Standardized Ethics Policies for Expert Consulting Group (ECG)

Colorado Technical UniversityMichelle Jimenez, Edward Leydon, Yvonne McArthur, Nadir Sayyaad, Elnora WilliamSmall Group EINTD670-1104A-02Donald PratlOctober 23, 2011

AbstractThis presentation provides Expert Consulting Group(ECG) standardized policies for critical areas of business. The goal is to provide ECG practical methodology to conduct business, practice to comply with rules and regulations, and strategy that incorporates the decision-making process and ethical behavior within ECG.

Overview General Business Conduct – Yvonne McArthur Sales and Marketing Practices – Edward Leydon &

Nadir Sayyaad Business Courtesies – Elnora William Conflicts of Interest –Elnora William Relationships with Clients, Suppliers, Influential

Parties, and Co-workers – Michelle Jimenez Use of Company, Client, and Supplier Resources –

Michelle Jimenez Insider Trading – Yvonne McArthur Other Areas of Compliance – Nadir Sayyaad Reporting, Investigative Measures, and Punitive

Actions - Group

General Business ConductBy Yvonne McArthur

General Business Conduct• Obey the law• Follow the code• Disciplinary action

Organizational Civil Criminal

Principles of General Business Conduct Compliance with Laws Rules and Regulations Conflicts of Interest Insider Trading Corporate Opportunities Competition and Fair Dealing Political Contributions Discrimination and Harassment Health and Safety Environmental Record-Keeping, Financial Controls, and Disclosure

Principles of General Business Conduct (cont.) Confidentiality Protection and Proper Use of Company Assets Payments to Government Personnel Trade Issues Waivers of the Code of Business Conduct and Ethics Reporting Any Illegal or Unethical Behavior Improper Influence on Conduct of Auditors Financial Reporting Compliance Procedures Annual Acknowledgement

Sales and Marketing PracticesBy Edward Leydon & Nadir Sayyaad

Sales and Marketing Mission Truthful Advertising Strict Company Policies State Interests Present Good Image

Ethical Commitment Centered on Trust Policy Structuring Be Very Specific Issue of High Morality

Policy Focus for Sales Create a visible Strategy for Productivity Make policies understandable to

everyone Concentrate on specific operational

processes Incorporate security and technological

protocols Design matrix for communication lines

Policy Focus for Marketing Liquidate Public Relations matters Conduct immediate research on the

given market Gather Information about Competition

(national/international) Graphic Design and Advertising

Marketing Planning Phase Phases Where Ethics Considered Planning Phase Start Foundation of Ethical Practices Include Mission/Vision Statements Guidance for Marketing Approach Marketing Materials Code of Ethics NAPO-LA Example Marketing Tool Gain Trust

Legalities, Rules, Regulations Legal Implications Anti-Trust Actions Powerful Message Risks of Anti-Competitive Behavior Un-Published Information Internal ECG Sales and Marketing Material

“Competition Sensitive Information” ECG Confidentiality Agreement Other Organizations – Similar Policies Exposure

Receiving Material Viewing Material Verbal Receipt

Decision-Making Not a Simple Process Firm – Think About Ethical Implications Actions from a Strategic Perspective Sales and Marketing Leadership Team

Ensure Policies are Followed Code of Conduct Awareness

Employee Signed Statement Third Party Agreements

Follow ECG Code of Conduct

Implementation Phase Continue to Follow Guidelines Commitment to Mission Statement Remain Consistent New Market Segments New Perspectives New Viewpoints Lead to Questions – Unethical Behavior Behavior Varies Audience Must be Considered New Campaign

Ethics Review Committee Resource

Questions Assistance

Committee Approval Determination

Number of Conditions Executive Leadership

Regardless of Approval All ECG Partners

Adhere to Code of Conduct All Sales and Marketing Activities

Business Courtesies

By Elnora Williams

Business Courtesies Think Before You Speak Create Boundaries, Ground Rules and

Expectations Presenting Yourself in a Positive Manner Stay Calm Remember Humanity

Conflicts of Interest

By Elnora Williams

ECG

Conflict of Interest A conflict of interest (COI) occurs when an

individual or organization is involved in multiple interests, one of which could possibly corrupt the motivation for an act in the other.

A conflict of interest can only exist if a person or testimony is entrusted with some impartiality; a modicum of trust is necessary to create it.

Types of Conflicts of Interest Self-dealing Nepotism Gifts Pump and dump Bribes Fraud Self –policing Revolving door

Relevant Theoretical Guidelines and Regulatory Requirements

Understanding the laws Staying in compliance Auditing Communication

Specific Implications for ECG Code of Conduct Ethics Compliance Policies

Relationships with Clients, Suppliers, Influential Parties, and Co-workersBy Michelle Jimenez

Relationship with Clients & Influential Parties Establish Customer Relationship

Management (CRM) Oblige to Principles

Responsibility Public Interest Integrity Objective and Independence Professionalism and Ethical Standards Understand Scope and Nature of Service to

Clients

Relationship with Clients & Influential Parties (cont.) Oblige to Rules

Applicability Independence Integrity and Objective General Standards Compliance in Standards Confidentiality Enforcement Procedures

Relationship with Suppliers Establish Supplier Relationship Management

(SRM) Ensure Service Level Agreement (SLA)

clearly state business goal and objective. Ethic and Standards of Conduct

Business Integrity Company Information Competitor Disparagement and Obtaining

Information Reporting Concerns or Misconduct

Relationship with Co-workers Establish a positive workplace

environment Respect peoples differences Acknowledge your Co-workers Respects Co-workers time and priorities Report any misconduct behavior Oblige to Business Code of Conduct

Use of Company, Client, and Supplier Resources

By Michelle Jimenez

Company, Client, and Supplier Resources Data manipulation Company time E-mail and Internet usage Supply Telephone

Inside Trading

By Yvonne McArthur

Inside Trading Non-public material information Against the law Unethical

Buying and Selling Securities SECURITIES: Stocks, Bonds, Options, American

Depositary Receipts/ADR MATERIAL INFORMATION: Financial Results,

forecasts, possible mergers, acquisitions, joint ventures, data concerning project developments

CONFIDENTIAL INFORMATION: Information relating to markets, costs, sources of supply, technical data

TIPPING: Recommendation to buy or sell using non-public material information

Buying and Selling Securities (cont.) Short-Swing Profits

Six-month period Officers, Directors , Stockholders

The Securities and Exchange Commission/SEC Federal Act Civil Penalties Criminal Penalties Cease-and-Desist

Reporting, Investigative Measures, and Punitive Actions

By Small Group E

Reporting, Investigative Measures, and Punitive Actions Role of Ethic Review Committee Reporting

Violations Investigate Measures

Monitoring and Auditing Punitive Actions

Report Violations

Other Areas of Compliance By Nadir Sayyaad

Other Areas of Compliance

Questions?

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