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Compliance Tip of the Day

Compliance Tip of the Day: Train to Your Strength

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

In today’s episode, we demonstrate the power of strength-based training, which focuses on the strengths and capabilities of employees.

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 3 – Make Learning Social

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 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. 511 https://doi.org/10.1080/714052807

Carsten Tams on LinkedIn

Emagence Consulting

Tom Fox

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Innovation in Compliance

Making Compliance Training Memorable: Gamechanger 2 – Make it Experiential

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 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

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Blog

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

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:

  1. 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.
  2. 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.
  3. 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.

Categories
Creativity and Compliance

Is It OK to Laugh at Work?

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network. In this episode, Tom and Ronnie continue their shorts series on provocative statements on compliance training and communications, followed by discussion. In this episode, Ronnie riffs on the question is it OK to laugh at work? Highlights include:

o   Common excuses for not doing things creatively.
§  we’re a conservative company
§  we take the issues very seriously
§  it doesn’t fit our culture
§  my boss doesn’t have a sense of humor
§  we’re global
o   How to build a business case because entertainment and learning is more effective.
§  emotional connections
§  memory and recall
§  stands out in a noisy environment
§  It open people up
§  It helps increase airtime and exposure
o   The Fun Theory
o   Other examples in life

Resources:

Ronnie Feldman (LinkedIn)
Learnings & Entertainments (LinkedIn)
Ronnie Feldman (Twitter)

Learnings & Entertainments (Website)

60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches.

Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care.

Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.

Tales from the Hotline – check out some samples.