Tag: Carsten Tams

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Reimagining Compliance as a Product

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Post date December 5, 2024
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In the modern corporate environment, compliance must transcend its traditional role as a set of rules and regulations. Instead, it should be reimagined as a product—something employees actively choose to engage with daily. Inspired by product design principles, this approach positions compliance as a value-driven offering that meets employee needs while supporting organizational integrity.

In an HBR article entitled Reimaging Work as a Product, authors Eric Anicich and Dart Lindsley ask if there is a better way to approach the employee experience. The authors challenge traditional paradigms by proposing that work be viewed as a product employers offer employees. They advocate that reimagining work as a product addresses the disengagement and dissatisfaction rampant in the workforce and aligns employees’ needs with organizational goals. I have adapted their piece for a compliance audience.

This concept is about something other than making compliance easier. Instead, it is about making it indispensable and aligned with employee motivations. By redesigning compliance as a product employees “purchase” with their engagement, compliance professionals can enhance participation, foster a culture of ethics, and drive long-term success.

It all begins with why compliance must be seen as a product to be delivered inside an organization. Compliance often needs help to capture employee attention. Mandated training modules and periodic policy updates can feel disconnected from day-to-day work. Employees may view compliance as a checkbox task rather than a meaningful element of their roles. Yet, disengaged employees pose significant risks, from regulatory violations to ethical breaches.

Reimagining compliance as a product addresses these challenges. Like any successful product, compliance should do such things as (1) solve employee pain points, (2) offer clear and personalized value, and (3) foster ongoing loyalty and engagement. How can compliance move to this approach or at least be seen?

The Product Design Approach to Compliance

Understanding Why Employees “Hire” Compliance.

Drawing on Clayton Christensen’s Jobs to be Done theory, employees engage with compliance to fulfill specific personal, professional, or organizational needs. Some examples of compliance jobs are reducing risk for a corporation and its employees, as everyone wants protection from liability or disciplinary action. Compliance enables growth and profitability, as more effective compliance = more efficient business process = greater profitability. Finally, compliance aligns with the values of almost all employees, as they want a workplace that mirrors their ethics.

This approach has another benefit for the compliance function. It requires an assessment of your organization from a cultural perspective. In the 2024 ECCP, the DOJ made clear that companies must use data to help manage their corporate culture. The information gleaned will also help the corporate compliance professional understand what the employees want and need from a compliance solution. You can use these insights to craft messaging that positions compliance as a solution to their unique challenges.

Segmenting Compliance Customers

Not all employees interact with compliance in the same way. Tailoring the compliance product to different groups ensures it resonates broadly. Just as the DOJ mandates tailored training and communications, you can tailor the delivery of compliance solutions for your employees. This can include using the Customer Segments in your organization, such as new employees, who will need a greater foundational understanding of policies and reporting channels. For managers, it could require advanced training on fostering ethical cultures, monitoring compliance, and learning how to the first intake in a speak-up culture. Finally, there will be employees in your organization who, because of their specialized roles, will require targeted knowledge, such as export controls for logistics teams or anti-bribery rules for sales.

The compliance professional can work to create tiered compliance offerings. For instance, beginner courses for new hires, role-specific modules for specialists, and leadership workshops for managers. This is also true for the targeted communications you use on a more regular basis for employees. For instance, more communications on facility payments could be a useful service for employees who travel internationally.

Balancing Employee Needs with Compliance Requirements

While compliance professionals must meet regulatory demands, they can still design programs that respect employee time and preferences. There are some easy ways for a compliance professional to not only think about this step but also act on it. You can consider the modular design of your compliance training by breaking it into smaller, digestible segments that employees can complete at their convenience. Interaction can also drive engagement, so consider using interactive formats such as gamification, simulations, or role-playing to make compliance training engaging and memorable.

Your first step should be to use analytics to identify bottlenecks in compliance processes. If employees find certain tasks burdensome, redesign them with user-friendly tools or workflows. From there, take the information and craft a solution that meets the users’ needs, not just those from the compliance department. As Carsten Tams continually reminds us, it’s all about the UX.

