teach us about how trust works to forge relationships between people, teams, and organizations; and what role does oxytocin play in all of that?
• [4:38] If oxytocin is the link in all of this, is there some way that we can get that to people to increase trust, or is it not a deliverable drug in the way that other drugs are?
• [6:38] Does one exhibit trust by trusting others or by being trustworthy themselves?
• [7:41] Can that trust start with something as simple as a smile?
• [9:28] Is trust enough to get people to be their best and what role does purpose play in bringing that about?
• [11:03] How can organizations combine those two things together to foster these ethical cultures that they want based on values, integrity, and accountability?
• [12:18] Paul’s research has uncovered eight factors that form the foundation for a culture of trust. What are those factors?
• [13:36] How can organizations measure for those factors to see where their employees are or what they need to improve or focus on?
• [14:21] As the workplace gets more automated and machines begin to work alongside people, can these same techniques be used to build trust between humans and machines, or is that going to take a different formula?
• [15:19] There are ethical considerations for the use of some of these things. Is it possible to get people to trust things or people that are bad for them, and, if so, how do we ensure that this is used for good outcomes and not bad ones?

 

 

S3E9 | Class Act: Cindy Moehring Works to Embed Ethics in Business School

PULL QUOTE: “We just seem to be in a time where...society has in many ways normalized unethical behavior, and for future business leaders, that’s not good.”

 

Cindy Moehring talks to LRN's Ben DiPietro about taking what she learned after working for 20 years to build and develop Walmart's worldwide ethics and compliance program, and going to the University of Arkansas to embed ethics into the curriculum at the Sam M. Walton School of Business.

 

Cindy Moehring is the founder and executive chair of the Business Integrity Leadership Initiative for the Sam M. Walton College of Business, at the University of Arkansas. Moehring shifted to academic life following a 20-year career with Walmart, Inc., where she helped to build the company’s ethics and compliance program, and worked with the board and senior leadership on global strategy, corporate governance, and cultural initiatives.

Moehring spearheaded the transformation of Walmart’s global culture of integrity in the wake of Walmart’s foreign corrupt practices act investigation, developing and implementing a global ethics program in 27 countries for more than two million employees. She has served as the immediate past chair of the Board of the Ethics and Compliance Association, and as a director for the Ethics Research Center. She is a member of the National Association of Corporate Directors, and has served locally on the board of the Ruth I. Kolpin Family Foundation, and as a board member of the Northwest Arkansas chapter of Girls on the Run.

Moehring graduated with a Juris Doctorate from Georgetown University Law Center, and graduated from the University of Missouri with a Bachelor of Science degree.

S3E8 | COVID-19: LRN’s David Greenberg on Leading With Ethics, Integrity During Trying Times

David Greenberg, who leads LRN's Office of the CEO, and also serves as a board member of International Seaways Inc., and earlier in is career served as a chief compliance officer, shares his insights into how each of the people in those positions is handling the COVID-19 crisis. He talk with LRN's Ben DiPietro about why companies that emphasize ethics and purpose are likely to do better in this trying time than those that don't.

S3E7 | Out in Front: PSEG’s Antonio Fernandez Leads the Way on Diversity and Inclusion

PULL QUOTE: “The focus of the D&I programs are to bring people that are different--that think differently, that look differently, that have different backgrounds and experiences-and then create a work environment where all those people can succeed...That, to me, goes hand in hand with what we want from an organization that is focused on ethics, compliance, and integrity.”

Antonio Fernandez of PSEG discusses with LRN's Ben DiPietro his approach to building an ethics and compliance program, and how his coming out as gay helps him serve as a leader for diversity and inclusion.

Antonio Fernández was named PSEG’s chief compliance officer in April 2016 and is responsible for overseeing its compliance program, which involves managing PSEG’s ethics and compliance group and its NERC compliance group.

Fernández joined PSEG from General Electric, where he served as GE Power’s global ombuds leader, and as executive counsel. Fernández started his career at the United States Nuclear Regulatory Commission’s Office of the General Counsel, through its Honors Program. He then served as nuclear counsel for Pacific Gas and Electric Co., where he oversaw all legal matters related to PG&E’s nuclear power plants. After PG&E, he joined NextEra Energy as a senior attorney.

He earned a bachelor’s degree in political science from the University of Dayton; a Juris Doctor degree (Order of Barristers) from St. Mary’s University School of Law; and a Master of Laws in international and comparative law from Georgetown University Law Center.