Measuring the “Success” of Compliance as a Product

Successful products are evaluated by customer satisfaction and retention. Similarly, compliance success should be measured by how effectively it engages employees and fosters a culture of ethics. As Megan Daugherty also reminds us, it is about the numbers. So, what are your metrics for compliance engagement? What are your adoption rates? How many employees complete optional compliance training or use reporting tools? Equally important are your retention rates. You must determine if your company’s employees consistently follow compliance protocols. Finally, go outside the box with something like the Net Promoter Score (NPS), which helps you determine how likely employees are to recommend their company’s compliance program to peers.

There are multiple tools you can use for feedback. You can use a Pulse Survey, which gauges employee perceptions of compliance processes. You can use Focus Groups to explore pain points and opportunities for improvement in depth. You can use behavioral data garnered through monitoring adherence to compliance requirements through key performance indicators (KPIs). Finally, tools such as the Culture Audit can provide both a benchmark and framework to help compliance professionals understand the state of their culture and how to assess and improve it.

Addressing Challenges in Compliance Product Design

There will be challenges in taking this approach. Some key (and early) challenges will include overcoming resistance, particularly from employees who view compliance simply as an obligatory burden. Yet framing compliance as a resource, not a restriction, highlights how it protects employees, supports their career goals, and aligns with organizational values. Another employee concern could be balancing personalization with fairness, as some employees might view personalized compliance experiences as creating perceptions of favoritism. The solution should be to set clear criteria for personalization, such as role-specific training requirements, and communicate them transparently to avoid misunderstandings.

Finally, the biggest challenge will be to change the Tone at the Top by shifting your senior leadership’s mindsets. Typically, senior management prioritizes short-term goals over longer-term compliance initiatives. Here, you can quantify the value of compliance. For example, demonstrate how ethical lapses affect revenue, reputation, and employee retention to gain leadership buy-in.

Practical Steps for Redesigning Compliance as a Product

You should begin mapping the compliance journey by identifying key touchpoints, such as onboarding, annual training, and reporting. From there, look for pain points where employees disengage and redesign those interactions. Feedback loops can be useful to share survey results with employees to show that their input shapes compliance initiatives. Compliance Champions can work to empower managers and ethical leaders to advocate for compliance within their teams. Always remember to celebrate employees who model ethical behavior as brand ambassadors for compliance. Finally, in 2024, leverage technology by implementing AI-driven dashboards to monitor real-time compliance risks and engagement. Another key tool is chatbots, which provide instant answers to employee compliance queries.

Building a Compliance Product Employees Choose Daily

Reimagining compliance as a product transforms it from a mandate into a partnership. Compliance can become a trusted ally in the workplace by delivering value, fostering engagement, and respecting employee needs. This approach not only enhances compliance outcomes but also strengthens the ethical fabric of the organization. So, as Carsten Tams says, It’s all about the UX: are you treating compliance as a product employees want to engage with? The time has come to innovate compliance for the modern workplace, making it a cornerstone of trust, integrity, and success. Work to build a compliance program employees want to subscribe to every day.

Tags Carsten Tams, compliance, HBR, reimaging compliance

Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 4 – Make Learning Playful

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Post date May 24, 2024
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. Tom Fox recently had the opportunity to do so on the topic of making compliance training memorable. Over this short, five-part series, we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training.

In this concluding Episode 5, we discuss how making ethics and compliance training playful can enhance learning.

Our learning brain likes games. When people shift into a playful state of mind, they immerse themselves more deeply into the learning activity. Their mood brightens, their mind opens up, and they are intensely focused and more receptive to new information. Playful learning supports a deeper understanding of concepts, better recall of knowledge, and better transfer of skills to novel problems.

They explore the concept of the ‘Magic Circle’ in gaming, which engenders an immersive, playful state of mind that fosters openness and engagement. By employing game-based learning experiences like the ‘Ethics Kit Find Your Path’ card game, the discussion showcases how ethical scenarios can be addressed in an interactive, fun way.

Through the use of commitment, action, and resource cards, employees engage in collaborative problem-solving related to their organization’s ethical dilemmas. The episode emphasizes the importance of experiential, social, and strength-based learning, arguing that an engaging user experience (UX) in training not only makes learning enjoyable but also more effective in reinforcing ethical behaviors within organizations.

Highlights and Key Issues Discussed:

Introducing Playful Learning in Ethics and Compliance
The Magic Circle: A Concept for Playful Learning
Implementing Playful Learning: The Ethics Kit Card Game
Benefits and Outcomes of Playful Learning Experiences
Expanding Playfulness Beyond Games: Engaging Training Delivery
Key Takeaways from the Series

Resources:

Making Ethics & Compliance Training Memorable: Part 5 – Making Compliance Training Playful

Post author By admin
Post date May 24, 2024
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to make Ethics and Compliance (E&C) training memorable. We explored this topic over a five-part podcast series on the Innovation in Compliance podcast on the award-winning Compliance Podcast Network.

Over the next five blog posts, I will also explore these topics in the blog format. I will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. I will deeply dive into why traditional E&C training often fails to engage employees and needs more impact on their behavior despite significant investments. In this concluding Part 5, we consider how a compliance professional can create playful and fun compliance training to increase employee engagement.

We began with the question, ‘Why is it important to make ethics and compliance training playful?’ Tams noted that there is a concept in gaming called the “magic circle.” This means that as “we enter into a play frame of mind, we enter this magic circle, where we become more open to new information. Play facilitates experiential learning, where we actively engage all our senses and enter a generative mode. We become protagonists in our learning journey in a play situation, turning training into an adventure. Games also lend themselves well to social learning. Strength-based, social, and experiential learning converge in the play. There is evidence supporting the positive learning outcomes facilitated by playful learning.”

We turned to some examples of playful ethics and compliance training and how it can incorporate some of the other concepts we have explored over this series, such as strength-based training, experiential learning, and the social aspect. Tams noted he developed a game-based ethics learning experience called “The Ethics Kit: Find Your Path,” a “card game for three to five participants. Players start by selecting a scenario derived from the company’s ethics code, such as anti-harassment, money laundering, or anti-discrimination. One player, the Pathfinder, devises a strategy to address the issue, supported by others using commitment, action, and resource cards. Participants engage in a self-guided, open-ended experience, using their ingenuity and creativity to bring diverse perspectives together. This resembles real-life situations, and players are cast as heroes who intervene to stop unethical behavior. This aligns with the strength-based perspective, where employees are seen as ethical agents rather than potential delinquents.”

Tams led a training session at UNESCO using this approach, with 50 senior managers participating. He noted that the room was filled with chatter and problem-solving, which he believed “demonstrated the effectiveness of this approach. Through this process, participants realize they are not alone in caring about ethics, which builds confidence and fosters a supportive environment.”

Tams also believes playfulness is how the training is delivered, such as using animation, music, or cool graphic designs to drive engagement, as engaging different senses can add significant value. However, he cautioned that these elements should not be used as gimmicks and that ensuring meaningful learning is crucial. If you address learners as ethical agents who can actively uphold moral values rather than potential rule-breakers, then playful elements like cartoons and humor can be practical. Otherwise, it becomes merely cosmetic and entertaining but not empowering.

Making ethics and compliance training fun and playful can transform an organization’s approach to ethical behavior. Organizations can create engaging, meaningful, practical training experiences by integrating playfulness into learning. This approach enhances individual skills and fosters a supportive and moral culture.

To implement playful learning in your organization, consider the following steps:

Incorporate Game-Based Learning: Use games like “The Ethics Kit” to create interactive and engaging learning experiences.
Leverage Multimedia Elements: Enhance training with animation, music, and graphic designs to make the content more engaging.
Focus on Meaningful Learning: Ensure the content is relevant and meaningful to the learners, recognizing them as ethical agents.
Build a Supportive Culture: Foster a culture of ethics by encouraging continuous dialogue and support among employees.

By taking these steps, compliance professionals can create a robust and engaging ethics training program that empowers employees to act ethically and supports a culture of integrity within the organization.

We concluded by summarizing key points from our five-part series. First, the user experience (UX) is crucial. Ethics can only be practical if it is engaging. Recipients must feel that the content speaks to them and is meaningful. The importance of UX, which is well-established in product design and design thinking, should be applied to ethics and compliance training.

Second, conventional compliance training often should be included in education and learning. Many compliance training programs need to move the needle on behavior change because they need insight from behavioral sciences, philosophy, psychology, and learning professionals. Integrating these perspectives can enhance training effectiveness.

Third, the four-game changers we have discussed—strength-based learning, experiential learning, social learning, and playful learning—are well-supported by research. These strategies are not new; they have been discussed and validated for over a century. Compliance professionals can benefit from incorporating these proven methods into their programs.

We hope you will consider one or more concepts in this podcast and blog post series. Please feel free to reach out if you have any questions or want to explore these topics further.