What You’ll Learn on This Episode:

• [0:48] Antonio talks about his path to the field of ethics and compliance and how that journey took you the PSEG
• [3:22] What is Antonio’s philosophy when it comes to creating an operating an ethics and compliance program? What are the pillars upon which he builds the program
• [6:06] How Antonio use tools to get messages about ethics, compliance, culture, and behavior to all levels of the organization?
• [7:47] Antonio talks about the effectiveness of engagement efforts and whether the right analytics exists in the world today. Do the right set of measurements still needed to be identified?
• [9:40] What are some actions PSEG is taking on issues of diversity and inclusion? How did Antonio’s personal story and the experience of coming out as gay shape the way he approaches D&I issues?
• [13:09] What does Antonio wish someone had told him when he first starting out and how he might have navigated his personal situation? How would the situation gone differently if he didn’t have to go through the experience of learning for himself and maybe fumbling along the way?

S3E6 | Feather in Her CAP: Gabriela Gutierrez Drives Culture Change in Latin America

Driving cultural change in Latin America, Gabriela Gutierrez of Chile-based extractive company Grupo CAP talks to LRN's Ben DiPietro about her 20-year career in ethics and compliance in Latin America, and the unique challenges that come with working in the region.

PULL QUOTE: “A good way to incentivize cultural change is by bringing all employees and collaborators under one message of why a culture of compliance is important, and that employees feel they and their company will be at an advantage if they reveal an issue than if they do not.” - Gabriela Gutierrez

Gabriela Gutierrez is the chief compliance officer for Grupo CAP, a Chile-based holding company with interests in mining, steel, and extractive resources. She is responsible for the establishment of standards, and the implementation of procedures to ensure the company’s compliance programs are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.

Gutierrez has extensive executive-level experience at multinational companies in Chile, with more than 20 years in the banking, securities and extractive industries. She has a proven history of building and maintaining excellent working relationships, based on respect and diversity with collaborators of all levels and from different cultural backgrounds.

Prior to joining CAP in June 2019, Gutierrez worked as ethics and compliance manager, Minerals America, for BHP; was the chief compliance officer for China Construction Bank in Chile; and served as head of compliance and operational risk management for Deutsche Bank’s Chile business. She is a CPA from Universidad de Santiago de Chile, has a Master’s Degree in corporate law from Universidad Adolfo Ibañez, a Master’s in humanities from Universidad Adolfo Ibáñez, and an International Compliance & Anti-Corruption Certification,  from the Institute for U.S. Law, George Washington University Law School. 

What You’ll Learn on This Episode:

• [:56] Gabriela tells us about your career path and how she worked her way to becoming chief compliance officer at Grupo CAP and what cultivated an interest in ethics and compliance?
• [2:53] What does CAP do? What are Gabriela’s goals there as head of the compliance program? How far along is she in implementing those goals and what still needs to be done?
• [4:48] Before joining CAP, Gabriela worked for BHP as their Latin America CCO. What was that experience like for her and how has it informed what she is doing now?
• [6:47] How much risk does regional politics present to Gabriela when designing and carrying out the E&C program?
• [11:17] How hard is it to enact cultural change in Latin America given the way people have been acting and doing business there? What has Gabriela tried to do so far in this to impact the culture at CAP? How successful has she been? What else would she like to accomplish?

S3E5 | A People-centered Approach: Introducing New Ethics and Compliance Strategy From Jorge Dajani of World Bank Group

Jorge Dajani is the chief ethics officer of the World Bank Group, and has been in the position since June 2018. Dajani directs the Ethics and Business Conduct Department, which promotes the development and application of the highest ethical standards by staff members. He provides overall strategic leadership on ethics and business conduct, ensuring ethics and values are fully incorporated into the strategy of the entire World Bank Group.

Dajani possesses a deep knowledge of multilateral development banks, a proven track record in corporate strategy and development, and a reputation for effective stakeholder engagement. He is widely recognized for his management skills and stewardship of policies and procedures within international financial institutions with a focus on strategy, ethics and governance. 

Prior to his current role, Dajani was alternate executive director at the International Monetary Fund. Previously, he served as director general for macroeconomic analysis and international finance at the Ministry of Economy of Spain. He has served on the boards of several multilateral banks, including the World Bank, the Inter-American Development Bank, CAF-Development Bank of Latin America, and the African Development Bank.