Tom Fox can be reached at tfox@tfoxlaw.com

Carsten Tams can be reached at carsten.tams@emagence.com

Tags Carsten Tams, CCO, compliance, compliance training

Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 3 – Make Learning Social

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Post date May 23, 2024
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In this Episode 4, we discuss making learning social and collaborative so that learners work together to search for understanding, meaning, or solutions.

Social learning refers to learning with each other, from each other, and about each other. Social Learning Theory tells us that a lot of learning consists of observing and emulating others. Collaborative learning also affords participants with the opportunity to gain unique insights and skills. Cooperative learning allows participants to develop their social-emotional and interpersonal skills. They can practice ethical voice, simply by discussing an ethical situation with each other.

During collaborative learning, participants can establish new social ties with other learners or deepen existing ties. Learners can discover that other participants care about the same ethical values. Learners can foster trust among each other and a shared expectation of mutual support in moments of difficulty. During collaborative learning, participants can experience that they can augment their problem-solving capabilities by combining their respective resources (e.g., experience, ingenuity, networks). These learning benefits are difficult, if not impossible, to acquire through individual learning.

Tom and Carsten explore the concept of social learning, referencing theories by Lev Vygotsky on social constructivism and Albert Bandura on vicarious learning and self-efficacy, to explain how behaviors and ethical values are acquired through social interaction. They emphasize that learning ethics and compliance can be more effective in a social context, whether it is through discussing ethical dilemmas, observing others’ behaviors, or learning from shared experiences.

The dialogue also touches on the importance of building social capital through ethical discussions, which helps in crafting solutions to ethical challenges as a team. Furthermore, they argue that every aspect of work has an ethical dimension and that recognizing the ethical implications of seemingly minute actions can significantly contribute to an organization’s ethical resilience. The episode concludes with anticipation for the next episode, focusing on making compliance training fun.

Highlights and Key Issues Discussed:

Introduction to Social Learning in Ethics and Compliance
Exploring Social Learning Theory
The Impact of Social Learning on Ethical Behavior
Social Learning’s Role in Organizational Culture
Practical Examples of Social Learning in Action
Deep Dive into Safety and Ethics in the Workplace

Resources:

Articles and Books

Boyd, R., Richerson, P. J., & Henrich, J. (2011). The cultural niche: Why social learning is essential for human adaptation. PNAS Proceedings of the National Academy of Sciences of the United States of America, 108(Suppl 2), 10918–10925. https://psycnet.apa.org/doi/10.1073/pnas.1100290108
Reed, M. S., A. C. Evely, G. Cundill, I. Fazey, J. Glass, A. Laing, J. Newig, B. Parrish, C. Prell, C. Raymond, and L. C. Stringer. 2010. What is social learning? Ecology and Society, 15(4), [r1]. http://dx.doi.org/10.5751/ES-03564-1504r01
Marjan Laal, Seyed Mohammad Ghodsi, Benefits of Collaborative Learning. Procedia—Social and Behavioral Sciences, 31, 486-490.
https://doi.org/10.1016/j.sbspro.2011.12.091
Bandura, A. (1977). Social learning theory. Englewood Cliffs, NJ: Prentice Hall.
Bauman, Z. (2000). Special essay. Am I my brother’s keeper? European Journal of Social Work, Vol. 3, No. 1, pp. 5–11 https://doi.org/10.1080/714052807

Carsten Tams on LinkedIn

Tom Fox

Tags Carsten Tams, compliance, compliance training, E&C training, social learning

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Making Ethics & Compliance Training Memorable: Part 4 – How Social Learning Can Engage Employees

Post author By admin
Post date May 23, 2024
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to do so on making Ethics and Compliance (E&C) training memorable. We explored this topic over a five-part podcast series on the Innovation in Compliance podcast on the award-winning Compliance Podcast Network.

Over the next five blog posts, I will also explore these topics in the blog format. I will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. I take a deep dive into why traditional E&C training often fails to engage employees and lacks impact on their behavior despite significant investments. In Part 4, we discuss the concept of social learning and how compliance professionals can use its tactics and strategies to make their compliance training more engaging and effective.

Social learning refers to learning from others, with each other, about each other, and to each other through both inbound and outbound collaboration. Tams noted that one prominent perspective is social constructivism, or the socio-cultural theory of development, formulated by Russian psychologist Lev Vygotsky in the late 19th century. He argued that people learn a lot through cultural interaction and osmosis. For instance, we know our native language by being around people, listening, and participating in conversation. This social process is also crucial for understanding social norms, ethical values, and interpersonal skills.

Tams then turned to Albert Bandura’s social learning theory, or vicarious learning, which emphasizes that much learning involves observing and emulating others. This introduced the concept of self-efficacy, which is our confidence in our ability to produce desired outcomes. Ethical behavior means having confidence in our ability to speak up about concerns. Bandura identifies two social sources that promote self-efficacy: vicarious mastery experiences or observing others succeed and social persuasion or encouragement from others.

This type of learning moves from formal training and communication to underpinning an organization’s culture. There are two key insights. First, much can be learned about ethics in social contexts. Creating social contexts where ethical behavior is practiced allows for profound learning. For example, team leaders could incorporate ethics discussions into regular meetings, similar to safety moments in safety management. This practice encourages continuous ethical reflection and dialogue.

Second, much of today’s ethics training is solitary, often involving interaction with a computer screen. However, some vital ethical skills can only be learned in social settings. These include social-emotional and interpersonal skills, such as handling difficult conversations, resolving conflicts, and speaking up about concerns. Learning these skills through interaction is more effective than solitary study.

Tams provided some practical applications to social learning. One useful approach is to facilitate group discussions around ethically challenging scenarios. For example, imagine a team learning that their leader plans to make a business decision that involves excessive wining and dining of a potential customer. The team discusses the ethical commitments at stake, brainstorms possible actions, and identifies resources within the organization. This process fosters a deeper understanding of ethics and builds social capital, such as trust and collective efficacy.

In these discussions, participants learn they are not alone in caring about ethics. They see that their colleagues are committed to ethical behavior and bring diverse perspectives to problem-solving. This experience builds confidence in their ability to act ethically and trust in their colleagues as allies and mentors.

Companies have successfully raised safety awareness by incorporating safety discussions and concepts into everyday work through safety moments and personal safety assessments. I believe we achieve the same level of detail and integration with ethics. Tams agreed, stating, “Just as safety moments remind employees to consider safety in all aspects of their work, regular ethics discussions can instill an ethical mindset. For example, team members could take turns discussing how different aspects of the code of conduct apply to their work. This reflection helps employees see the relevance of ethics to their daily tasks and decisions.”

Moreover, addressing seemingly minor ethical issues can have a significant impact. For instance, discussing the moral implications of small actions, like how to report minor infractions or handle sensitive information, can reinforce the importance of ethical behavior in all areas of work. These discussions help employees internalize ethical principles and recognize that ethics is integral to their work, not just an abstract concept managed by the ethics department.

Integrating social learning into ethics training can transform an organization’s culture. By fostering continuous dialogue about ethics, organizations can create an environment where ethical behavior is expected and supported. This approach builds a solid moral foundation, encouraging employees to act with integrity and confidence.

Social learning also helps build a sense of community and shared responsibility. When employees see their peers and leaders engaging in ethical discussions and actions, it reinforces the importance of ethics and creates a supportive network. This network can provide guidance, mentorship, and encouragement, strengthening the organization’s ethical culture.

Making ethics and compliance learning social is a powerful strategy for building an organization’s strong ethical culture. By engaging employees in interactive, collaborative learning experiences, organizations can foster a deeper understanding of moral principles and encourage moral behavior. Integrating social learning into ethics training enhances individual skills and builds social capital, creating a supportive and trusting environment where employees feel empowered to act ethically.

To implement social learning in your organization, consider the following steps:

Incorporate Ethics Discussions into Regular Meetings: Make ethics a regular part of team meetings by discussing ethical scenarios, sharing personal experiences, and reflecting on the code of conduct.
Facilitate Group Problem-Solving: Use group discussions to tackle ethical challenges, encouraging employees to share diverse perspectives and collaboratively develop solutions.
Encourage Peer Support and Mentorship: Promote a mentorship and support culture where employees can seek advice and encouragement from their peers and leaders.
Recognize and Celebrate Ethical Behavior: Highlight and reward examples of ethical behavior, reinforcing the importance of ethics and encouraging others to follow suit.

By taking these steps, compliance professionals can harness the power of social learning to enhance their training programs and build a robust ethical culture within their organizations.

Join us in our concluding blog post, where we consider why you should make your compliance training regime playful.