He was Spain’s chief negotiator for the establishment of the Asian Infrastructure Investment Bank and the Green Climate Fund, and has been a member of the economic policy committees of the European Union and the Organization for Economic Co-operation and Development.

 

What You’ll Learn on This Episode 

• [0:49] How did you come to find yourself in a career in ethics? What was the path that's taken you to this point?
• [1:54] How did he get to the World Bank? Where did he start his career?
• [2:50] What are his main priorities s chief ethics officer? What is he trying to accomplish?
• [4:46] How often is ethics training offered? What types of trainings are offered? How can technology improve the engagement and knowledge retention of employees and stakeholders? What are some new ways he is using to send ethics messages, beyond training?
• [6:58] What is the World Bank doing to educate about sexual harassment and issues similar to that?
• [10:20] World Bank has taken an innovative step by adopted a reporting system where people can file the complaint, but then they can choose when and with whom they want to share it at their time. What’s the benefit of that?
• [12:34] What does Dajani look at when he measures to decide if what he is doing is successful, or not?

S3E4 | Long Strange Trip: Richard Bistrong’s Wild Ride From Corruption to Compliance

PULL QUOTE: “Sometimes, success can block scrutiny. It’s not always intuitive to say, ‘Oh, things are good in the organization, let’s turn that rock over and see what’s underneath. Sometimes a dangerous silence can develop between the front lines of business and headquarters.” - Richard Bistrong

Richard Bistrong is founder and chief executive of Front-Line Anti-Bribery LLC, a consultancy that works with organizations to enhance their compliance efforts beyond a set of rules and procedures. Bistrong is a recognized consultant, blogger, and speaker in the field of anti-bribery compliance, reflecting on front-line issues that impact international business teams and compliance personnel. In this episode, Bistrong shares his journey from pleading guilty to bribery, to serving 15 months in prison for conspiracy and violating the Foreign Corrupt Practices Act. He then explains how this led to him becoming a major contributor in the field of ethics and compliance. He also discusses his work as a confidential human source and cooperating witnesses for prosecutors in the U.S. and U.K.

What You’ll Learn on This Episode

[00:38] Ben DiPietro introduces Richard Bistrong, founder and chief executive of Front-Line Anti-Bribery LLC.

[2:08] Bistrong describes what it was like to wear a wire for the government and whether he ever came close to being exposed while doing that?

[3:50] Did Bistrong think about the ethics of what he was doing, and did he feel bad at the time he was doing these things? If not, when did he get those feelings?

[6:30] At what point did Bistrong decide he was going to work to promote better corporate behavior, and not just settle his case and make amends?

[8:55] Bistrong responds to critics that say he is cashing in on his bad behavior?

[11:08] How much of his personal life was made public during the trials that you testified in, how did he handle that, and what was the impact it had on his relationships with family, friends, and colleagues?

[12:50] From the perspective of having been involved in corporate corruption, what are two or three of the biggest mistakes organizations make when it comes to the structure and operation of their ethics and compliance programs? What are they being blind to, what can they do better to uncover people like himself who are out there?

S3E3 | Merger Mania: Page Motes Melds Ethics & Compliance With Sustainability In New Role at Dell

In today’s Principled episode, Page Motes shares her history at Dell Technologies as Senior Managing Director, Global Ethics and Compliance Officer and now as Strategy Lead of Sustainability. Motes discusses the difficulties and duties of overseeing and managing Dell’s ethics strategy and sustainability initiatives, and the impact of corporate activism, and she shares some advice for young people entering the E&C profession.

What You’ll Learn on This Episode

• [:50] What led you into ethics and compliance and how that has taken you into this new role as a strategy leader of sustainability at Dell? 

• [4:24] How does your E&C background help you in this new role, especially as E&C investor activism and ESG are coming together to push companies? 

• [6:34] How does your E&C background help you in this new role, especially as E&C investor activism and ESG are coming together to push companies?

• [11:53] What are two or three issues you're working on now in your new role in sustainability that is taking a lot of your time and focuses? 

• [14:32] What do you see now as one or two biggest drivers in this area that organizations need to prepare for, and how will these drivers impact E&C and sustainability teams and how they work? 

• [18:19] What advice do you have for young people, particularly women entering this E&C profession, and what do you wish someone had told you when you started that you didn't learn until later, maybe after a tough lesson?