Tags Carsten Tams, compliance training, social learning

Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 2 – Make it Experiential

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Post date May 22, 2024
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In this Episode 3, we discuss the concept of experiential learning as a gamechanger to enhance overall learning scope, motivation, retention and transfer; emphasizing its importance over conventional learning methods.

Experiential learning means learning by doing. When we are passive learners in front of a screen, clicking on the forward button or checking boxes, learning remains shallow. Experiential ethics learning is not simply about feeding abstract information about an ethics topic into learners’ minds.

It is instead about the tight coupling of thinking with doing. An experiential learning activity is about posing a problem that is relevant to the learner. It is then up to the learner to tap into their existing knowledge and use their ingenuity and creative problem-solving skills to find a feasible solution for the problem at hand.

Using practical examples, Carsten explains how experiential learning engages learners in problem-solving and hands-on experiences, leading to better retention and application of knowledge.

They explore the historical roots of the concept, drawing from thinkers like Aristotle, Confucius, John Dewey, and modern cognitive research. The discussion also covers ways to implement experiential learning in organizational settings, addressing potential concerns about documenting these methods for regulatory compliance.

Highlights and Key Issues Discussed:

Introduction to Experiential Learning in Compliance and Ethics Training
Exploring the Basics of Experiential Learning
Applying Experiential Learning in Compliance and Ethics
Historical Context and Theoretical Foundations of Experiential Learning
Practical Implementation and Documentation for Compliance Professionals

Resources:

Carsten Tams on LinkedIn

Emagence Consulting

For Additional Reading

Dewey, J. (1938). Experience and education. New York: Simon and Schuster.
Kolb, D.A. (2015). Experiential Learning: Experience as the Source of Learning and Development, 2nd Ed. New York, NY: Pearson.
Burch, G. F., Giambatista, R., Batchelor, J. H., Burch, J. J., Hoover, J. D., & Heller, N. A. (2019). A meta‐analysis of the relationship between experiential learning and learning outcomes. Decision Sciences Journal of Innovative Education, 17(3), 239–273. https://doi.org/10.1111/dsji.12188

Tom Fox

Tags Carsten Tams, compliance training, E&C training, Experiential Training, UX

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Making Ethics & Compliance Training Memorable: Part 3 – How Experiential Learning Can Engage Employees

Post author By admin
Post date May 22, 2024
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams, to find out what he is thinking about compliance. I recently had the opportunity to make Ethics and Compliance (E&C) training memorable. We explored this topic over a five-part podcast series on the Innovation in Compliance podcast on the award-winning Compliance Podcast Network.

I will explore these topics in the blog format over the next five blog posts. I will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. I will take a deep dive into why traditional E&C training often fails to engage employees and lacks impact on their behavior despite significant investments. In Part 3, we discuss the concept of experiential learning and how compliance professionals can use its tactics and strategies to make their compliance training more engaging and effective.

We began with the basics of the theory and practical aspects of experiential learning. Tams started with a metaphor, “Imagine learning how a motorcycle engine works. One way is to read the manual, study the technical drawings, and understand it theoretically. Alternatively, you could disassemble the engine, experiencing the resistance of the nuts and bolts, and then reassemble it. This hands-on approach exemplifies experiential learning.” It is not simply about receiving information but actively generating knowledge through problem-solving, building, and experimenting. This method leads to a deeper understanding of issues, better retention of information, and improved ability to apply learned concepts to new situations.

We then explored how compliance professionals utilize experiential learning and what it looks like in the ethics and compliance world. In organizational ethics, experiential learning can be implemented in various ways. One effective method is to create lifelike scenarios for small groups to solve. Tams noted, “Consider a scenario where an employee overhears a discussion about hiring a new colleague, focusing on inappropriate criteria such as gender or ethnic background. The group’s task is to develop a strategy to address this ethically.”

Participants should consider the ethical commitments at stake, brainstorm possible actions, and identify available resources and support within the organization. This approach helps understand ethical behavior and engages learners in practical problem-solving, making the training more impactful.

The user experience is crucial. Experiential learning engages participants profoundly, making the training more memorable and effective. Historically, the concept of experiential learning is ancient. Tams pointed to Aristotle, who emphasized learning by doing, particularly in ethics, stating that people become just by performing just acts. Confucius also highlighted the importance of experiential learning. In the 20th century, educational theorists like John Dewey, David Kolb, and Maria Montessori further developed these ideas, emphasizing the role of hands-on experiences in learning. Modern cognitive science supports this, showing that cognition is closely linked to action and sensory experiences.

One important concern is addressing regulatory concerns should the DOJ or SEC ever require compliance training as laid out in the 2023 Evaluation of Corporate Compliance Programs. Tams believes a “blended approach can address it. While experiential learning offers deeper engagement, foundational online training can provide basic information and ensure documentation. Combining both methods allows organizations to meet regulatory requirements while enhancing the overall training effectiveness.”

For large organizations, scaling experiential learning is possible through a train-the-facilitator model. Ethics ambassadors or compliance champions can be trained to conduct these sessions locally, ensuring broader reach without compromising on the quality of the training experience.

We concluded with some practical steps to implement experiential learning. They include:

Start Small: Integrate experiential learning into existing meetings or training sessions. Use lifelike scenarios to engage participants in problem-solving exercises.
Train Facilitators: Develop a train-the-facilitator program to equip ethics ambassadors or HR partners with the skills to conduct experiential learning sessions across various locations.
Blend with Traditional Methods: Combine experiential learning with foundational virtual training to ensure comprehensive coverage of compliance topics and allow for documentation.
Leverage Technology: Utilize digital platforms to create interactive simulations and role-playing exercises that can reach a broader audience within the organization.
Measure Impact: Use feedback and assessment tools to evaluate the effectiveness of experiential learning activities and make necessary adjustments to improve outcomes.

Experiential learning represents a transformative approach to compliance and ethics training. Engaging learners in hands-on, real-world problem-solving fosters a more profound understanding and better retention of ethical principles. While it may require additional effort to document and scale, the benefits of creating more meaningful and impactful learning experiences are well worth it. Integrating experiential learning with traditional training methods can help compliance professionals build a more robust and effective ethics training program as we move forward.

By taking these steps, compliance professionals can harness the power of experiential learning to enhance their training programs and foster a culture of ethical behavior within their organizations.

Join us in our next blog post, in which we consider the social aspects of learning for your compliance training regime.

Tags Carsten Tams, compliance training, experiential learning, John Dewey

Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 1 – Focus on Strengths

Post author By admin
Post date May 21, 2024
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There is not much Tom Fox enjoys more than sitting down with one of the most innovative thinkers in compliance, Carsten Tams, to find out what is on his mind regarding compliance. Tom Fox recently had the opportunity to do so on the topic of making compliance training memorable. Over this short, five-part series, we will introduce the problem and challenges and then provide you with four game-changing strategies you can employ for success in your compliance training.

In this Episode 2, we discuss the concept of focusing on strengths within compliance and ethics training as opposed to traditional deficit-based methods that highlight potential misconduct.

When we instruct people about prohibited behaviors and how the company detects and disciplines misconduct, employees often feel mistrusted and alienated. They tune out. This is deficit-based learning. It approaches the learner as a risk factor or potential delinquent. It aims to constrain unwanted behaviour.

When employees can learn how to effectively shape and safeguard the ethical workplace they aspire to, they feel inspired and tune in. This is strength-based training. It approaches the learner as a valued partner in maintaining integrity.

It assumes that people have capabilities, It aims at eliciting and strengthening the positive ethical faculties already present in most people.

Tom and Carsten urge a shift in perspective so that learners are viewed as valued partners, drawing upon the principles of self-affirmation theory and strength-based approaches found in various sectors like healthcare and education. This approach aims to engage learners by acknowledging and enhancing their capabilities, ethical values, and problem-solving skills, thus fostering a sustainable ethical culture within organizations. Examples of successful applications of this approach, including innovative training methods and programs like UNESCO’s card game and the ‘Giving Voice to Values’ curriculum, are highlighted. The conversation underscores the importance of designing training that not only prevents misconduct but also supports and develops employees’ strengths, thereby enhancing overall company culture.

Highlights and Key Issues Discussed:

The Problem with Deficit-Based Training Approaches
The Power of a Strength-Based Approach
Real-World Applications and Success Stories
Practical Steps Towards Strength-Based Training
Building a Sustainable Ethical Culture

Resources:

Carsten Tams on LinkedIn

Tom Fox

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Making Ethics & Compliance Training Memorable: Part 2 – What is Strength Based Training?

Post author By admin
Post date May 21, 2024
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making Ethics and Compliance (E&C) training memorable. We explored this topic over this short five-part podcast series on the Innovation in Compliance podcast series on the award-winning Compliance Podcast Network.

Over the next five blog posts, I will also explore these topics in the blog format. I will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. I deeply dive into why traditional E&C training often fails to engage employees and needs more impact on their behavior despite significant investments. In Part 2, we discuss focusing on strengths within compliance and ethics training instead of traditional deficit-based methods highlighting potential misconduct.

Employees often feel mistrusted and alienated when we instruct people about prohibited behaviors and how the company detects and discipline misconduct. They tune out. This is deficit-based learning. It approaches the learner as a risk factor or potential delinquent. It aims to constrain unwanted behavior. When employees can learn how to shape and safeguard the ethical workplace they aspire to effectively, they feel inspired and tune in. This is strength-based training. It approaches the learner as a valued partner in maintaining integrity. It assumes that people have capabilities and aims to elicit and strengthen the positive ethical faculties already present in most people.

Traditional compliance training often begins with the assumption that employees might engage in inappropriate behavior. This deficit-focused approach can make employees feel like potential delinquents, which is counterproductive. When training casts employees in a negative light, it threatens their self-concept and leads to disengagement. Self-affirmation theory in psychology supports this, suggesting that people must feel respected and valued to stay engaged.

In contrast, a strength-based approach recognizes and builds upon the positive capabilities that employees bring to the table. This method has proven successful in various fields, including healthcare, aviation safety, and education. It engages employees more effectively by acknowledging their existing values, problem-solving skills, and capacity for ethical behavior.

I would not talk about Carsten Tams if I did not cite his signature line, “It’s All About the UX.” This highlights the significance of user experience in training, as effective compliance training should integrate employees as valued partners. Focusing on learners’ needs and expectations can make training more engaging and impactful. This shift from content-centric to learner-centric training is crucial for building trust and engagement.

Employees inherently possess ethical values and capabilities. Research by Jonathan Haidt on Moral Foundations Theory indicates that people worldwide share basic moral intuitions such as fairness and respect. Employees also bring problem-solving skills and the ability to act and speak up when they observe unethical behavior. The Association of Certified Fraud Examiners, in its annual Report to the Nations, has consistently found that employee tips are the primary source of detecting misconduct, highlighting the importance of empowering employees as ethical agents.

Strength-based training involves recognizing and developing these inherent capabilities. Some examples are:

Scenario-Based Training: Traditional deficit-based scenarios focus on spotting problems and avoiding rule-breaking. Strength-based scenarios, however, go further by engaging learners in problem-solving. Employees are presented with situations where they can devise strategies to uphold ethical values and prevent negative outcomes. This approach utilizes their creative and critical thinking skills.
Collaborative Learning: Encouraging social interactions and mutual support among employees can enhance the training experience. Fostering a sense of community and collective efficacy can help employees feel more confident in intervening against unethical behavior.
Active Bystander Training: In areas like anti-sexual harassment, training that views employees as potential allies rather than potential offenders has shown positive results. Programs like active bystander training empower employees to act and support each other in maintaining a respectful workplace.

Strength-based training does more than prevent misconduct; it contributes to building an organization’s sustainable, ethical culture. By enabling and encouraging most employees to act on their moral values, organizations create an inhospitable environment for potential wrongdoers. This approach is more effective than relying solely on top-down communications about zero-tolerance policies and disciplinary measures.

Tams emphasizes that a supportive and proactive community within the workplace can deter unethical behavior more effectively than distant enforcement. In criminology, research on collective efficacy shows that communities with strong social ties and confidence in their ability to address incivilities experience lower crime rates. The same principles can apply within organizations, where a collective commitment to ethical behavior creates a powerful deterrent against misconduct.

Strength-based ethics and compliance training represent a paradigm shift in how organizations approach compliance. By focusing on employees’ positive capabilities and fostering a supportive and engaging training environment, companies can build a more resilient and ethical culture. This approach enhances compliance and empowers employees to be active partners in maintaining and promoting ethical standards. As organizations continue to evolve, integrating these principles into training programs can lead to more effective and sustainable outcomes.

Join us tomorrow, where I take a deep dive into making your compliance training experiential.

Tags Carsten Tams, compliance, E&C training, ethics and complinace, strength based training

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